DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

M••••• A•••••••

Former SEC-registered adviserCRD 292107SEC 801-112865IAPD
Legal name M••••• A••••••• I••
Latest filing Mar 4, 2021
First filing on the tape Mar 19, 2018 · 8 filings
RAUM
$28.0M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$28.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$28.0M as of Feb 16, 2021
Aug 6, 2019$53.0M then
HNW client RAUM$28.0M as of Feb 16, 2021
Aug 6, 2019$53.0M then
State-registered IARs (5.B.3)1 as of Feb 16, 2021
Aug 6, 20191 then
Employees (5.A)1 as of Feb 16, 2021
Aug 6, 20191 then
Private funds: no history
RAUM -26% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 4, 2021; every figure names its basis
RAUM per advisor
$28.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.7MderivedHNW RAUM over HNW clients
Average account
$4.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-26%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$28.0M100%
Individual clients
n/areported
HNW clients
6reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• M••••••• · President, Ceo, Cco, Ownercontrol
        since 11/2017 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Related adviser · true to false
        Mar 1, 2021 to Mar 4, 2021
      • Accounts · 7 to 6
        Jul 1, 2020 to Feb 16, 2021
      • Advisory activities · 4 to 2
        Jul 1, 2020 to Feb 16, 2021
      • HNW clients · 7 to 6
        Jul 1, 2020 to Feb 16, 2021
      • Organization form · Other (specify) to Sole Proprietorship
        Jul 1, 2020 to Feb 16, 2021
      • HNW RAUM · $38.0M to $28.0M
        Jul 1, 2020 to Feb 16, 2021
      • Non-discretionary RAUM · $38.0M to $28.0M
        Jul 1, 2020 to Feb 16, 2021
      • RAUM · $38.0M to $28.0M
        Jul 1, 2020 to Feb 16, 2021
      • Accounts · 6 to 7
        Aug 6, 2019 to Jun 5, 2020
      • HNW clients · 5 to 7
        Aug 6, 2019 to Jun 5, 2020
      • Other offices · 1 to 0
        Aug 6, 2019 to Jun 5, 2020
      • Organization form · Corporation to Other (specify)
        Aug 6, 2019 to Jun 5, 2020
      • HNW RAUM · $53.0M to $38.0M
        Aug 6, 2019 to Jun 5, 2020
      • Non-discretionary RAUM · $53.0M to $38.0M
        Aug 6, 2019 to Jun 5, 2020
      • RAUM · $53.0M to $38.0M
        Aug 6, 2019 to Jun 5, 2020
      • Related adviser · false to true
        Aug 6, 2019 to Jun 5, 2020
      • Accounts · 3 to 6
        Aug 16, 2018 to Aug 6, 2019
      • HNW clients · unset to 5.0
        Aug 16, 2018 to Aug 6, 2019
      • Employees · 2 to 1
        Aug 16, 2018 to Aug 6, 2019
      • Financial planning clients · 0 to 1-10
        Aug 16, 2018 to Aug 6, 2019
      • HNW RAUM · unset to 53000000.0
        Aug 16, 2018 to Aug 6, 2019
      • Non-discretionary RAUM · $28.0M to $53.0M
        Aug 16, 2018 to Aug 6, 2019
      • RAUM · $28.0M to $53.0M
        Aug 16, 2018 to Aug 6, 2019
      • Wrap assets (manager) · 0.0 to unset
        Aug 16, 2018 to Aug 6, 2019
      • Wrap assets (sponsor) · 0.0 to unset
        Aug 16, 2018 to Aug 6, 2019
      • Accounts · unset to 3.0
        Mar 19, 2018 to Aug 16, 2018
      • Discretionary RAUM · unset to 0.0
        Mar 19, 2018 to Aug 16, 2018
      • Non-discretionary RAUM · unset to 28000000.0
        Mar 19, 2018 to Aug 16, 2018
      • RAUM · unset to 28000000.0
        Mar 19, 2018 to Aug 16, 2018
      Signals
      1 dated events
      • M••••• A••••••• filed its initial SEC registration (Form ADV)
        Mar 19, 2018 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026