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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SEC-registered adviser
M•• I••••••••• M••••••••• L••
Latest filing Jul 7, 2026
First filing on the tape Jun 20, 2018 · 17 filings
SEC status approved since Jul 20, 2018
RAUM
$678M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
97%
$658M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$136M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$678M as of Jul 7, 2026
Feb 1, 2019$162M then
HNW client RAUM$614M as of Jul 7, 2026
Feb 1, 2019$118M then
State-registered IARs (5.B.3)5 as of Jul 7, 2026
Feb 1, 20192 then
Employees (5.A)8 as of Jul 7, 2026
Feb 1, 20193 then
Private funds: no history
RAUM +9.1% over the last fiscal year+15% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jul 7, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $136MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $656,431derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$614M91%
- Individuals$43.3M6.4%
- Pension and profit-sharing plans$18.0M2.7%
- Charitable organizations$2.5M0.4%
- Individual clients
- 176reported
- HNW clients
- 238reported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 1,033reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• P•••••••• M•••• | Spartanburg, Sc | Sep 27, 2018 | 18 y | 1 |
| D•••• C•••••• T•••••Certified Financial Planner | Spartanburg, Sc | Sep 28, 2018 | 27 y | 3 |
| J•••• V•• B••••••••• | Spartanburg, Sc | Apr 2, 2020 | 42 y | 2 |
| J••••• H••••• T••••• | Spartanburg, Sc | Jul 2, 2020 | 46 y | 2 |
| C••••••••• Q•••• S•••••• | Spartanburg, Sc | Apr 6, 2022 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J••••• H••••• T••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 2, 2020 · Affiliated broker-dealer or bank to independent RIA
- J•••• V•• B••••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Apr 2, 2020 · Affiliated broker-dealer or bank to independent RIA
- D•••• C•••••• T••••• from M•••• T••••• • C••Sep 28, 2018 · RIA to a newly registered adviser
- J••• P•••••••• M•••• from M•••• T••••• • C••Sep 27, 2018 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M•••• T••••• • C••Sep 24, 2018 · Spartanburg, Sc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• J•••• P•••••••• · Chief Compliance Officer, Presidentcontrolsince 05/2018 · owns less than 5%
- T•••••• D••••• C•••••• · Chief Executive Officer, Chief Investment Officercontrolsince 05/2018 · owns less than 5%
Entity owners
- D••• T••••• • C••• L•• · Ownerdirect · owns 50% to 75%
- M•••• C••••••• L•• · Ownerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Spartanburg, Sc · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,029 to 1,033Mar 12, 2025 to Mar 30, 2026
- HNW clients · 210 to 238Mar 12, 2025 to Mar 30, 2026
- Individual clients · 212 to 176Mar 12, 2025 to Mar 30, 2026
- Pension plan clients · 11 to 10Mar 12, 2025 to Mar 30, 2026
- Discretionary RAUM · $569M to $639MMar 12, 2025 to Mar 30, 2026
- HNW RAUM · $532M to $614MMar 12, 2025 to Mar 30, 2026
- Individual RAUM · $51.4M to $43.3MMar 12, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $51.9M to $39.0MMar 12, 2025 to Mar 30, 2026
- Pension RAUM · $35.4M to $18.0MMar 12, 2025 to Mar 30, 2026
- RAUM · $621M to $678MMar 12, 2025 to Mar 30, 2026
- Accounts · 1,011 to 1,029Mar 15, 2024 to Mar 12, 2025
- HNW clients · 177 to 210Mar 15, 2024 to Mar 12, 2025
- Individual clients · 219 to 212Mar 15, 2024 to Mar 12, 2025
- Pension plan clients · 9 to 11Mar 15, 2024 to Mar 12, 2025
- Employees · 9 to 8Mar 15, 2024 to Mar 12, 2025
- Financial planning clients · unset to Mar 15, 2024 to Mar 12, 2025
- Discretionary RAUM · $473M to $569MMar 15, 2024 to Mar 12, 2025
- HNW RAUM · $441M to $532MMar 15, 2024 to Mar 12, 2025
- Individual RAUM · $52.7M to $51.4MMar 15, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $52.5M to $51.9MMar 15, 2024 to Mar 12, 2025
- Pension RAUM · $29.0M to $35.4MMar 15, 2024 to Mar 12, 2025
- RAUM · $525M to $621MMar 15, 2024 to Mar 12, 2025
- Accounts · 957 to 1,011Sep 14, 2023 to Mar 15, 2024
- HNW clients · 173 to 177Sep 14, 2023 to Mar 15, 2024
- Individual clients · 197 to 219Sep 14, 2023 to Mar 15, 2024
- Employees · 8 to 9Sep 14, 2023 to Mar 15, 2024
- Discretionary RAUM · $401M to $473MSep 14, 2023 to Mar 15, 2024
- HNW RAUM · $378M to $441MSep 14, 2023 to Mar 15, 2024
- Individual RAUM · $46.7M to $52.7MSep 14, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $50.0M to $52.5MSep 14, 2023 to Mar 15, 2024
- Pension RAUM · $25.6M to $29.0MSep 14, 2023 to Mar 15, 2024
- RAUM · $451M to $525MSep 14, 2023 to Mar 15, 2024
- Accounts · 918 to 957Nov 22, 2022 to Mar 22, 2023
- HNW clients · 170 to 173Nov 22, 2022 to Mar 22, 2023
- Individual clients · 207 to 197Nov 22, 2022 to Mar 22, 2023
- Employees · 6 to 8Nov 22, 2022 to Mar 22, 2023
- Discretionary RAUM · $426M to $401MNov 22, 2022 to Mar 22, 2023
- HNW RAUM · $401M to $378MNov 22, 2022 to Mar 22, 2023
- Individual RAUM · $42.5M to $46.7MNov 22, 2022 to Mar 22, 2023
- Non-discretionary RAUM · $51.6M to $50.0MNov 22, 2022 to Mar 22, 2023
Signals
2 dated events
- M•• I••••••••• M••••••••• L•• reported RAUM $432.0M, up 49% from $290.7M (2020-06-10 to 2021-02-25)Feb 25, 2021 · RAUM change · derived
- M•• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 20, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 864-582-5135reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 864-582-7000reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/mtm-investment-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- mtminvest.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 864-582-7000reportedpublic record, Form ADV, Jul 7, 2026
- Contact form
- mtminvest.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- mtminvest.com/about-us/management-teamreportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $136Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026