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•••• W••••• M••••••••• •
Legal name M•••• W••••• M••••••••• L••
Latest filing Mar 25, 2022
First filing on the tape Aug 30, 2018 · 8 filings
RAUM
$158,407
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$158,407 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$158,407 as of Mar 25, 2022
Mar 21, 2019$0 then
HNW client RAUM: $72,142
State-registered IARs (5.B.3)1 as of Mar 25, 2022
Mar 21, 20191 then
Employees (5.A)1 as of Mar 25, 2022
Mar 21, 20191 then
Private funds: no history
RAUM +117% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 2022; every figure names its basis
- RAUM per advisor
- $158,407derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $39,602derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- +117%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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
- Individuals$158,407100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• M••••••• J••••• · President & Chief Compliance Officercontrolsince 04/2017 · owns 75% or more
Related persons
Schedule D 7.A
- I••••••••• A•••••• G•••• L••investment advisery
- I••••••••• L••broker-dealery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $167,636 to $158,407Oct 22, 2021 to Mar 25, 2022
- HNW RAUM · 75098.0 to unsetOct 22, 2021 to Mar 25, 2022
- Individual RAUM · $92,538 to $158,407Oct 22, 2021 to Mar 25, 2022
- RAUM · $167,636 to $158,407Oct 22, 2021 to Mar 25, 2022
- Accounts · 2 to 4Aug 24, 2021 to Oct 22, 2021
- Legal name · M•••• W••••• M••••••••• C••••••••• to M•••• W••••• M••••••••• L••Aug 24, 2021 to Oct 22, 2021
- Discretionary RAUM · $72,833 to $167,636Aug 24, 2021 to Oct 22, 2021
- HNW RAUM · $72,142 to $75,098Aug 24, 2021 to Oct 22, 2021
- Individual RAUM · $691 to $92,538Aug 24, 2021 to Oct 22, 2021
- RAUM · $72,833 to $167,636Aug 24, 2021 to Oct 22, 2021
- Succession · true to falseAug 24, 2021 to Oct 22, 2021
- Succession · false to trueJul 22, 2021 to Aug 24, 2021
- Accounts · 0 to 2May 1, 2020 to Jul 22, 2021
- Discretionary RAUM · $0 to $72,833May 1, 2020 to Jul 22, 2021
- HNW RAUM · unset to 72142.0May 1, 2020 to Jul 22, 2021
- Individual RAUM · unset to 691.0May 1, 2020 to Jul 22, 2021
- RAUM · $0 to $72,833May 1, 2020 to Jul 22, 2021
- Business name · M•••• W••••• M••••••••• C••••••••• to M•••• W••••• M••••••••• •Aug 31, 2018 to Mar 21, 2019
- Financial planning clients · unset to 0Aug 31, 2018 to Mar 21, 2019
Signals
2 dated events
- M•••• W••••• M••••••••• • reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 24, 2021 · Succession (Item 4) · fact
- M•••• W••••• M••••••••• C••••••••• filed its initial SEC registration (Form ADV)Aug 30, 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