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•• A•••••••
Legal name M•• W•••••• L••
Latest filing Mar 11, 2026
First filing on the tape Oct 8, 2019 · 15 filings
SEC status approved since Nov 7, 2019
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.4B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$142M
derived; firm RAUM over IAPD count
Employees
14
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$1.4B as of Mar 11, 2026
Mar 4, 2020$259M then
HNW client RAUM$1.4B as of Mar 11, 2026
Mar 4, 2020$252M then
State-registered IARs (5.B.3)10 as of Mar 11, 2026
Mar 4, 20204 then
Employees (5.A)14 as of Mar 11, 2026
Mar 4, 20207 then
Private funds: no history
RAUM +24% over the last fiscal year+25% a year over threeIARs 9 to 10
Practice profile
derived from the filing of Mar 11, 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
- $142MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.8MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +25%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $263M, 73 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.4B99%
- Individuals$6.6M0.5%
- Charitable organizations$703,6270.0%
- Pension and profit-sharing plans$128,9350.0%
- Individual clients
- 28reported
- HNW clients
- 242reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,156reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $263M for 73 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• W••••• D••Certified Financial Planner | Charlotte, Nc | Nov 13, 2019 | 22 y | 2 |
| B•••• J••••• G•••Chartered Financial Analyst | Charlotte, Nc | Nov 13, 2019 | 20 y | 1 |
| W•••••• R••• M••••• | Charlotte, Nc | Nov 13, 2019 | 14 y | 1 |
| L••••• A••• L•••••••Chartered Financial Consultant | Charlotte, Nc | Nov 13, 2019 | 35 y | 0 |
| T••••• C••••••••• W•••Certified Financial Planner | Charlotte, Nc | Jan 14, 2022 | 13 y | 1 |
| M•••••• A••••• G•••••Chartered Financial Analyst | Charlotte, Nc | Jul 19, 2022 | 14 y | 0 |
| M•••••• F•••• S•••••••Certified Financial Planner | Charlotte, Nc | Sep 8, 2022 | 13 y | 0 |
| T••••• M•••Chartered Financial Analyst | Charlotte, Nc | Mar 16, 2023 | 12 y | 0 |
| E••••• N••• D•••••Certified Financial Planner | Charlotte, Nc | Jan 10, 2025 | 20 y | 2 |
| W•••••• L••••• P••••• | Charlotte, Nc | Nov 12, 2025 | 43 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- W•••••• L••••• P••••• from W• G••••••• S••••••••• I•••Nov 12, 2025 · Other
- E••••• N••• D••••• from E••• C•••••• G••••• L••Jan 10, 2025 · RIA to RIA
- T••••• C••••••••• W••• from W•••• F•••• A•••••••Jan 14, 2022 · Wirehouse to independent RIA
- J••••••• W••••• D•• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 13, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- W•••••• R••• M••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 13, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B•••• J••••• G••• from M• H••••••• S••••••••• I•••Nov 13, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 3, 2018 · Charlotte, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••• J•••••••• W••••• · Chief Strategy Officercontrolsince 10/2019 · owns 25% to 50%
- G•••• B••••• J••••• · Chief Investment Officercontrolsince 10/2019 · owns 25% to 50%
- L•••••••• L•••••• A••• · Chief Executive Officercontrolsince 10/2019 · owns less than 5%
- M••••••••• S••••••• M•••••• · Chief Compliance Officer/Chief Operating Officercontrolsince 01/2023 · owns less than 5%
- M•••••• W••••••• R••• · Presidentcontrolsince 10/2019 · owns 25% to 50%
- L•••••••• L•••••• A••• · Managing Membercontrolsince 10/2019 · owns 75% or more of T•• L••••••• O••••••••• L••
Entity owners
- T•• L••••••• O••••••••• L•• · Ownerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- M•• A••••••• I•••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 10 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 951 to 1,156Mar 10, 2025 to Mar 11, 2026
- HNW clients · 199 to 242Mar 10, 2025 to Mar 11, 2026
- Individual clients · 17 to 28Mar 10, 2025 to Mar 11, 2026
- Assets in custody · $146M to $263MMar 10, 2025 to Mar 11, 2026
- Employees · 13 to 14Mar 10, 2025 to Mar 11, 2026
- Financial planning clients · 0 to 101-250Mar 10, 2025 to Mar 11, 2026
- State-registered IARs · 9 to 10Mar 10, 2025 to Mar 11, 2026
- Discretionary RAUM · $1.1B to $1.4BMar 10, 2025 to Mar 11, 2026
- HNW RAUM · $1.1B to $1.4BMar 10, 2025 to Mar 11, 2026
- Individual RAUM · $5.7M to $6.6MMar 10, 2025 to Mar 11, 2026
- Pension RAUM · $6.5M to $128,935Mar 10, 2025 to Mar 11, 2026
- RAUM · $1.1B to $1.4BMar 10, 2025 to Mar 11, 2026
- Accounts · 836 to 951Feb 27, 2024 to Mar 10, 2025
- BD registered reps · 6 to 5Feb 27, 2024 to Mar 10, 2025
- HNW clients · 184 to 199Feb 27, 2024 to Mar 10, 2025
- Individual clients · 15 to 17Feb 27, 2024 to Mar 10, 2025
- Assets in custody · $69.6M to $146MFeb 27, 2024 to Mar 10, 2025
- Employees · 10 to 13Feb 27, 2024 to Mar 10, 2025
- Financial planning clients · 0 to 0Feb 27, 2024 to Mar 10, 2025
- State-registered IARs · 8 to 9Feb 27, 2024 to Mar 10, 2025
- Discretionary RAUM · $946M to $1.1BFeb 27, 2024 to Mar 10, 2025
- HNW RAUM · $934M to $1.1BFeb 27, 2024 to Mar 10, 2025
- Individual RAUM · $3.7M to $5.7MFeb 27, 2024 to Mar 10, 2025
- Pension RAUM · $5.6M to $6.5MFeb 27, 2024 to Mar 10, 2025
- RAUM · $946M to $1.1BFeb 27, 2024 to Mar 10, 2025
- Accounts · 731 to 836Mar 20, 2023 to Feb 27, 2024
- HNW clients · 149 to 184Mar 20, 2023 to Feb 27, 2024
- Individual clients · 16 to 15Mar 20, 2023 to Feb 27, 2024
- Assets in custody · $78.6M to $69.6MMar 20, 2023 to Feb 27, 2024
- State-registered IARs · 6 to 8Mar 20, 2023 to Feb 27, 2024
- Discretionary RAUM · $732M to $946MMar 20, 2023 to Feb 27, 2024
- HNW RAUM · $718M to $934MMar 20, 2023 to Feb 27, 2024
- Individual RAUM · $5.0M to $3.7MMar 20, 2023 to Feb 27, 2024
- Pension RAUM · $4.8M to $5.6MMar 20, 2023 to Feb 27, 2024
- RAUM · $732M to $946MMar 20, 2023 to Feb 27, 2024
- Accounts · 630 to 731Jan 31, 2023 to Mar 20, 2023
- Advisory employees · 9 to 10Jan 31, 2023 to Mar 20, 2023
- HNW clients · 133 to 149Jan 31, 2023 to Mar 20, 2023
- Individual clients · 7 to 16Jan 31, 2023 to Mar 20, 2023
- Assets in custody · $266M to $78.6MJan 31, 2023 to Mar 20, 2023
Signals
5 dated events
- M•• A••••••• reported RAUM $946.2M, up 29% from $731.8M (2023-03-20 to 2024-02-27)Feb 27, 2024 · RAUM change · derived
- M•••••• Stephen Marciniak (Chief Compliance Officer/Chief Operating Officer) appeared on Schedule A of M•• A•••••••Jan 31, 2023 · Control person joined · fact
- M•• A••••••• reported RAUM $722.2M, up 48% from $487.3M (2021-03-12 to 2022-01-31)Jan 31, 2022 · RAUM change · derived
- M•• A••••••• reported RAUM $487.3M, up 88% from $258.6M (2020-07-13 to 2021-03-12)Mar 12, 2021 · RAUM change · derived
- M•• W•••••• L•• filed its initial SEC registration (Form ADV)Oct 8, 2019 · 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 email
- i•••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 704-333-8461reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 704-342-0782reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-849-8461reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/mbl-advisors-increportedpublic record, Form ADV, Sep 19, 2026
- Website
- m•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 704-333-8461reportedpublic record, Form ADV, Mar 11, 2026
- Contact form
- m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- m•••••••••.comreportedpublished 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
- $142Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026