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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
M•• W••••• M•••••••••
Legal name M•• W••••• M••••••••• L••
Latest filing Mar 3, 2026
First filing on the tape Aug 7, 2019 · 21 filings
SEC status approved since Sep 6, 2019
RAUM
$329M
reported, Item 5.F
Discretionary
68%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$47.0M
derived; firm RAUM over IAPD count
Employees
16
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$329M as of Mar 3, 2026
Feb 12, 2020$180M then
HNW client RAUM$0 as of Mar 3, 2026
Feb 12, 2020$0 then
State-registered IARs (5.B.3)9 as of Mar 3, 2026
Feb 12, 20205 then
Employees (5.A)16 as of Mar 3, 2026
Feb 12, 20209 then
Private funds: no history
RAUM +58% over the last fiscal year+19% a year over threeIARs 10 to 9
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- RAUM per advisor
- $47.0MderivedRAUM 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
- $165MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 68%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +58%derivedbetween the last two annual amendments
- Advisor growth, one year
- -10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$329M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•• A••••• S•••••Chartered Financial Analyst | Tampa, Fl | May 16, 2024 | 27 y | 0 |
| K•••••••• J•••••• B•••••••Chartered Financial Analyst | Tampa, Fl | May 16, 2024 | 24 y | 0 |
| J•••••• J•••• T••••••Chartered Financial Analyst | Tampa, Fl | May 16, 2024 | 24 y | 2 |
| S••••• K•• G••••••Chartered Financial Analyst | Tampa, Fl | Jul 9, 2024 | 36 y | 1 |
| J•••• P•••••• L•• | Tampa, Fl | Jan 28, 2025 | 28 y | 4 |
| V••• J•••••• F•••••••• | Tampa, Fl | Feb 19, 2025 | 19 y | 8 |
| M•••••• J••• S•••••• | Tampa, Fl | Feb 21, 2025 | 13 y | 8 |
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 29% of current headcount3 left over 36 months
Left, latest
- W•••••• E••••• M••••••••• to W••••• A••••••• L••Apr 7, 2026 · Other
- B••••• B•••• to B••••••• U• L•••Apr 7, 2026 · Other
- D•••• H••• O•••• to A••••••• A•••• M••••••••• I•••Jan 28, 2025 · Other
Joined, latest
- M•••••• J••• S•••••• from P••••••Feb 21, 2025 · Other
- V••• J•••••• F•••••••• from U••• B•••••• I••••••••• I•••Feb 19, 2025 · Other
- B••••• B•••• from N••••• A•••• M••••••••• L••Feb 6, 2025 · Other
- J•••• P•••••• L•• from U••• B•••••• I••••••••• I•••Jan 28, 2025 · Other
- S••••• K•• G•••••• from F•••• I••••••••• A•••••••• L••Jul 9, 2024 · Other
- D•••• H••• O•••• from N••••• A•••• M••••••••• L••May 16, 2024 · Other
- J•••••• J•••• T•••••• from T••••• A••••••• S•••••••• I•••May 16, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• S••••••• L••••• · Directorcontrolsince 11/2019 · owns less than 5%
- A••••••••• N•••• P•••••• · Chief Administrative Officer, General Counselcontrolsince 05/2019 · owns less than 5%
- B•••••••• K••••••••• J•••••• · Svp, Managing Director Of Investmentscontrolsince 01/2023 · owns less than 5%
- D• J•••• L•••• J••••••••• K•••• · Vp, Head Of Portfolio Managementcontrolsince 01/2024 · owns less than 5%
- L•••• K••••••• E••• · Chief Executive Officercontrolsince 04/2023 · owns less than 5%
- M••••• R•••••• M•••••• · Directorcontrolsince 07/2023 · owns less than 5%
- O•••••••• B••••••• B• · Directorcontrolsince 11/2019 · owns less than 5%
- R•••• J•••••••• D•••••• · Directorcontrolsince 11/2019 · owns less than 5%
- S•••••• K••• A••••• · Chief Investment Officercontrolsince 05/2024 · owns less than 5%
- S•••••••• P••••••• P••••• · Chief Compliance Officercontrolsince 05/2023 · owns less than 5%
- S•••••• J••••••• R• · Directorcontrolsince 05/2024 · owns less than 5%
- A••••• S••••••• L••••• · Directorcontrolsince 05/2018 · owns F of M•••••• T•••• C••••••• F••
- A••••••••• N•••• P•••••• · General Counselcontrolsince 01/2005 · owns F of M•••••• T•••• C••••••• F••
- L•••• K••••••• E••• · Chief Executive Officercontrolsince 04/2023 · owns F of M•••••• T•••• C••••••• F••
- M••••• R•••••• M•••••• · Directorcontrolsince 07/2023 · owns F of M•••••• T•••• C••••••• F••
- O•••••••• B••••••• B• · Directorcontrolsince 08/2007 · owns F of M•••••• T•••• C••••••• F••
- P••••• J••••• A•••••• · Directorcontrolsince 05/2020 · owns F of M•••••• T•••• C••••••• F••
- R•••• J•••••••• D•••••• · Directorcontrolsince 01/2005 · owns F of M•••••• T•••• C••••••• F••
- S•••••• J••••••• R• · Directorcontrolsince 07/2023 · owns F of M•••••• T•••• C••••••• F••
Entity owners
- M•••••• T•••• C••••••• F•• · Sole Proprietordirect · owns 75% or more
Related persons
Schedule D 7.A
- M•••••• T•••• C••••••• F••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tampa, Fl · principal | 7 | 0 | 0 | ||
| Chicago, Il | 0 | 0 | 1 | ||
| St Petersburg, Fl | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Denver, CO1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 3, 2026discretionary share of RAUM moved from 100.0% to 68.0% between the annual amendments of 2025-03-17 and 2026-03-03peers: asset managers, $100M to $500M (1,567)
- RAUM up 50 %Change between filings · filing Mar 3, 2026RAUM (Item 5.F) moved from $207,695,797 to $329,006,989 (+58.0%) between the annual amendments of 2025-03-17 and 2026-03-03; the peer median change was +4.0% (1148 comparable advisers, 93.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 93% percentile
What changed
consecutive filings, newest first
- Accounts · 3 to 2Jul 28, 2025 to Mar 3, 2026
- Advisory employees · 10 to 9Jul 28, 2025 to Mar 3, 2026
- Employees · 17 to 16Jul 28, 2025 to Mar 3, 2026
- State-registered IARs · 10 to 9Jul 28, 2025 to Mar 3, 2026
- Discretionary RAUM · $208M to $224MJul 28, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $0 to $105MJul 28, 2025 to Mar 3, 2026
- RAUM · $208M to $329MJul 28, 2025 to Mar 3, 2026
- Financial planning clients · unset to Mar 17, 2025 to Jul 28, 2025
- Advisory employees · 6 to 10May 20, 2024 to Mar 17, 2025
- Employees · 19 to 17May 20, 2024 to Mar 17, 2025
- State-registered IARs · 6 to 10May 20, 2024 to Mar 17, 2025
- Discretionary RAUM · $314M to $208MMay 20, 2024 to Mar 17, 2025
- RAUM · $314M to $208MMay 20, 2024 to Mar 17, 2025
- Advisory employees · 3 to 6Mar 29, 2024 to May 20, 2024
- Employees · 14 to 19Mar 29, 2024 to May 20, 2024
- State-registered IARs · 3 to 6Mar 29, 2024 to May 20, 2024
- Advisory employees · 5 to 3Nov 27, 2023 to Mar 29, 2024
- Employees · 9 to 14Nov 27, 2023 to Mar 29, 2024
- State-registered IARs · 5 to 3Nov 27, 2023 to Mar 29, 2024
- Discretionary RAUM · $213M to $314MNov 27, 2023 to Mar 29, 2024
- RAUM · $213M to $314MNov 27, 2023 to Mar 29, 2024
- Accounts · 2 to 3Jul 18, 2023 to Aug 31, 2023
- Employees · 8 to 9Jul 18, 2023 to Aug 31, 2023
- State-registered IARs · 2 to 5Jul 18, 2023 to Aug 31, 2023
- Discretionary RAUM · $0 to $213MJul 18, 2023 to Aug 31, 2023
- Non-discretionary RAUM · $195M to $0Jul 18, 2023 to Aug 31, 2023
- RAUM · $195M to $213MJul 18, 2023 to Aug 31, 2023
- Accounts · 1 to 2Jul 6, 2023 to Jul 18, 2023
- Advisory employees · 2 to 5Jul 6, 2023 to Jul 18, 2023
- State-registered IARs · 5 to 2Jul 6, 2023 to Jul 18, 2023
- Discretionary RAUM · $195M to $0Jul 6, 2023 to Jul 18, 2023
- Non-discretionary RAUM · $0 to $195MJul 6, 2023 to Jul 18, 2023
- Advisory employees · 5 to 2Jul 6, 2023 to Jul 6, 2023
- Employees · 9 to 8Jul 6, 2023 to Jul 6, 2023
- Discretionary RAUM · $288M to $195MDec 7, 2022 to Mar 25, 2023
- RAUM · $288M to $195MDec 7, 2022 to Mar 25, 2023
- Advisory activities · 2 to 1Jul 28, 2021 to Mar 7, 2022
- Financial planning clients · 0 to unsetJul 28, 2021 to Mar 7, 2022
- Other offices · 2 to 1Jul 28, 2021 to Mar 7, 2022
- Discretionary RAUM · $266M to $288MJul 28, 2021 to Mar 7, 2022
Signals
34 dated events
- B••••• B•••• left M•• W••••• M••••••••• for B••••••• U• L••• (registered 2026-06-04)Apr 7, 2026 · Advisor changed firm · fact
- W•••••• E••••• M••••••••• left M•• W••••• M••••••••• for W••••• A••••••• L•• (registered 2026-04-13)Apr 7, 2026 · Advisor changed firm · fact
- M•• W••••• M••••••••• reported RAUM $329.0M, up 58% from $207.7M (2025-07-28 to 2026-03-03)Mar 3, 2026 · RAUM change · derived
- M•• W••••• M••••••••• reported RAUM $207.7M, down 34% from $313.6M (2024-05-20 to 2025-03-17)Mar 17, 2025 · RAUM change · derived
- D•••• H••• O•••• left M•• W••••• M••••••••• for A••••••• A•••• M••••••••• I••• (registered 2024-12-09)Jan 28, 2025 · Advisor changed firm · fact
- Arnold Kei Sasaki (Chief Investment Officer) appeared on Schedule A of M•• W••••• M•••••••••May 20, 2024 · Control person joined · fact
- K•••• J•••••••• De J•••• L••• (Vp, Head Of Portfolio Management) appeared on Schedule A of M•• W••••• M•••••••••May 20, 2024 · Control person joined · fact
- Diane Young (Director) no longer on Schedule A of M•• W••••• M••••••••• (listed 2024-03-29, absent 2024-05-20)May 20, 2024 · Control person left · inference
- Joseph Paul Chong (Director) no longer on Schedule A of M•• W••••• M••••••••• (listed 2024-03-29, absent 2024-05-20)May 20, 2024 · Control person left · inference
- M•••• M•••• B••• (Director) no longer on Schedule A of M•• W••••• M••••••••• (listed 2024-03-29, absent 2024-05-20)May 20, 2024 · Control person left · inference
- W••••••s Sara Trexler (Director) no longer on Schedule A of M•• W••••• M••••••••• (listed 2024-03-29, absent 2024-05-20)May 20, 2024 · Control person left · inference
- M•• W••••• M••••••••• reported RAUM $313.6M, up 47% from $213.5M (2023-11-27 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- R•••••• J•••• R••••••••• (Chief Investment Officer) no longer on Schedule A of M•• W••••• M••••••••• (listed 2023-11-27, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Scott Michael Strand (Director) no longer on Schedule A of M•• W••••• M••••••••• (listed 2023-11-27, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Eugene Blaine Rieke (Director) no longer on Schedule A of M•• W••••• M••••••••• (listed 2023-11-27, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Joseph Paul Chong (Director) appeared on Schedule A of M•• W••••• M•••••••••Nov 27, 2023 · Control person joined · fact
- J•••• Robert Comfort (Director) no longer on Schedule A of M•• W••••• M••••••••• (listed 2023-08-31, absent 2023-11-27)Nov 27, 2023 · Control person left · inference
- Johnson Katherine Braddock (Svp, Managing Director Of Investments) appeared on Schedule A of M•• W••••• M•••••••••Aug 31, 2023 · Control person joined · fact
- R•••••• J•••• R••••••••• (Chief Investment Officer) appeared on Schedule A of M•• W••••• M•••••••••Aug 31, 2023 · Control person joined · fact
- L••••• S•••••• A•••• (Director) appeared on Schedule A of M•• W••••• M•••••••••Aug 31, 2023 · Control person joined · fact
- Dyckman Jonathan Rich (Director) appeared on Schedule A of M•• W••••• M•••••••••Aug 31, 2023 · Control person joined · fact
- Michael Robert Moser (Director) appeared on Schedule A of M•• W••••• M•••••••••Aug 31, 2023 · Control person joined · fact
- W••••••s Sara Trexler (Director) appeared on Schedule A of M•• W••••• M•••••••••Aug 31, 2023 · Control person joined · fact
- Diane Young (Director) appeared on Schedule A of M•• W••••• M•••••••••Aug 31, 2023 · Control person joined · fact
- J•••• Robert Comfort (Director) appeared on Schedule A of M•• W••••• M•••••••••Aug 31, 2023 · Control person joined · fact
- Scott Michael Strand (Director) appeared on Schedule A of M•• W••••• M•••••••••Aug 31, 2023 · Control person joined · fact
- Eugene Blaine Rieke (Director) appeared on Schedule A of M•• W••••• M•••••••••Aug 31, 2023 · Control person joined · fact
- B Barbara Odonnell (Director) appeared on Schedule A of M•• W••••• M•••••••••Aug 31, 2023 · Control person joined · fact
- M•••• M•••• B••• (Director) appeared on Schedule A of M•• W••••• M•••••••••Aug 31, 2023 · Control person joined · fact
- R Jeffrey Stokes (Director) appeared on Schedule A of M•• W••••• M•••••••••Aug 31, 2023 · Control person joined · 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
- Principal office phone
- 888-727-9191reportedpublic record, Form ADV, Mar 3, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $47.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026