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•••••• H••••••• F•••••••• A•••••••
Legal name M•••••• H••••••• B•••• F••
Latest filing Jan 2, 2026
First filing on the tape Jun 11, 2020 · 27 filings
SEC status approved since Jul 10, 2020
RAUM
$399M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$399M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$99.7M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$399M as of Jan 2, 2026
Nov 10, 2020$112M then
HNW client RAUM$333M as of Jan 2, 2026
Nov 10, 2020$55.2M then
State-registered IARs (5.B.3)4 as of Jan 2, 2026
Nov 10, 20202 then
Employees (5.A)6 as of Jan 2, 2026
Nov 10, 20202 then
Private funds: no history
RAUM +27% over the last fiscal year+31% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jan 2, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• 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
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $99.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 84derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $616,162derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$333M84%
- Individuals$65.7M16%
- Individual clients
- 219reported
- HNW clients
- 115reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 647reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• G••••• W••••••Certified Financial Planner, Chartered Financial Consultant | West Des Moines, Ia | Nov 8, 2019 | 30 y | 3 |
| C•••• M•••••Certified Financial Planner | West Des Moines, Ia | Nov 16, 2022 | 12 y | 1 |
| L••• C•••••• | West Des Moines, Ia | Jan 5, 2024 | 10 y | 3 |
| M••• D••••• V•••• | West Des Moines, Ia | Mar 15, 2024 | 24 y | 7 |
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
- G•• M•••••• E••••• to D••••••••• M••••••••• I••Aug 8, 2023 · RIA to RIA
- R••• P•••••• M••••••••• to E••••• J••••Jul 29, 2022 · RIA to affiliated broker-dealer or bank
- Z•••••• L• N•••••• to C•••••• S••••• • C••• I•••May 31, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- M••• D••••• V•••• from L•• F•••••••• L••Mar 15, 2024 · Affiliated broker-dealer or bank to independent RIA
- L••• C•••••• from C••••• I••••••••• A••••••• L••Jan 5, 2024 · Affiliated broker-dealer or bank to independent RIA
- C•••• M••••• from P•••••••• A•••••••Nov 16, 2022 · Affiliated broker-dealer or bank to independent RIA
- Z•••••• L• N•••••• from U••• B•••••• I••••••••• I•••Jan 18, 2022 · Affiliated broker-dealer or bank to independent RIA
- M•••••• G••••• W•••••• from S••••••••• A•••••• A•••••••• I•••Nov 8, 2019 · Affiliated broker-dealer or bank to independent RIA
- R••• P•••••• M••••••••• from S••••••••• A•••••• A•••••••• I•••Nov 8, 2019 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• M••••••• G••••• · President And Chief Compliance Officercontrolsince 11/2019 · owns less than 5%
Entity owners
- M•••••• H••••••• B•••• F•• · Ownerdirect · owns 75% or more
- H••••• F••• S•••••• I••• · Ownerindirect · owns 75% or more of M•••••• H••••••• B•••• F••
Related persons
Schedule D 7.A
- M•••••• H••••••• S•••••••• L•••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| West Des Moines, Ia · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Grimes, IA2 employees
- Chariton, IA1 employees
What changed
consecutive filings, newest first
- Employees · 4 to 6Jan 2, 2025 to Oct 30, 2025
- Accounts · 571 to 647Jan 2, 2025 to Oct 30, 2025
- HNW clients · 94 to 115Jan 2, 2025 to Oct 30, 2025
- Individual clients · 208 to 219Jan 2, 2025 to Oct 30, 2025
- Discretionary RAUM · $314M to $399MJan 2, 2025 to Oct 30, 2025
- HNW RAUM · $247M to $333MJan 2, 2025 to Oct 30, 2025
- Individual RAUM · $66.4M to $65.7MJan 2, 2025 to Oct 30, 2025
- RAUM · $314M to $399MJan 2, 2025 to Oct 30, 2025
- Financial planning clients · 1-10 to 1-10Dec 12, 2024 to Jan 2, 2025
- Accounts · 491 to 571Mar 12, 2024 to Nov 7, 2024
- Advisory employees · 2 to 4Mar 12, 2024 to Nov 7, 2024
- BD registered reps · 2 to 4Mar 12, 2024 to Nov 7, 2024
- HNW clients · 71 to 94Mar 12, 2024 to Nov 7, 2024
- Individual clients · 204 to 208Mar 12, 2024 to Nov 7, 2024
- Employees · 2 to 4Mar 12, 2024 to Nov 7, 2024
- State-registered IARs · 2 to 4Mar 12, 2024 to Nov 7, 2024
- Other offices · 1 to 2Mar 12, 2024 to Nov 7, 2024
- Discretionary RAUM · $223M to $314MMar 12, 2024 to Nov 7, 2024
- HNW RAUM · $156M to $247MMar 12, 2024 to Nov 7, 2024
- Individual RAUM · $66.9M to $66.4MMar 12, 2024 to Nov 7, 2024
- RAUM · $223M to $314MMar 12, 2024 to Nov 7, 2024
- Accounts · 480 to 491Oct 18, 2023 to Oct 26, 2023
- HNW clients · 43 to 71Oct 18, 2023 to Oct 26, 2023
- Individual clients · 231 to 204Oct 18, 2023 to Oct 26, 2023
- Discretionary RAUM · $177M to $223MOct 18, 2023 to Oct 26, 2023
- HNW RAUM · $82.9M to $156MOct 18, 2023 to Oct 26, 2023
- Individual RAUM · $93.4M to $66.9MOct 18, 2023 to Oct 26, 2023
- RAUM · $177M to $223MOct 18, 2023 to Oct 26, 2023
- Accounts · 454 to 480Jul 29, 2022 to Oct 18, 2022
- Advisory employees · 3 to 2Jul 29, 2022 to Oct 18, 2022
- BD registered reps · 3 to 2Jul 29, 2022 to Oct 18, 2022
- HNW clients · 55 to 43Jul 29, 2022 to Oct 18, 2022
- Individual clients · 202 to 231Jul 29, 2022 to Oct 18, 2022
- Employees · 3 to 2Jul 29, 2022 to Oct 18, 2022
- State-registered IARs · 3 to 2Jul 29, 2022 to Oct 18, 2022
- Discretionary RAUM · $183M to $177MJul 29, 2022 to Oct 18, 2022
- HNW RAUM · $115M to $82.9MJul 29, 2022 to Oct 18, 2022
- Individual RAUM · $67.4M to $93.4MJul 29, 2022 to Oct 18, 2022
- RAUM · $183M to $177MJul 29, 2022 to Oct 18, 2022
- Accounts · 320 to 454Nov 5, 2021 to Nov 8, 2021
Signals
4 dated events
- G•• M•••••• E••••• left M•••••• H••••••• F•••••••• A••••••• for D••••••••• M••••••••• I•• (registered 2024-01-04)Aug 8, 2023 · Advisor changed firm · fact
- R••• P•••••• M••••••••• left M•••••• H••••••• F•••••••• A••••••• for E••••• J•••• (registered 2022-07-22)Jul 29, 2022 · Advisor changed firm · fact
- Z•••••• L• N•••••• left M•••••• H••••••• F•••••••• A••••••• for C•••••• S••••• • C••• I••• (registered 2022-06-15)May 31, 2022 · Advisor changed firm · fact
- M•••••• H••••••• F•••••••• A••••••• filed its initial SEC registration (Form ADV)Jun 11, 2020 · 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
- 800-766-5162reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-782-0521reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 866-768-6713reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- m•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 515-246-8378reportedpublic record, Form ADV, Jan 2, 2026
- Contact form
- m•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- m•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $99.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026