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••••••••• L••
Latest filing Mar 24, 2025
First filing on the tape Mar 6, 2020 · 10 filings
SEC status approved since Apr 3, 2020
RAUM
$422M
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
99%
$420M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$422M as of Mar 24, 2025
Mar 12, 2021$220M then
HNW client RAUM$411M as of Mar 24, 2025
Mar 12, 2021$212M then
State-registered IARs (5.B.3)2 as of Mar 24, 2025
Mar 12, 20210 then
Employees (5.A)5 as of Mar 24, 2025
Mar 12, 20213 then
Private funds: no history
RAUM +36% over the last fiscal year+5.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 24, 2025; every figure names its basis
- RAUM per advisor
- $211MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.0MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 81%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +36%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$411M97%
- Individuals$8.9M2.1%
- Pension and profit-sharing plans$1.6M0.4%
- Charitable organizations$781,7380.2%
- Individual clients
- 28reported
- HNW clients
- 41reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 305reported
- Financial planning clients
- reported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- D••••• M•••••• D••••• to B••••• P••••• A•••••••• L••Mar 30, 2026 · RIA to RIA
- M•••••• G••• B••••• to B••••• P••••• A•••••••• L••Mar 30, 2026 · RIA to RIA
Joined, latest
- M•••••• G••• B••••• from R•••••• J•••• • A••••••••• I•••Apr 6, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for B••••• P••••• A•••••••• L••Mar 30, 2026 · Addison, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• M••••••• G••• · Elected Manager, Ccocontrolsince 02/2020 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Addison, Tx · principal | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 287 to 305Jul 26, 2024 to Mar 24, 2025
- HNW clients · 34 to 41Jul 26, 2024 to Mar 24, 2025
- Individual clients · 27 to 28Jul 26, 2024 to Mar 24, 2025
- Financial planning clients · unset to Jul 26, 2024 to Mar 24, 2025
- Discretionary RAUM · $288M to $341MJul 26, 2024 to Mar 24, 2025
- HNW RAUM · $300M to $411MJul 26, 2024 to Mar 24, 2025
- Individual RAUM · $7.1M to $8.9MJul 26, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $22.9M to $81.4MJul 26, 2024 to Mar 24, 2025
- Pension RAUM · $980,083 to $1.6MJul 26, 2024 to Mar 24, 2025
- RAUM · $310M to $422MJul 26, 2024 to Mar 24, 2025
- Accounts · 255 to 287Mar 30, 2023 to Mar 19, 2024
- Advisory employees · 1 to 2Mar 30, 2023 to Mar 19, 2024
- Pension plan clients · 0 to 1Mar 30, 2023 to Mar 19, 2024
- Employees · 4 to 5Mar 30, 2023 to Mar 19, 2024
- State-registered IARs · 1 to 2Mar 30, 2023 to Mar 19, 2024
- Discretionary RAUM · $242M to $288MMar 30, 2023 to Mar 19, 2024
- HNW RAUM · $248M to $300MMar 30, 2023 to Mar 19, 2024
- Individual RAUM · $7.8M to $7.1MMar 30, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $15.5M to $22.9MMar 30, 2023 to Mar 19, 2024
- Pension RAUM · $0 to $980,083Mar 30, 2023 to Mar 19, 2024
- RAUM · $258M to $310MMar 30, 2023 to Mar 19, 2024
- Accounts · 245 to 255Mar 10, 2022 to Mar 30, 2023
- Advisory employees · 2 to 1Mar 10, 2022 to Mar 30, 2023
- HNW clients · 31 to 34Mar 10, 2022 to Mar 30, 2023
- Individual clients · 20 to 27Mar 10, 2022 to Mar 30, 2023
- Employees · 3 to 4Mar 10, 2022 to Mar 30, 2023
- State-registered IARs · 0 to 1Mar 10, 2022 to Mar 30, 2023
- Discretionary RAUM · $313M to $242MMar 10, 2022 to Mar 30, 2023
- HNW RAUM · $347M to $248MMar 10, 2022 to Mar 30, 2023
- Individual RAUM · $6.8M to $7.8MMar 10, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $43.3M to $15.5MMar 10, 2022 to Mar 30, 2023
- RAUM · $357M to $258MMar 10, 2022 to Mar 30, 2023
- Accounts · 241 to 245Mar 12, 2021 to Mar 10, 2022
- HNW clients · 32 to 31Mar 12, 2021 to Mar 10, 2022
- Individual clients · 22 to 20Mar 12, 2021 to Mar 10, 2022
- Discretionary RAUM · $213M to $313MMar 12, 2021 to Mar 10, 2022
- HNW RAUM · $212M to $347MMar 12, 2021 to Mar 10, 2022
- Individual RAUM · $6.2M to $6.8MMar 12, 2021 to Mar 10, 2022
- Non-discretionary RAUM · $7.3M to $43.3MMar 12, 2021 to Mar 10, 2022
- RAUM · $220M to $357MMar 12, 2021 to Mar 10, 2022
Signals
7 dated events
- M•• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $421.9M)Apr 1, 2026 · Left the SEC roster · derived
- D••••• M•••••• D••••• left M•• W••••• M••••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2026-03-05)Mar 30, 2026 · Advisor changed firm · fact
- M•••••• G••• B••••• left M•• W••••• M••••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2026-03-13)Mar 30, 2026 · Advisor changed firm · fact
- 2 advisors left M•• W••••• M••••••••• L•• (Addison, TX) for B••••• P••••• A•••••••• L•• on the same dayMar 30, 2026 · Team lift-out · derived
- M•• W••••• M••••••••• L•• reported RAUM $421.9M, up 36% from $310.5M (2024-07-26 to 2025-03-24)Mar 24, 2025 · RAUM change · derived
- M•• W••••• M••••••••• L•• reported RAUM $356.5M, up 62% from $220.2M (2021-03-12 to 2022-03-10)Mar 10, 2022 · RAUM change · derived
- M•• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 6, 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.
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