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••••••• • C•• A••••••• S•••••••• L••
Latest filing Jan 24, 2025
First filing on the tape Aug 25, 2020 · 20 filings
SEC status approved since Sep 29, 2020
RAUM
$30,725
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$30,725 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$30,725 as of Jan 24, 2025
Feb 19, 2021$0 then
HNW client RAUM$0 as of Jan 24, 2025
Feb 19, 2021$0 then
State-registered IARs (5.B.3)1 as of Jan 24, 2025
Feb 19, 20211 then
Employees (5.A)11 as of Jan 24, 2025
Feb 19, 20211 then
Private funds: no history
RAUM +243% over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Jan 24, 2025; every figure names its basis
- RAUM per advisor
- $30,725derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $521derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 11.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +243%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +119%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- receives research or other products from a broker-dealer, soft dollars (8.E)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$30,725100%
- Individual clients
- 59reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 59reported
- Financial planning clients
- n/areported
- 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
- C••••••••• S••••• · Treasurercontrolsince 10/2022 · owns less than 5%
- G•••••• N•••••••• D••••• · Chief Executive Officer, Chief Compliance Officer, Directorcontrolsince 08/2020 · owns less than 5%
- N••••••• D••••• W•••• · Directorcontrolsince 11/2022 · owns less than 5%
- R•••••• T••••••• M•••••• · President, Coo, Secretary, Directorcontrolsince 08/2020 · owns less than 5%
Entity owners
- M••••••• • C•• · Ownerdirect · owns 75% or more
- T•• M••••••• C••••••••• I••• · Shareholderindirect · owns 75% or more of M••••••• • C•• · public reporting company
Related persons
Schedule D 7.A
- S••••••••• F•••••••• P••••••• L••••••investment advisern
- T•••• F•••••••• • A•••• M••••••••• L••••••investment advisern
- U••••• S••••• C•••••••• F••••• L••bankpooled vehicle sponsorn
- U••• A•••••••investment adviserbanknRAUM $715M
Advisers that list M••••••• • C•• A••••••• S•••••••• L•• as a related person
- 171962 n
Offices
Schedule D 1.F, the 25 largest
- Centennial, CO
What changed
consecutive filings, newest first
- HQ city · unset to WALNUT CREEKSep 25, 2024 to Jan 24, 2025
- HQ state · unset to CASep 25, 2024 to Jan 24, 2025
- Other offices · 1 to 0Sep 25, 2024 to Jan 24, 2025
- Accounts · 27 to 59Sep 20, 2023 to Sep 25, 2024
- Advisory employees · 2 to 1Sep 20, 2023 to Sep 25, 2024
- Individual clients · 27 to 59Sep 20, 2023 to Sep 25, 2024
- Employees · 8 to 11Sep 20, 2023 to Sep 25, 2024
- State-registered IARs · 2 to 1Sep 20, 2023 to Sep 25, 2024
- Other offices · 0 to 1Sep 20, 2023 to Sep 25, 2024
- Individual RAUM · $8,964 to $30,725Sep 20, 2023 to Sep 25, 2024
- Non-discretionary RAUM · $8,964 to $30,725Sep 20, 2023 to Sep 25, 2024
- RAUM · $8,964 to $30,725Sep 20, 2023 to Sep 25, 2024
- Accounts · 0 to 27Mar 28, 2023 to Sep 11, 2023
- Advisory employees · 1 to 2Mar 28, 2023 to Sep 11, 2023
- Advisory activities · 2 to 1Mar 28, 2023 to Sep 11, 2023
- Individual clients · 0 to 27Mar 28, 2023 to Sep 11, 2023
- Financial planning clients · 0 to unsetMar 28, 2023 to Sep 11, 2023
- State-registered IARs · 1 to 2Mar 28, 2023 to Sep 11, 2023
- Individual RAUM · $0 to $8,964Mar 28, 2023 to Sep 11, 2023
- Non-discretionary RAUM · $0 to $8,964Mar 28, 2023 to Sep 11, 2023
- RAUM · $0 to $8,964Mar 28, 2023 to Sep 11, 2023
- Advisory employees · 2 to 1Jan 13, 2023 to Mar 28, 2023
- Advisory activities · 3 to 2Jan 13, 2023 to Mar 28, 2023
- Employees · 2 to 8Jan 13, 2023 to Mar 28, 2023
- State-registered IARs · 2 to 1Jan 13, 2023 to Mar 28, 2023
- Advisory employees · 1 to 2Nov 3, 2022 to Jan 13, 2023
- Employees · 1 to 2Nov 3, 2022 to Jan 13, 2023
- HQ city · CENTENNIAL to unsetNov 3, 2022 to Jan 13, 2023
- HQ state · CO to unsetNov 3, 2022 to Jan 13, 2023
- State-registered IARs · 1 to 2Nov 3, 2022 to Jan 13, 2023
- Other offices · 1 to 0Nov 3, 2022 to Jan 13, 2023
- Related adviser · false to trueNov 3, 2022 to Jan 13, 2023
- Assets in custody · 0.0 to unsetMar 18, 2021 to May 13, 2021
- Other offices · 0 to 1Mar 3, 2021 to Mar 18, 2021
- Business name · M••••••• A•• C•• A••••••• S••••••• to M••••••• • C•• A••••••• S•••••••• L••Feb 19, 2021 to Mar 3, 2021
- Legal name · M••••••• A•• C•• A••••••• S••••••• to M••••••• • C•• A••••••• S•••••••• L••Feb 19, 2021 to Mar 3, 2021
- Advisory employees · 2 to 1Jan 28, 2021 to Feb 19, 2021
- Employees · 2 to 1Jan 28, 2021 to Feb 19, 2021
- State-registered IARs · 2 to 1Jan 28, 2021 to Feb 19, 2021
- HNW RAUM · unset to 0.0Jan 28, 2021 to Feb 19, 2021
Signals
5 dated events
- M••••••• • C•• A••••••• S•••••••• L•• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $30,725)Mar 6, 2025 · Left the SEC roster · derived
- Daniel Nicholas Gerber (Chief Executive Officer, Director) appeared on Schedule A of M••••••• • C•• A••••••• S•••••••• L••Jan 13, 2023 · Control person joined · fact
- Stuart Crumbaugh (Chief Financial Officer) appeared on Schedule A of M••••••• • C•• A••••••• S•••••••• L••Jan 13, 2023 · Control person joined · fact
- Wayne David Neibert (Director) appeared on Schedule A of M••••••• • C•• A••••••• S•••••••• L••Jan 13, 2023 · Control person joined · fact
- M••••••• A•• C•• A••••••• S••••••• filed its initial SEC registration (Form ADV)Aug 25, 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