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•••• W••••• M•••••••••
Legal name M•••• W•••••• L••
Latest filing Aug 20, 2026
First filing on the tape Aug 13, 2020 · 36 filings
SEC status approved since Sep 17, 2020
RAUM
$409M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$409M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$102M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$409M as of Aug 20, 2026
Mar 1, 2021$320M then
HNW client RAUM$302M as of Aug 20, 2026
Mar 1, 2021$269M then
State-registered IARs (5.B.3)4 as of Aug 20, 2026
Mar 1, 20212 then
Employees (5.A)5 as of Aug 20, 2026
Mar 1, 20213 then
Private funds: no history
RAUM +6.8% over the last fiscal year+5.9% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Aug 20, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $102MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $464,477derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$302M74%
- Individuals$108M26%
- Individual clients
- 151reported
- HNW clients
- 132reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 881reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• M•••• | Ellicott City, Md | Sep 18, 2020 | 14 y | 2 |
| C•••••••• C••••••• J••••••Certified Financial Planner | Ellicott City, Md | Mar 1, 2021 | 10 y | 1 |
| F•••••• P• D••••• | Ellicott City, Md | May 2, 2024 | 12 y | 0 |
| R•••••• G••••••• | Ellicott City, Md | Jul 24, 2026 | 10 y | 0 |
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
- M••••••• S• M••••• to R•••••• J•••• • A••••••••• I•••Jun 22, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- C•••••••• C••••••• J•••••• from W•••• F•••• A•••••••Mar 1, 2021 · Wirehouse to independent RIA
- C•••••• M•••• from W•••• F•••• A•••••••Sep 18, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••• F•••• A•••••••Sep 23, 2020 · Baltimore, Md
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• C•••••• · Ceo / Managing Director / Chief Compliance Officercontrolsince 09/2020 · 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 |
|---|---|---|---|---|---|
| Ellicott City, Md · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Jun 16, 2026 to Aug 20, 2026
- Employees · 4 to 5Jun 16, 2026 to Aug 20, 2026
- State-registered IARs · 3 to 4Jun 16, 2026 to Aug 20, 2026
- Advisory employees · 4 to 3Feb 26, 2026 to Jun 16, 2026
- Employees · 5 to 4Feb 26, 2026 to Jun 16, 2026
- State-registered IARs · 4 to 3Feb 26, 2026 to Jun 16, 2026
- Accounts · 974 to 881Oct 6, 2025 to Feb 26, 2026
- HNW clients · 135 to 132Oct 6, 2025 to Feb 26, 2026
- Individual clients · 141 to 151Oct 6, 2025 to Feb 26, 2026
- Discretionary RAUM · $383M to $409MOct 6, 2025 to Feb 26, 2026
- HNW RAUM · $290M to $302MOct 6, 2025 to Feb 26, 2026
- Individual RAUM · $92.7M to $108MOct 6, 2025 to Feb 26, 2026
- RAUM · $383M to $409MOct 6, 2025 to Feb 26, 2026
- HQ city · ANNAPOLIS to ELLICOTT CITYApr 3, 2025 to Oct 6, 2025
- Financial planning clients · 251-500 to 251-500Feb 4, 2025 to Apr 3, 2025
- Accounts · 947 to 974May 21, 2024 to Feb 4, 2025
- Advisory employees · 3 to 4May 21, 2024 to Feb 4, 2025
- HNW clients · 137 to 135May 21, 2024 to Feb 4, 2025
- Individual clients · 137 to 141May 21, 2024 to Feb 4, 2025
- Employees · 7 to 5May 21, 2024 to Feb 4, 2025
- Discretionary RAUM · $383M to $383MMay 21, 2024 to Feb 4, 2025
- HNW RAUM · $294M to $290MMay 21, 2024 to Feb 4, 2025
- Individual RAUM · $88.4M to $92.7MMay 21, 2024 to Feb 4, 2025
- RAUM · $383M to $383MMay 21, 2024 to Feb 4, 2025
- Advisory employees · 2 to 3May 1, 2024 to May 21, 2024
- Employees · 6 to 7May 1, 2024 to May 21, 2024
- State-registered IARs · 3 to 4May 1, 2024 to May 21, 2024
- Advisory employees · 1 to 2Apr 18, 2024 to May 1, 2024
- Employees · 5 to 6Apr 18, 2024 to May 1, 2024
- State-registered IARs · 2 to 3Apr 18, 2024 to May 1, 2024
- Employees · 2 to 5Apr 14, 2024 to Apr 18, 2024
- State-registered IARs · 1 to 2Apr 14, 2024 to Apr 18, 2024
- Advisory employees · 2 to 1Feb 28, 2024 to Apr 14, 2024
- Employees · 3 to 2Feb 28, 2024 to Apr 14, 2024
- State-registered IARs · 2 to 1Feb 28, 2024 to Apr 14, 2024
- Accounts · 935 to 947Jan 8, 2024 to Feb 28, 2024
- Individual clients · 134 to 137Jan 8, 2024 to Feb 28, 2024
- Discretionary RAUM · $376M to $383MJan 8, 2024 to Feb 28, 2024
- HNW RAUM · $290M to $294MJan 8, 2024 to Feb 28, 2024
- Individual RAUM · $86.4M to $88.4MJan 8, 2024 to Feb 28, 2024
Signals
4 dated events
- M••••••• S• M••••• left M•••• W••••• M••••••••• for R•••••• J•••• • A••••••••• I••• (registered 2023-12-08)Jun 22, 2023 · Advisor changed firm · fact
- Adam Daniel Bernstein (Chief Compliance Officer) no longer on Schedule A of M•••• W••••• M••••••••• (listed 2020-08-13, absent 2020-09-18)Sep 18, 2020 · Control person left · inference
- C•••••• M•••• (Ceo / Managing Director / Chief Compliance Officer) appeared on Schedule A of M•••• W••••• M•••••••••Sep 18, 2020 · Control person joined · fact
- C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Aug 13, 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
- Website
- MarksMW.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (410) 934-1199reportedpublic record, Form ADV, Aug 20, 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
- $102Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026