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•••••• T••••••••• L••
Latest filing Aug 6, 2026
First filing on the tape Sep 13, 2021 · 25 filings
SEC status approved since Oct 13, 2021
RAUM
$103M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
65%
$66.8M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$11.4M
derived; firm RAUM over IAPD count
Employees
13
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$103M as of Aug 6, 2026
Mar 21, 2022$50 then
HNW client RAUM$55.5M as of Aug 6, 2026
Mar 21, 2022$0 then
State-registered IARs (5.B.3)7 as of Aug 6, 2026
Mar 21, 20229 then
Employees (5.A)13 as of Aug 6, 2026
Mar 21, 20229 then
Private funds: no history
RAUM +98% over the last fiscal year+822% a year over threeIARs 8 to 7offices 1 to 0
Practice profile
derived from the filing of Aug 6, 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
- $10.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 6derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $873,148derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 35%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +98%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +36%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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$55.5M54%
- Charitable organizations$36.2M35%
- Individuals$11.3M11%
- Individual clients
- 42reported
- HNW clients
- 18reported
- Pension plan clients
- 0reported
- Charitable clients
- 7reported
- Accounts
- 118reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.65 fund_share=0.0 institutional_share=0.35 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• C•••••••• | Pittsburgh, Pa | Mar 19, 2026 | 21 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 11% of current headcount4 left over 36 months
Left, latest
- G•••••• J••••• B•••••• to H••• C•••••• K•••••• A•••••••Nov 10, 2025 · RIA to a state-registered adviser
- C•••••• L•• D•••• to H••••••••• F••••••••May 30, 2025 · RIA to RIA
- J•• A••••• F••••• to L•• F•••••••• L••Apr 17, 2025 · RIA to affiliated broker-dealer or bank
- S••• A••••• T•••• to N••••••••• M••••• I••••••••• S•••••••••Feb 23, 2024 · Other
- M••• E•••••••• K••••• to W•••••• P•••••• W•••••Sep 22, 2022 · RIA to RIA
Joined, latest
- J•••••• C•••••••• from S•••••••• W••••• A•••••••• L••Mar 19, 2026 · RIA to RIA
- J•• A••••• F••••• from M•• W••••• A•••••••• L••Jun 5, 2024 · RIA to RIA
- S••• A••••• T•••• from M•• W••••• A•••••••• L••Jan 24, 2024 · RIA to RIA
- G•••••• J••••• B•••••• from M•• W••••• A•••••••• L••Jan 3, 2023 · RIA to RIA
- C•••••• L•• D•••• from M•• W••••• A•••••••• L••Sep 8, 2022 · RIA to RIA
- M••• E•••••••• K••••• from M•• W••••• A•••••••• L••Nov 24, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• C••••••••• S••• · President, Chief Executive Officercontrolsince 09/2021 · owns 75% or more
- P•••••••• M••••• M•••• · Chief Operations Officercontrolsince 10/2021 · owns less than 5%
- R•••••••• D••••• J•••• · Chief Compliance Officersince 03/2024 · owns less than 5%
Related persons
Schedule D 7.A
- M•• W••••• A•••••••• L••investment adviseryRAUM $605M
Advisers that list M•••••• T••••••••• L•• as a related person
- 171984 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pittsburgh, Pa · principal | 10 | 5 | 0 | ||
| Rescue, Ca | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Fleming Island, FL1 employees
- , 1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Mar 12, 2026institutional share of RAUM moved from 54.0% to 35.0% between the annual amendments of 2025-04-18 and 2026-03-12peers: independent wealth managers, $100M to $500M (5,676)
- RAUM up 50 %Change between filings · filing Mar 12, 2026RAUM (Item 5.F) moved from $51,923,678 to $103,031,482 (+98.0%) between the annual amendments of 2025-04-18 and 2026-03-12; the peer median change was +15.0% (4550 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 99% percentile
- client mix shiftChange between filings · filing Mar 12, 2026private-client share of RAUM moved from 46.0% to 65.0% between the annual amendments of 2025-04-18 and 2026-03-12peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Mar 12, 2026HNW share of RAUM moved from 34.0% to 54.0% between the annual amendments of 2025-04-18 and 2026-03-12peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 80 to 118Nov 17, 2025 to Mar 12, 2026
- Advisory employees · 8 to 7Nov 17, 2025 to Mar 12, 2026
- Advisory activities · 2 to 3Nov 17, 2025 to Mar 12, 2026
- Charity clients · 0 to 7Nov 17, 2025 to Mar 12, 2026
- HNW clients · 10 to 18Nov 17, 2025 to Mar 12, 2026
- Individual clients · 34 to 42Nov 17, 2025 to Mar 12, 2026
- Employees · 11 to 13Nov 17, 2025 to Mar 12, 2026
- Insurance-licensed employees · 8 to 7Nov 17, 2025 to Mar 12, 2026
- Financial planning clients · to 1-10Nov 17, 2025 to Mar 12, 2026
- State-registered IARs · 8 to 7Nov 17, 2025 to Mar 12, 2026
- Discretionary RAUM · $51.9M to $103MNov 17, 2025 to Mar 12, 2026
- HNW RAUM · $17.9M to $55.5MNov 17, 2025 to Mar 12, 2026
- Individual RAUM · $6.2M to $11.3MNov 17, 2025 to Mar 12, 2026
- RAUM · $51.9M to $103MNov 17, 2025 to Mar 12, 2026
- Other offices · 1 to 0Apr 18, 2025 to Nov 17, 2025
- Accounts · 92 to 80Feb 14, 2025 to Apr 18, 2025
- Advisory employees · 10 to 8Feb 14, 2025 to Apr 18, 2025
- HNW clients · 5 to 10Feb 14, 2025 to Apr 18, 2025
- Individual clients · 72 to 34Feb 14, 2025 to Apr 18, 2025
- Employees · 12 to 11Feb 14, 2025 to Apr 18, 2025
- Insurance-licensed employees · 10 to 8Feb 14, 2025 to Apr 18, 2025
- Financial planning clients · unset to Feb 14, 2025 to Apr 18, 2025
- State-registered IARs · 10 to 8Feb 14, 2025 to Apr 18, 2025
- Other offices · 2 to 1Feb 14, 2025 to Apr 18, 2025
- Discretionary RAUM · $17.2M to $51.9MFeb 14, 2025 to Apr 18, 2025
- HNW RAUM · $13.2M to $17.9MFeb 14, 2025 to Apr 18, 2025
- Individual RAUM · $3.5M to $6.2MFeb 14, 2025 to Apr 18, 2025
- RAUM · $17.2M to $51.9MFeb 14, 2025 to Apr 18, 2025
- Other offices · 3 to 2Nov 13, 2024 to Dec 9, 2024
- Advisory activities · 1 to 2Oct 10, 2024 to Nov 13, 2024
- Advisory employees · 7 to 10May 1, 2024 to Aug 23, 2024
- Employees · 10 to 12May 1, 2024 to Aug 23, 2024
- Insurance-licensed employees · 7 to 10May 1, 2024 to Aug 23, 2024
- State-registered IARs · 7 to 10May 1, 2024 to Aug 23, 2024
- Other offices · 2 to 3Mar 27, 2024 to May 1, 2024
- Accounts · 12 to 92Feb 7, 2024 to Mar 27, 2024
- HNW clients · 3 to 5Feb 7, 2024 to Mar 27, 2024
- Individual clients · 9 to 72Feb 7, 2024 to Mar 27, 2024
- Discretionary RAUM · $131,638 to $17.2MFeb 7, 2024 to Mar 27, 2024
- HNW RAUM · $89,697 to $13.2MFeb 7, 2024 to Mar 27, 2024
Signals
9 dated events
- G•••••• J••••• B•••••• left M•••••• T••••••••• L•• for H••• C•••••• K•••••• A••••••• (registered 2026-02-10)Nov 10, 2025 · Advisor changed firm · fact
- C•••••• L•• D•••• left M•••••• T••••••••• L•• for H••••••••• F•••••••• (registered 2025-07-28)May 30, 2025 · Advisor changed firm · fact
- J•• A••••• F••••• left M•••••• T••••••••• L•• for L•• F•••••••• L•• (registered 2025-04-17)Apr 17, 2025 · Advisor changed firm · fact
- James David Reichert (Chief Compliance Officer) appeared on Schedule A of M•••••• T••••••••• L••Mar 27, 2024 · Control person joined · fact
- S••• A••••• T•••• left M•••••• T••••••••• L•• for N••••••••• M••••• I••••••••• S••••••••• (registered 2024-08-02)Feb 23, 2024 · Advisor changed firm · fact
- M••• E•••••••• K••••• left M•••••• T••••••••• L•• for W•••••• P•••••• W••••• (registered 2022-10-20)Sep 22, 2022 · Advisor changed firm · fact
- E•••••••• M••• K••••• (Chief Compliance Officer And Chief Counsel) no longer on Schedule A of M•••••• T••••••••• L•• (listed 2022-09-22, absent 2022-09-22)Sep 22, 2022 · Control person left · inference
- Marie Megan Petruska (Chief Operations Officer) appeared on Schedule A of M•••••• T••••••••• L••Oct 27, 2021 · Control person joined · fact
- A•••••• W••••• A••••••• filed its initial SEC registration (Form ADV)Sep 13, 2021 · 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 email
- info@aquinaswealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 833-730-3700reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/aquinas-wealth-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- aquinaswealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 833-730-3700reportedpublic record, Form ADV, Aug 6, 2026
- Contact form
- aquinaswealth.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $11.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026