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•• F•••••••• G••••• I•••

Former SEC-registered adviserHouston, TexasCRD 316876SEC 801-122791IAPD
Latest filing Mar 31, 2023
First filing on the tape Nov 1, 2021 · 7 filings
RAUM
$146M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$146M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$146M as of Mar 31, 2023
Mar 3, 2022$289M then
HNW client RAUM$51.2M as of Mar 31, 2023
Mar 3, 2022$177M then
State-registered IARs (5.B.3)1 as of Mar 31, 2023
Mar 3, 20221 then
Employees (5.A)1 as of Mar 31, 2023
Mar 3, 20221 then
Private funds: no history
RAUM -49% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2023; every figure names its basis
RAUM per advisor
$146MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
485derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$285,475derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-49%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.2%derived
Compensation
percentage of assets, hourlyreportedItem 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
  • Individuals$94.9M65%
  • High-net-worth individuals$51.2M35%
Individual clients
452reported
HNW clients
33reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
512reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • N••••••• A•••• P••••• · Presidentcontrol
        since 03/2023 · owns less than 5%
      • R•••••••• M•••••••• K••• · Chief Compliance Officercontrol
        since 03/2023 · owns less than 5%
      • N••••••• A•••• P••••• · Shareholdercontrol
        since 02/2020 · owns 75% or more of A••••••••• F•••••••• A••••••• I•••
      Entity owners
      • A••••••••• F•••••••• A••••••• I••• · Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 914 to 512
        Nov 2, 2022 to Mar 31, 2023
      • HNW clients · 87 to 33
        Nov 2, 2022 to Mar 31, 2023
      • Individual clients · 383 to 452
        Nov 2, 2022 to Mar 31, 2023
      • Discretionary RAUM · $270M to $136M
        Nov 2, 2022 to Mar 31, 2023
      • HNW RAUM · $177M to $51.2M
        Nov 2, 2022 to Mar 31, 2023
      • Individual RAUM · $112M to $94.9M
        Nov 2, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $18.3M to $10.5M
        Nov 2, 2022 to Mar 31, 2023
      • RAUM · $289M to $146M
        Nov 2, 2022 to Mar 31, 2023
      • Accounts · 698 to 914
        Nov 1, 2021 to Mar 3, 2022
      • HNW clients · 84 to 87
        Nov 1, 2021 to Mar 3, 2022
      • Individual clients · 421 to 383
        Nov 1, 2021 to Mar 3, 2022
      • Discretionary RAUM · $176M to $270M
        Nov 1, 2021 to Mar 3, 2022
      • HNW RAUM · $163M to $177M
        Nov 1, 2021 to Mar 3, 2022
      • Individual RAUM · $24.5M to $112M
        Nov 1, 2021 to Mar 3, 2022
      • Non-discretionary RAUM · $12.0M to $18.3M
        Nov 1, 2021 to Mar 3, 2022
      • RAUM · $188M to $289M
        Nov 1, 2021 to Mar 3, 2022
      • Succession · true to false
        Nov 1, 2021 to Mar 3, 2022
      Signals
      7 dated events
      • Ashton Riley Niemann no longer registered at M•• F•••••••• G••••• I•••; no later IA registration on IAPD
        Jul 31, 2023 · Advisor departure · fact
      • M•• F•••••••• G••••• I••• reported RAUM $146.2M, down 49% from $288.7M (2022-11-02 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      • Kean Mitchell Robinson (Chief Compliance Officer) appeared on Schedule A of M•• F•••••••• G••••• I•••
        Mar 31, 2023 · Control person joined · fact
      • David Michael Krost (Chief Compliance Officer, President) no longer on Schedule A of M•• F•••••••• G••••• I••• (listed 2022-11-02, absent 2023-03-31)
        Mar 31, 2023 · Control person left · inference
      • M•• F•••••••• G••••• I••• reported RAUM $288.7M, up 54% from $187.9M (2021-11-01 to 2022-03-03)
        Mar 3, 2022 · RAUM change · derived
      • M•• F•••••••• G••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Nov 1, 2021 · Succession (Item 4) · fact
      • M•• F•••••••• G••••• I••• filed its initial SEC registration (Form ADV)
        Nov 1, 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.
      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