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•••• A• I•••
Latest filing Mar 13, 2026
First filing on the tape Sep 30, 2021 · 15 filings
SEC status approved since Oct 29, 2021
RAUM
$39,330
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$39,330 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$39,330
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$39,330 as of Mar 13, 2026
Mar 17, 2022$4,089 then
HNW client RAUM$0 as of Mar 13, 2026
Mar 17, 2022$4,089 then
State-registered IARs (5.B.3)1 as of Mar 13, 2026
Mar 17, 20220 then
Employees (5.A)2 as of Mar 13, 2026
Mar 17, 20222 then
Private funds: no history
RAUM +7.5% over the last fiscal year-14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $39,330derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 135derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $291derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.5%derived
- Compensation
- otherreportedItem 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)
- 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$39,330100%
- Individual clients
- 135reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 135reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N•••••• M•••• C••••• | Greenville, Sc | Mar 17, 2022 | 13 y | 1 |
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
none on the tape
Joined, latest
- N•••••• M•••• C••••• from S••••• W•••••• I•••Mar 17, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• J•••••••• M••••• · Founder/Ceo/Chief Compliance Officercontrolsince 09/2021 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 133 to 135Feb 22, 2026 to Mar 13, 2026
- Individual clients · 133 to 135Feb 22, 2026 to Mar 13, 2026
- Financial planning clients · to 0Feb 22, 2026 to Mar 13, 2026
- Discretionary RAUM · $36,582 to $39,330Feb 22, 2026 to Mar 13, 2026
- Individual RAUM · $36,582 to $39,330Feb 22, 2026 to Mar 13, 2026
- RAUM · $36,582 to $39,330Feb 22, 2026 to Mar 13, 2026
- Accounts · 128 to 133Mar 13, 2024 to Mar 7, 2025
- Individual clients · 128 to 133Mar 13, 2024 to Mar 7, 2025
- Financial planning clients · unset to Mar 13, 2024 to Mar 7, 2025
- Discretionary RAUM · $36,365 to $36,582Mar 13, 2024 to Mar 7, 2025
- Individual RAUM · $36,365 to $36,582Mar 13, 2024 to Mar 7, 2025
- RAUM · $36,365 to $36,582Mar 13, 2024 to Mar 7, 2025
- Advisory employees · 0 to 1Mar 12, 2024 to Mar 12, 2024
- State-registered IARs · 0 to 1Mar 12, 2024 to Mar 12, 2024
- Organization form · Limited Liability Company to CorporationMar 12, 2024 to Mar 12, 2024
- Succession · false to trueMar 12, 2024 to Mar 12, 2024
- Business name · M•••• I••••••••• L•• to M•••• A• I•••Mar 12, 2024 to Mar 12, 2024
- Legal name · M•••• I••••••••• L•• to M•••• A• I•••Mar 12, 2024 to Mar 12, 2024
- Succession · true to falseMar 12, 2024 to Mar 12, 2024
- HQ city · unset to GREENVILLEJan 8, 2024 to Feb 1, 2024
- HQ state · unset to SCJan 8, 2024 to Feb 1, 2024
- Accounts · 125 to 128Mar 31, 2023 to Jan 8, 2024
- Charity clients · unset to 0.0Mar 31, 2023 to Jan 8, 2024
- Corporate clients · unset to 0.0Mar 31, 2023 to Jan 8, 2024
- HNW clients · unset to 0.0Mar 31, 2023 to Jan 8, 2024
- Individual clients · 125 to 128Mar 31, 2023 to Jan 8, 2024
- Pension plan clients · unset to 0.0Mar 31, 2023 to Jan 8, 2024
- Pooled vehicle clients · unset to 0.0Mar 31, 2023 to Jan 8, 2024
- Discretionary RAUM · $0 to $36,365Mar 31, 2023 to Jan 8, 2024
- HNW RAUM · unset to 0.0Mar 31, 2023 to Jan 8, 2024
- Individual RAUM · $60,836 to $36,365Mar 31, 2023 to Jan 8, 2024
- Non-discretionary RAUM · $60,836 to $0Mar 31, 2023 to Jan 8, 2024
- Pension RAUM · unset to 0.0Mar 31, 2023 to Jan 8, 2024
- Pooled vehicle RAUM · unset to 0.0Mar 31, 2023 to Jan 8, 2024
- RAUM · $60,836 to $36,365Mar 31, 2023 to Jan 8, 2024
- Accounts · 13 to 125Mar 17, 2022 to Mar 31, 2023
- HNW clients · 13.0 to unsetMar 17, 2022 to Mar 31, 2023
- Individual clients · unset to 125.0Mar 17, 2022 to Mar 31, 2023
- HNW RAUM · 4089.0 to unsetMar 17, 2022 to Mar 31, 2023
- Individual RAUM · unset to 60836.0Mar 17, 2022 to Mar 31, 2023
Signals
7 dated events
- M•••• I••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 12, 2024 · Succession (Item 4) · fact
- M••••• J••••••• B••••• (Founder/Ceo/Chief Compliance Officer) appeared on Schedule A of M•••• A• I•••Mar 12, 2024 · Control person joined · fact
- Marie Natalie Cooper (Chief Compliance Officer) no longer on Schedule A of M•••• A• I••• (listed 2024-02-01, absent 2024-03-12)Mar 12, 2024 · Control person left · inference
- M••••• J••••••• B••••• (Founder & Ceo) no longer on Schedule A of M•••• A• I••• (listed 2021-10-29, absent 2022-03-17)Mar 17, 2022 · Control person left · inference
- Douglas Michael Lorenz (Cco) no longer on Schedule A of M•••• A• I••• (listed 2021-10-29, absent 2022-03-17)Mar 17, 2022 · Control person left · inference
- Marie Natalie Cooper (Chief Compliance Officer) appeared on Schedule A of M•••• A• I•••Mar 17, 2022 · Control person joined · fact
- M•••• I••••••••• L•• filed its initial SEC registration (Form ADV)Sep 30, 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
- Website
- matty.aireportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 864-888-7673reportedpublic record, Form ADV, Mar 13, 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
- $39,330derivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026