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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
M•••••• W•••••
Legal name M•••••• W••••• S••••••••• I•••
Latest filing Feb 19, 2025
First filing on the tape Oct 6, 2021 · 21 filings
SEC status approved since Nov 5, 2021
RAUM
$290M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$290M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$290M as of Feb 19, 2025
Jan 21, 2022$145M then
HNW client RAUM$107M as of Feb 19, 2025
Jan 21, 2022$110M then
State-registered IARs (5.B.3)3 as of Feb 19, 2025
Jan 21, 20221 then
Employees (5.A)5 as of Feb 19, 2025
Jan 21, 20221 then
Private funds: no history
RAUM +25% over the last fiscal year+26% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 19, 2025; every figure names its basis
- RAUM per advisor
- $96.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.9MderivedHNW RAUM over HNW clients
- Average account
- $439,394derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, fixed feesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$183M63%
- High-net-worth individuals$107M37%
- Individual clients
- 238reported
- HNW clients
- 12reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 660reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- T••••• R•••• G••••• to C••••••• P•••••••May 6, 2025 · RIA to RIA
- J•••• E••• M•••••• to C••••••• P•••••••May 6, 2025 · RIA to RIA
- B••••••• A•••• B••••••• to C••••••• P•••••••May 6, 2025 · RIA to RIA
Joined, latest
- B••••••• A•••• B••••••• from E•••••• C•••••• M••••••••• L••Jan 4, 2023 · RIA to RIA
- J•••• E••• M•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Nov 5, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for C••••••• P•••••••May 6, 2025 · Pleasanton, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• J••••• E••• · Managing Member & Chief Compliance Officercontrolsince 06/2015 · 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 |
|---|---|---|---|---|---|
| Pleasanton, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- RAUM · $290M to $290MDec 13, 2024 to Feb 19, 2025
- Accounts · 604 to 660Dec 13, 2024 to Feb 19, 2025
- HNW clients · 14 to 12Dec 13, 2024 to Feb 19, 2025
- Individual clients · 592 to 238Dec 13, 2024 to Feb 19, 2025
- Financial planning clients · 1-10 to 251-500Dec 13, 2024 to Feb 19, 2025
- Discretionary RAUM · $290M to $290MDec 13, 2024 to Feb 19, 2025
- Individual RAUM · $183M to $183MDec 13, 2024 to Feb 19, 2025
- Non-discretionary RAUM · $846,414 to $0Dec 13, 2024 to Feb 19, 2025
- Accounts · 645 to 604Feb 14, 2024 to Dec 13, 2024
- HNW clients · 64 to 14Feb 14, 2024 to Dec 13, 2024
- Individual clients · 154 to 592Feb 14, 2024 to Dec 13, 2024
- Pension plan clients · 10 to 0Feb 14, 2024 to Dec 13, 2024
- Discretionary RAUM · $217M to $290MFeb 14, 2024 to Dec 13, 2024
- HNW RAUM · $164M to $107MFeb 14, 2024 to Dec 13, 2024
- Individual RAUM · $52.1M to $183MFeb 14, 2024 to Dec 13, 2024
- Non-discretionary RAUM · $14.0M to $846,414Feb 14, 2024 to Dec 13, 2024
- Pension RAUM · $15.3M to $0Feb 14, 2024 to Dec 13, 2024
- RAUM · $231M to $290MFeb 14, 2024 to Dec 13, 2024
- Accounts · 608 to 645Nov 3, 2023 to Feb 14, 2024
- Charity clients · 1 to 0Nov 3, 2023 to Feb 14, 2024
- HNW clients · 322 to 64Nov 3, 2023 to Feb 14, 2024
- Individual clients · 389 to 154Nov 3, 2023 to Feb 14, 2024
- Pension plan clients · 0 to 10Nov 3, 2023 to Feb 14, 2024
- Discretionary RAUM · $192M to $217MNov 3, 2023 to Feb 14, 2024
- HNW RAUM · $145M to $164MNov 3, 2023 to Feb 14, 2024
- Individual RAUM · $58.2M to $52.1MNov 3, 2023 to Feb 14, 2024
- Non-discretionary RAUM · $11.1M to $14.0MNov 3, 2023 to Feb 14, 2024
- Pension RAUM · $0 to $15.3MNov 3, 2023 to Feb 14, 2024
- RAUM · $203M to $231MNov 3, 2023 to Feb 14, 2024
- Accounts · 588 to 608Oct 25, 2023 to Oct 26, 2023
- HNW clients · 65 to 322Oct 25, 2023 to Oct 26, 2023
- Individual clients · 209 to 389Oct 25, 2023 to Oct 26, 2023
- Discretionary RAUM · $210M to $192MOct 25, 2023 to Oct 26, 2023
- HNW RAUM · $142M to $145MOct 25, 2023 to Oct 26, 2023
- Individual RAUM · $77.6M to $58.2MOct 25, 2023 to Oct 26, 2023
- Non-discretionary RAUM · $10.0M to $11.1MOct 25, 2023 to Oct 26, 2023
- RAUM · $220M to $203MOct 25, 2023 to Oct 26, 2023
- Accounts · 339 to 588Sep 12, 2023 to Sep 29, 2023
- HNW clients · 57 to 65Sep 12, 2023 to Sep 29, 2023
- Individual clients · 90 to 209Sep 12, 2023 to Sep 29, 2023
Signals
6 dated events
- M•••••• W••••• no longer on the SEC adviser roster (last listed 2025-06-02, RAUM $290.0M)Jul 1, 2025 · Left the SEC roster · derived
- T••••• R•••• G••••• left M•••••• W••••• for C••••••• P••••••• (registered 2025-02-18)May 6, 2025 · Advisor changed firm · fact
- B••••••• A•••• B••••••• left M•••••• W••••• for C••••••• P••••••• (registered 2025-02-17)May 6, 2025 · Advisor changed firm · fact
- J•••• E••• M•••••• left M•••••• W••••• for C••••••• P••••••• (registered 2025-02-17)May 6, 2025 · Advisor changed firm · fact
- M•••••• W•••••'s advisors moved to C••••••• P••••••• (Pleasanton, CA): 3 of 3 registered, on the same dayMay 6, 2025 · Firm absorbed (people side) · derived
- M•••••• W••••• S••••••••• I••• filed its initial SEC registration (Form ADV)Oct 6, 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