DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Former SEC-registered adviser
M•••• F••••••• I•••
Latest filing Mar 1, 2023
First filing on the tape Sep 8, 2022 · 12 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 1, 2023
Sep 8, 20221 then
Employees (5.A)6 as of Mar 1, 2023
Sep 8, 20226 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 1, 2023; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourly, fixed fees, subscriptionreportedItem 5.E
- Advisory activities
- financial planningreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 25reported
- HNW clients
- 1reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, 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
- T••••• B•••••• W•••• to C••••••••• A•••••Dec 31, 2023 · Other
Joined, latest
- T••••• B•••••• W•••• from E•• A•••••••Oct 11, 2022 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• J•••••• G••• · Ceocontrolsince 03/2021 · owns 75% or more
- W••••• T•••••• B•••••• · Cfo, Ccosince 07/2021 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Birmingham, Al · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- HNW clients · unset to 1.0Nov 17, 2022 to Jan 26, 2023
- Individual clients · unset to 25.0Nov 17, 2022 to Jan 26, 2023
- Insurance-licensed employees · 1 to 0Nov 17, 2022 to Jan 26, 2023
- Business name · M•••• F••••••• I••• to C••••••••• A•••••Nov 1, 2022 to Nov 10, 2022
- Business name · C••••••••• A••••• to M•••• F••••••• I•••Nov 10, 2022 to Nov 10, 2022
- Advisory activities · 2 to 1Sep 8, 2022 to Sep 20, 2022
Signals
2 dated events
- T••••• B•••••• W•••• left M•••• F••••••• I••• for C••••••••• A••••• (registered 2023-08-18)Dec 31, 2023 · Advisor changed firm · fact
- M•••• F••••••• I••• filed its initial SEC registration (Form ADV)Sep 8, 2022 · 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