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
A••• P•••••• F•••••••• M••••••••• G••••• I•••
Latest filing Mar 30, 2026
First filing on the tape May 21, 2014 · 24 filings
SEC status approved since Jun 24, 2014
RAUM
$304M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
69%
$209M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$75.9M
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$304M as of Mar 30, 2026
Mar 12, 2015$101M then
HNW client RAUM$83.3M as of Mar 30, 2026
Mar 23, 2018$40.9M then
State-registered IARs (5.B.3)4 as of Mar 30, 2026
Mar 12, 20158 then
Employees (5.A)9 as of Mar 30, 2026
Mar 12, 201512 then
Private funds: no history
RAUM +6.1% over the last fiscal year+14% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $75.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 354derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $203,709derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 30%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$125M41%
- Pension and profit-sharing plans$85.6M28%
- High-net-worth individuals$83.3M27%
- Corporations and businesses$4.4M1.4%
- Insurance companies$3.3M1.1%
- Charitable organizations$1.8M0.6%
- Individual clients
- 1,373reported
- HNW clients
- 44reported
- Pension plan clients
- 54reported
- Charitable clients
- 4reported
- Accounts
- 1,490reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.69 fund_share=0.0 institutional_share=0.3 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• D•••••• B•••••••••Certified Financial Planner | Hagatna | Jun 25, 2023 | 12 y | 0 |
| J••••••• D•••• H••• | Hagatna | Jun 25, 2023 | 10 y | 0 |
| J••••••• C•••••• U•••• | Hagatna | Aug 22, 2023 | 25 y | 0 |
| S••••• H••••• M••••••• | Hagatna | Oct 26, 2023 | 27 y | 0 |
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 headcount1 left over 36 months
Left, latest
- L•• N•• B•• to B••• L••Sep 4, 2025 · RIA to a state-registered adviser
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• S••••• H••••• · Ceo, Chief Compliance Officercontrolsince 07/2006 · owns 50% to 75%
- S••••• M••••••• A••••• · Executive Vice Presidentcontrolsince 05/2011 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Hagatna | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Mar 30, 2026private clients per advisor of 354.2 against a peer median of 57.3 (3076 comparable advisers, 99.0th percentile, 8.5 robust deviations)peers: independent wealth managers, $100M to $500M (3,076) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 1,432 to 1,490Apr 16, 2025 to Mar 30, 2026
- Advisory employees · 5 to 4Apr 16, 2025 to Mar 30, 2026
- Charity clients · 3 to 4Apr 16, 2025 to Mar 30, 2026
- Corporate clients · 14 to 13Apr 16, 2025 to Mar 30, 2026
- HNW clients · 32 to 44Apr 16, 2025 to Mar 30, 2026
- Individual clients · 1,320 to 1,373Apr 16, 2025 to Mar 30, 2026
- Pension plan clients · 63 to 54Apr 16, 2025 to Mar 30, 2026
- Employees · 10 to 9Apr 16, 2025 to Mar 30, 2026
- State-registered IARs · 5 to 4Apr 16, 2025 to Mar 30, 2026
- Discretionary RAUM · $286M to $304MApr 16, 2025 to Mar 30, 2026
- HNW RAUM · $73.3M to $83.3MApr 16, 2025 to Mar 30, 2026
- Individual RAUM · $128M to $125MApr 16, 2025 to Mar 30, 2026
- Pension RAUM · $75.6M to $85.6MApr 16, 2025 to Mar 30, 2026
- RAUM · $286M to $304MApr 16, 2025 to Mar 30, 2026
- Financial planning clients · 51-100 to 51-100Feb 20, 2025 to Apr 16, 2025
- Accounts · 1,691 to 1,432Nov 12, 2024 to Feb 20, 2025
- Advisory employees · 4 to 5Nov 12, 2024 to Feb 20, 2025
- Charity clients · unset to 3.0Nov 12, 2024 to Feb 20, 2025
- HNW clients · 27 to 32Nov 12, 2024 to Feb 20, 2025
- Individual clients · 1,300 to 1,320Nov 12, 2024 to Feb 20, 2025
- Pension plan clients · 64 to 63Nov 12, 2024 to Feb 20, 2025
- Employees · 14 to 10Nov 12, 2024 to Feb 20, 2025
- HQ state · unset to Nov 12, 2024 to Feb 20, 2025
- State-registered IARs · 4 to 5Nov 12, 2024 to Feb 20, 2025
- Discretionary RAUM · $248M to $286MNov 12, 2024 to Feb 20, 2025
- HNW RAUM · $51.5M to $73.3MNov 12, 2024 to Feb 20, 2025
- Individual RAUM · $113M to $128MNov 12, 2024 to Feb 20, 2025
- Pension RAUM · $75.4M to $75.6MNov 12, 2024 to Feb 20, 2025
- RAUM · $248M to $286MNov 12, 2024 to Feb 20, 2025
- Accounts · 2,400 to 1,691Jun 8, 2023 to Mar 30, 2024
- Advisory employees · 5 to 4Jun 8, 2023 to Mar 30, 2024
- BD registered reps · 6 to 0Jun 8, 2023 to Mar 30, 2024
- Charity clients · 1.0 to unsetJun 8, 2023 to Mar 30, 2024
- Corporate clients · 6 to 14Jun 8, 2023 to Mar 30, 2024
- HNW clients · 90 to 27Jun 8, 2023 to Mar 30, 2024
- Individual clients · 2,252 to 1,300Jun 8, 2023 to Mar 30, 2024
- Pension plan clients · 50 to 64Jun 8, 2023 to Mar 30, 2024
- Employees · 7 to 14Jun 8, 2023 to Mar 30, 2024
- State-registered IARs · 5 to 4Jun 8, 2023 to Mar 30, 2024
- Discretionary RAUM · $81.0M to $248MJun 8, 2023 to Mar 30, 2024
Signals
5 dated events
- L•• N•• B•• left A••• P•••••• F•••••••• M••••••••• G••••• I••• for B••• L•• (registered 2026-07-24)Sep 4, 2025 · Advisor changed firm · fact
- J••••••• C•••••• U•••• (Financial Advisor) no longer on Schedule A of A••• P•••••• F•••••••• M••••••••• G••••• I••• (listed 2023-06-08, absent 2024-03-30)Mar 30, 2024 · Control person left · inference
- Thaddeus Nmn Jr Jones (Vice-President) no longer on Schedule A of A••• P•••••• F•••••••• M••••••••• G••••• I••• (listed 2021-03-30, absent 2021-09-22)Sep 22, 2021 · Control person left · inference
- J••••••• C•••••• U•••• (Financial Advisor) appeared on Schedule A of A••• P•••••• F•••••••• M••••••••• G••••• I•••May 1, 2019 · Control person joined · fact
- A••• P•••••• F•••••••• M••••••••• G••••• I••• filed its initial SEC registration (Form ADV)May 21, 2014 · 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
- m••••••@a••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- e••••••••@a••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- j•••••••••@a••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- s••••@a••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- t••••••@a••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- v••••••••@a••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- w•@a••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- 4•••@a••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- a•••••@a••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- a•••••@a••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- b•••••@a••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- c••••••••@a••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $75.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026