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 Feb 19, 2026
First filing on the tape Aug 9, 2023 · 10 filings
SEC status approved since Sep 8, 2023
RAUM
$163M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$154M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$81.4M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$163M as of Feb 19, 2026
Jan 31, 2024$116M then
HNW client RAUM$109M as of Feb 19, 2026
Jan 31, 2024$41.6M then
State-registered IARs (5.B.3)2 as of Feb 19, 2026
Jan 31, 20242 then
Employees (5.A)4 as of Feb 19, 2026
Jan 31, 20243 then
Private funds: no history
RAUM +27% over the last fiscal yearIARs 2 to 2offices 0 to 1
Practice profile
derived from the filing of Feb 19, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $81.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 107derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $392,153derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, 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
- High-net-worth individuals$109M67%
- Individuals$44.7M27%
- Pension and profit-sharing plans$7.2M4.5%
- Charitable organizations$1.5M0.9%
- Individual clients
- 184reported
- HNW clients
- 30reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 415reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• D•••• M•••Certified Financial Planner | Canonsburg, Pa | Oct 2, 2023 | 37 y | 4 |
| J•••• G•••• B••••••• | Blacksburg, Va | Oct 10, 2023 | 10 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
- J•••• G•••• B••••••• from P•••• S••••••••• L••Oct 10, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- D•••• D•••• M••• from T•• S•••••••• F•••••••• A•••••••Oct 2, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••• D••••• D•••• · Principal And Chief Compliance Officercontrolsince 08/2023 · 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 |
|---|---|---|---|---|---|
| Canonsburg, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 320 to 415Nov 12, 2025 to Feb 19, 2026
- HNW clients · 26 to 30Nov 12, 2025 to Feb 19, 2026
- Individual clients · 193 to 184Nov 12, 2025 to Feb 19, 2026
- Employees · 3 to 4Nov 12, 2025 to Feb 19, 2026
- Financial planning clients · 1-10 to 11-25Nov 12, 2025 to Feb 19, 2026
- Discretionary RAUM · $128M to $163MNov 12, 2025 to Feb 19, 2026
- HNW RAUM · $77.5M to $109MNov 12, 2025 to Feb 19, 2026
- Individual RAUM · $42.5M to $44.7MNov 12, 2025 to Feb 19, 2026
- Pension RAUM · $6.3M to $7.2MNov 12, 2025 to Feb 19, 2026
- RAUM · $128M to $163MNov 12, 2025 to Feb 19, 2026
- Other offices · 0 to 1Apr 16, 2025 to Nov 12, 2025
- Financial planning clients · 1-10 to 1-10Feb 21, 2025 to Apr 16, 2025
- Accounts · 344 to 320May 20, 2024 to Feb 21, 2025
- HNW clients · 13 to 26May 20, 2024 to Feb 21, 2025
- Individual clients · 170 to 193May 20, 2024 to Feb 21, 2025
- Financial planning clients · 0 to 1-10May 20, 2024 to Feb 21, 2025
- Discretionary RAUM · $104M to $128MMay 20, 2024 to Feb 21, 2025
- HNW RAUM · $41.6M to $77.5MMay 20, 2024 to Feb 21, 2025
- Individual RAUM · $67.2M to $42.5MMay 20, 2024 to Feb 21, 2025
- Non-discretionary RAUM · $11.6M to $0May 20, 2024 to Feb 21, 2025
- Pension RAUM · $5.9M to $6.3MMay 20, 2024 to Feb 21, 2025
- RAUM · $116M to $128MMay 20, 2024 to Feb 21, 2025
- Employees · 2 to 3Jan 8, 2024 to Jan 31, 2024
- Individual RAUM · $67.2M to $67.2MJan 8, 2024 to Jan 31, 2024
- Non-discretionary RAUM · $11.6M to $11.6MJan 8, 2024 to Jan 31, 2024
- RAUM · $116M to $116MJan 8, 2024 to Jan 31, 2024
- Accounts · 0 to 344Oct 10, 2023 to Jan 8, 2024
- HNW clients · unset to 13.0Oct 10, 2023 to Jan 8, 2024
- Individual clients · unset to 170.0Oct 10, 2023 to Jan 8, 2024
- Discretionary RAUM · $0 to $104MOct 10, 2023 to Jan 8, 2024
- HNW RAUM · unset to 41578692.0Oct 10, 2023 to Jan 8, 2024
- Individual RAUM · unset to 67174516.0Oct 10, 2023 to Jan 8, 2024
- Non-discretionary RAUM · $0 to $11.6MOct 10, 2023 to Jan 8, 2024
- Pension RAUM · unset to 5874261.0Oct 10, 2023 to Jan 8, 2024
- RAUM · $0 to $116MOct 10, 2023 to Jan 8, 2024
- HQ city · PITTSBURGH to CANONSBURGAug 9, 2023 to Oct 2, 2023
Signals
1 dated events
- M••• A•••••••• I••• filed its initial SEC registration (Form ADV)Aug 9, 2023 · 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 phone
- 724-731-0173reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- m•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (724) 731-0173reportedpublic record, Form ADV, Feb 19, 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
- $81.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026