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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Former SEC-registered adviser
M••• W••••• P• L••
Latest filing Mar 20, 2024
First filing on the tape Oct 19, 2023 · 4 filings
SEC status approved since Nov 17, 2023
RAUM
$0
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
11
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$0 as of Mar 20, 2024
Oct 19, 2023$709M then
HNW client RAUM$0 as of Mar 20, 2024
Oct 19, 2023$673M then
State-registered IARs (5.B.3)5 as of Mar 20, 2024
Oct 19, 20235 then
Employees (5.A)11 as of Mar 20, 2024
Oct 19, 202311 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 20, 2024; every figure names its basis
- RAUM per advisor
- $0derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual 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
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 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
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• T•••• M•••••• · President, Ceo, Ccocontrolsince 08/2023 · owns 75% or more
Related persons
Schedule D 7.A
- M••• W•••••investment advisernRAUM $1.0B
Advisers that list M••• W••••• P• L•• as a related person
- 284866 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Juan, Pr · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,113 to 0Oct 26, 2023 to Mar 20, 2024
- Advisory activities · 3 to 2Oct 26, 2023 to Mar 20, 2024
- HNW clients · 615 to 0Oct 26, 2023 to Mar 20, 2024
- Individual clients · 65 to 0Oct 26, 2023 to Mar 20, 2024
- Financial planning clients · 26-50 to unsetOct 26, 2023 to Mar 20, 2024
- Discretionary RAUM · $702M to $0Oct 26, 2023 to Mar 20, 2024
- HNW RAUM · $673M to $0Oct 26, 2023 to Mar 20, 2024
- Individual RAUM · $25.0M to $0Oct 26, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $7.5M to $0Oct 26, 2023 to Mar 20, 2024
- Pension RAUM · $4.3M to $0Oct 26, 2023 to Mar 20, 2024
- RAUM · $709M to $0Oct 26, 2023 to Mar 20, 2024
- Business name · M••• P• L•• to M••• W••••• P• L••Oct 19, 2023 to Oct 25, 2023
- Legal name · M••• P• L•• to M••• W••••• P• L••Oct 19, 2023 to Oct 25, 2023
Signals
4 dated events
- M••• W••••• P• L•• no longer on the SEC adviser roster (last listed 2025-08-01)Sep 2, 2025 · Left the SEC roster · derived
- Todd Michael Battaglia no longer registered at M••• W••••• P• L••; no later IA registration on IAPDAug 5, 2025 · Advisor departure · fact
- M••• W••••• P• L•• reported RAUM $0, down 100% from $709.2M (2023-10-26 to 2024-03-20)Mar 20, 2024 · RAUM change · derived
- M••• P• L•• filed its initial SEC registration (Form ADV)Oct 19, 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.
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