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••••• • M•••••• C•••••• M••••••••• C•••
Latest filing Mar 21, 2026
First filing on the tape Jul 11, 2024 · 9 filings
SEC status approved since Aug 9, 2024
RAUM
$174M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$174M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$87.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$174M as of Mar 21, 2026
Mar 18, 2025$136M then
HNW client RAUM$120M as of Mar 21, 2026
Mar 18, 2025$104M then
State-registered IARs (5.B.3)2 as of Mar 21, 2026
Mar 18, 20253 then
Employees (5.A)2 as of Mar 21, 2026
Mar 18, 20254 then
Private funds: no history
RAUM +28% over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of Mar 21, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $87.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 218derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $602,275derivedHNW RAUM over HNW clients
- Average account
- $399,312derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +95%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$120M69%
- Individuals$53.6M31%
- Individual clients
- 236reported
- HNW clients
- 200reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 436reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- V•••••• J••• C••••••••• to O•••• W•••••• I•••Jun 23, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- V•••••• J••• C••••••••• from A••••••• P••••••••• A•••••••• I••Aug 23, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• J••• M••••• from A••••••• P••••••••• A•••••••• I••Aug 23, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- A•••••• M•••••• from A••••••• P••••••••• A•••••••• I••Aug 23, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from A••••••• P••••••••• A•••••••• I••Oct 11, 2024 · Holbrook, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• A•••••• · Chief Compliance Officer, Co-Managing Membercontrolsince 06/2024 · owns 50% to 75%
- M•••••• M••••••• J••• · Co-Managing Membercontrolsince 06/2024 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Smithtown, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 21, 2026accounts (Item 5.F.2.f) moved from 224.0 to 436.0 (+95.0%) between the annual amendments of 2025-03-18 and 2026-03-21; the peer median change was +5.0% (3687 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 98% percentile
- client count surgeChange between filings · filing Mar 21, 2026individual and HNW clients (Item 5.D) moved from 224.0 to 436.0 (+95.0%) between the annual amendments of 2025-03-18 and 2026-03-21; the peer median change was +3.0% (3309 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 224 to 436Oct 21, 2025 to Mar 21, 2026
- HNW clients · 141 to 200Oct 21, 2025 to Mar 21, 2026
- Individual clients · 83 to 236Oct 21, 2025 to Mar 21, 2026
- Employees · 4 to 2Oct 21, 2025 to Mar 21, 2026
- Financial planning clients · 1-10 to 0Oct 21, 2025 to Mar 21, 2026
- Discretionary RAUM · $136M to $174MOct 21, 2025 to Mar 21, 2026
- HNW RAUM · $104M to $120MOct 21, 2025 to Mar 21, 2026
- Individual RAUM · $32.7M to $53.6MOct 21, 2025 to Mar 21, 2026
- RAUM · $136M to $174MOct 21, 2025 to Mar 21, 2026
- Advisory employees · 3 to 2Mar 18, 2025 to Jun 25, 2025
- BD registered reps · 3 to 2Mar 18, 2025 to Jun 25, 2025
- Insurance-licensed employees · 3 to 2Mar 18, 2025 to Jun 25, 2025
- Financial planning clients · 1-10 to 1-10Mar 18, 2025 to Jun 25, 2025
- State-registered IARs · 3 to 2Mar 18, 2025 to Jun 25, 2025
- Accounts · 292 to 224Nov 14, 2024 to Mar 18, 2025
- HNW clients · 80 to 141Nov 14, 2024 to Mar 18, 2025
- Individual clients · 50 to 83Nov 14, 2024 to Mar 18, 2025
- Employees · 5 to 4Nov 14, 2024 to Mar 18, 2025
- Financial planning clients · 0 to 1-10Nov 14, 2024 to Mar 18, 2025
- Discretionary RAUM · $136M to $136MNov 14, 2024 to Mar 18, 2025
- HNW RAUM · $106M to $104MNov 14, 2024 to Mar 18, 2025
- Individual RAUM · $30.0M to $32.7MNov 14, 2024 to Mar 18, 2025
- RAUM · $136M to $136MNov 14, 2024 to Mar 18, 2025
- Accounts · 0 to 292Oct 11, 2024 to Nov 14, 2024
- Advisory employees · 2 to 3Oct 11, 2024 to Nov 14, 2024
- BD registered reps · 2 to 3Oct 11, 2024 to Nov 14, 2024
- HNW clients · unset to 80.0Oct 11, 2024 to Nov 14, 2024
- Individual clients · unset to 50.0Oct 11, 2024 to Nov 14, 2024
- Employees · 2 to 5Oct 11, 2024 to Nov 14, 2024
- Insurance-licensed employees · 0 to 3Oct 11, 2024 to Nov 14, 2024
- State-registered IARs · 2 to 3Oct 11, 2024 to Nov 14, 2024
- Discretionary RAUM · $0 to $136MOct 11, 2024 to Nov 14, 2024
- HNW RAUM · unset to 106381376.0Oct 11, 2024 to Nov 14, 2024
- Individual RAUM · unset to 30000000.0Oct 11, 2024 to Nov 14, 2024
- RAUM · $0 to $136MOct 11, 2024 to Nov 14, 2024
Signals
3 dated events
- V•••••• J••• C••••••••• left M••••• • M•••••• C•••••• M••••••••• C••• for O•••• W•••••• I••• (registered 2024-10-11)Jun 23, 2025 · Advisor changed firm · fact
- 3 advisors left A••••••• P••••••••• A•••••••• I•• (Holbrook, NY) for M••••• • M•••••• C•••••• M••••••••• C••• on the same dayOct 11, 2024 · Team lift-out · derived
- M••••• • M•••••• C•••••• M••••••••• C••• filed its initial SEC registration (Form ADV)Jul 11, 2024 · 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
- 609-243-9300reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 631-257-0080reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 646-722-6502reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- mmcmgmt.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 631-257-0080reportedpublic record, Form ADV, Mar 21, 2026
- Contact form
- mmcmgmt.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- mmcmgmt.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $87.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026