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••••• M••••••••• L••
Latest filing Jun 27, 2025
First filing on the tape Oct 21, 2024 · 11 filings
SEC status 120-day approval since Nov 19, 2024
RAUM
$60.9M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
97%
$59.3M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$30.4M
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
11 filings and snapshots on the tape
RAUM$60.9M as of Jun 27, 2025
Jan 9, 2025$0 then
HNW client RAUM$38.0M as of Jun 27, 2025
Apr 28, 2025$38.0M then
State-registered IARs (5.B.3)2 as of Jun 27, 2025
Jan 9, 20252 then
Employees (5.A)2 as of Jun 27, 2025
Jan 9, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 27, 2025; every figure names its basis
- RAUM per advisor
- $30.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $276,818derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- 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
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$38.0M62%
- Individuals$21.3M35%
- Corporations and businesses$1.6M2.6%
- Individual clients
- 73reported
- HNW clients
- 21reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 220reported
- Financial planning clients
- 0reported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••••••• J••• M•••••• | Dallas, Tx | Jan 3, 2025 | 32 y | 4 |
| K•••••• L•• M•••••• | Dallas, Tx | Apr 7, 2025 | 10 y | 2 |
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
- K•••••• L•• M•••••• from H•••••• S••••••••• I•••Feb 17, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- L••••••• J••• M•••••• from H•••••• S••••••••• I•••Jan 3, 2025 · 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••••••• K••••••• L•• · Cco/Executive Officercontrolsince 06/2024 · owns less than 5%
- M••••••• K••••••• L•• · Ownercontrolsince 10/2023 · owns 75% or more of K•• W••••• M••••••••• L••
- M••••••• L•••••••• J••• · Ownercontrolsince 10/2023 · owns 75% or more of L• W••••• M••••••••• L••
Entity owners
- K•• W••••• M••••••••• L•• · Managing Memberdirect · owns 50% to 75%
- L• W••••• M••••••••• L•• · Managing Memberdirect · 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 |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Custody of client assets · true to falseMay 13, 2025 to Jun 27, 2025
- HQ city · SPRING HILL to DALLASMay 13, 2025 to Jun 27, 2025
- HQ state · FL to TXMay 13, 2025 to Jun 27, 2025
- Accounts · 0 to 220Feb 19, 2025 to Apr 28, 2025
- Advisory activities · 4 to 3Feb 19, 2025 to Apr 28, 2025
- BD registered reps · 0 to 2Feb 19, 2025 to Apr 28, 2025
- Charity clients · unset to 0.0Feb 19, 2025 to Apr 28, 2025
- Corporate clients · unset to 2.0Feb 19, 2025 to Apr 28, 2025
- HNW clients · unset to 21.0Feb 19, 2025 to Apr 28, 2025
- Individual clients · unset to 73.0Feb 19, 2025 to Apr 28, 2025
- Pension plan clients · unset to 0.0Feb 19, 2025 to Apr 28, 2025
- Pooled vehicle clients · unset to 0.0Feb 19, 2025 to Apr 28, 2025
- Assets in custody · unset to 0.0Feb 19, 2025 to Apr 28, 2025
- Custody of client assets · false to trueFeb 19, 2025 to Apr 28, 2025
- Insurance-licensed employees · 1 to 0Feb 19, 2025 to Apr 28, 2025
- Discretionary RAUM · $0 to $60.0MFeb 19, 2025 to Apr 28, 2025
- HNW RAUM · unset to 38000000.0Feb 19, 2025 to Apr 28, 2025
- Individual RAUM · unset to 21300000.0Feb 19, 2025 to Apr 28, 2025
- Non-discretionary RAUM · $0 to $900,000Feb 19, 2025 to Apr 28, 2025
- Pension RAUM · unset to 0.0Feb 19, 2025 to Apr 28, 2025
- Pooled vehicle RAUM · unset to 0.0Feb 19, 2025 to Apr 28, 2025
- RAUM · $0 to $60.9MFeb 19, 2025 to Apr 28, 2025
- Wrap assets (manager) · 0.0 to unsetNov 11, 2024 to Jan 9, 2025
- Wrap assets (sponsor) · 0.0 to unsetNov 11, 2024 to Jan 9, 2025
- Wrap assets (manager) · unset to 0.0Oct 21, 2024 to Oct 22, 2024
- Wrap assets (sponsor) · unset to 0.0Oct 21, 2024 to Oct 22, 2024
Signals
3 dated events
- M•••••• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $60.9M)Aug 1, 2025 · Left the SEC roster · derived
- Jude Lawrence M•••••• (Owner) appeared on Schedule A of M•••••• W••••• M••••••••• L••Nov 11, 2024 · Control person joined · fact
- M•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 21, 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.
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
- $30.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026