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••••••• L••
Latest filing Apr 1, 2026
First filing on the tape Aug 26, 2024 · 11 filings
SEC status approved since Sep 24, 2024
RAUM
$1.0B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$1.0B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
16
10 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$1.0B as of Apr 1, 2026
Jan 17, 2025$703M then
HNW client RAUM$803M as of Apr 1, 2026
Jan 17, 2025$530M then
State-registered IARs (5.B.3)10 as of Apr 1, 2026
Jan 17, 202510 then
Employees (5.A)16 as of Apr 1, 2026
Jan 17, 202514 then
Private funds: no history
RAUM +49% over the last fiscal yearIARs 10 to 10
Practice profile
derived from the filing of Apr 1, 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
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 88derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $435,461derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +49%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $27.5M, 10 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$803M77%
- Individuals$244M23%
- Individual clients
- 522reported
- HNW clients
- 354reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,405reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $27.5M for 10 clientsreported
- 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=7.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• E••• K•••• | Livingstone, Ny | Sep 27, 2024 | 20 y | 1 |
| B••••••• P• M•••••Certified Financial Planner | New York, Ny | Sep 27, 2024 | 16 y | 2 |
| E••••• O• A•••••••• | New York, Ny | Sep 27, 2024 | 18 y | 1 |
| B•••••• R• T••••• | New York, Ny | Sep 27, 2024 | 16 y | 1 |
| A•••••••• F••••• | Boca Raton, Fl | Sep 27, 2024 | 13 y | 1 |
| M••••••• N••••••••• | Charlotte, Nc | Sep 27, 2024 | 15 y | 1 |
| E••• M• G••• | Charlotte, Nc | Sep 27, 2024 | 13 y | 1 |
| D•••• T•• H••• K•• | New York, Ny | Sep 27, 2024 | 12 y | 1 |
| S••••• J•••• V•• H••••• | Hoboken, Nj | Sep 27, 2024 | 16 y | 1 |
| A•••••• J• P••••••Certified Financial Planner | New York, Ny | Sep 30, 2024 | 16 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
- A•••••• J• P•••••• from E•••••••• A•••••••• L••Sep 30, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- B•••••• R• T••••• from E•••••••• A•••••••• L••Sep 27, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- A•••••••• F••••• from E•••••••• A•••••••• L••Sep 27, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- M••••••• N••••••••• from E•••••••• A•••••••• L••Sep 27, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- E••• M• G••• from E•••••••• A•••••••• L••Sep 27, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- S••••• J•••• V•• H••••• from E•••••••• A•••••••• L••Sep 27, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- D•••• T•• H••• K•• from E•••••••• A•••••••• L••Sep 27, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• E••• K•••• from E•••••••• A•••••••• L••Sep 27, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- B••••••• P• M••••• from E•••••••• A•••••••• L••Sep 27, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- E••••• O• A•••••••• from E•••••••• A•••••••• L••Sep 27, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 9 joined from E•••••••• A•••••••• L••Sep 30, 2024 · New York, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• M••••••• E••• · Founder / Chief Compliance Officercontrolsince 08/2024 · owns less than 5%
- T•••••• B••••••• R• · Partner, Cfocontrolsince 09/2024 · owns less than 5%
- V•• H•••••• S•••••• J•••• · Partner, Coocontrolsince 09/2024 · owns less than 5%
Entity owners
- B•••••• L•• · Ownerdirect · owns 25% to 50%
- M•••••• L•• · Ownerdirect · owns 25% to 50%
- S•••••• L•• · Ownerdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 10 | 0 | 0 | ||
| Charlotte, Nc | 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
- RAUM up 25 %Change between filings · filing Apr 1, 2026RAUM (Item 5.F) moved from $703,091,658 to $1,047,284,784 (+49.0%) between the annual amendments of 2025-04-02 and 2026-04-01; the peer median change was +17.0% (1298 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,298) · 92% percentile
- account count surgeChange between filings · filing Apr 1, 2026accounts (Item 5.F.2.f) moved from 1,185.0 to 2,405.0 (+103.0%) between the annual amendments of 2025-04-02 and 2026-04-01; the peer median change was +6.0% (1206 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 1,185 to 2,405Sep 11, 2025 to Jan 27, 2026
- Advisory employees · 14 to 10Sep 11, 2025 to Jan 27, 2026
- Advisory activities · 4 to 3Sep 11, 2025 to Jan 27, 2026
- BD registered reps · 3 to 7Sep 11, 2025 to Jan 27, 2026
- HNW clients · 329 to 354Sep 11, 2025 to Jan 27, 2026
- Individual clients · 485 to 522Sep 11, 2025 to Jan 27, 2026
- Assets in custody · $1.1M to $27.5MSep 11, 2025 to Jan 27, 2026
- Employees · 14 to 16Sep 11, 2025 to Jan 27, 2026
- Discretionary RAUM · $701M to $1.0BSep 11, 2025 to Jan 27, 2026
- HNW RAUM · $530M to $803MSep 11, 2025 to Jan 27, 2026
- Individual RAUM · $173M to $244MSep 11, 2025 to Jan 27, 2026
- Non-discretionary RAUM · $2.3M to $20.2MSep 11, 2025 to Jan 27, 2026
- RAUM · $703M to $1.0BSep 11, 2025 to Jan 27, 2026
- Financial planning clients · 0 to 0Apr 2, 2025 to Sep 11, 2025
- Accounts · 0 to 1,185Dec 17, 2024 to Jan 17, 2025
- BD registered reps · 7 to 3Dec 17, 2024 to Jan 17, 2025
- HNW clients · unset to 329.0Dec 17, 2024 to Jan 17, 2025
- Individual clients · unset to 485.0Dec 17, 2024 to Jan 17, 2025
- Assets in custody · unset to 1096246.0Dec 17, 2024 to Jan 17, 2025
- Custody of client assets · false to trueDec 17, 2024 to Jan 17, 2025
- Discretionary RAUM · $0 to $701MDec 17, 2024 to Jan 17, 2025
- HNW RAUM · unset to 530453770.0Dec 17, 2024 to Jan 17, 2025
- Individual RAUM · unset to 172637888.0Dec 17, 2024 to Jan 17, 2025
- Non-discretionary RAUM · $0 to $2.3MDec 17, 2024 to Jan 17, 2025
- RAUM · $0 to $703MDec 17, 2024 to Jan 17, 2025
- Advisory employees · 3 to 14Sep 20, 2024 to Sep 27, 2024
- BD registered reps · 3 to 7Sep 20, 2024 to Sep 27, 2024
- Employees · 3 to 14Sep 20, 2024 to Sep 27, 2024
- State-registered IARs · 3 to 10Sep 20, 2024 to Sep 27, 2024
- Advisory employees · 1 to 3Sep 4, 2024 to Sep 20, 2024
- BD registered reps · 1 to 3Sep 4, 2024 to Sep 20, 2024
- Employees · 1 to 3Sep 4, 2024 to Sep 20, 2024
- State-registered IARs · 1 to 3Sep 4, 2024 to Sep 20, 2024
Signals
5 dated events
- M••••••• L•• reported RAUM $1.0B, up 49% from $703.1M (2025-09-11 to 2026-01-27)Jan 27, 2026 · RAUM change · derived
- 9 advisors left E•••••••• A•••••••• L•• (New York, NY) for M••••••• L•• within 9 daysSep 30, 2024 · Team lift-out · derived
- Richard B•••••• T••••• (Partner, Cfo) appeared on Schedule A of M••••••• L••Sep 20, 2024 · Control person joined · fact
- J•••• S••••• Van H••••• (Partner, Coo) appeared on Schedule A of M••••••• L••Sep 20, 2024 · Control person joined · fact
- M••••••• L•• filed its initial SEC registration (Form ADV)Aug 26, 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 email
- i•••@m••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 845-273-6211reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/matauroreportedpublic record, Form ADV, Sep 18, 2026
- Website
- m••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 845-273-6211reportedpublic record, Form ADV, Apr 1, 2026
- Team page
- m••••••.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
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026