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•••••• W••••• M••••••••• I•••
Latest filing Jun 26, 2026
First filing on the tape Jun 27, 2025 · 5 filings
SEC status approved since Jun 24, 2025
RAUM
$224M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$222M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$74.8M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$224M as of Jun 26, 2026
Jun 27, 2025$0 then
HNW client RAUM$191M as of Jun 26, 2026
Oct 16, 2025$181M then
State-registered IARs (5.B.3)3 as of Jun 26, 2026
Jun 27, 20253 then
Employees (5.A)3 as of Jun 26, 2026
Jun 27, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 26, 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
- $74.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $536,830derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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, hourlyreportedItem 5.E
- Advisory activities
- financial planning, 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
- High-net-worth individuals$191M85%
- Individuals$30.8M14%
- Pension and profit-sharing plans$2.3M1.0%
- Individual clients
- 62reported
- HNW clients
- 68reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 418reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• D••• P•••••• M•••••• | Potomac, Md | Jun 27, 2025 | 21 y | 4 |
| J•••• C••••••••• B••••Certified Financial Planner | Potomac, Md | Jun 27, 2025 | 21 y | 3 |
| H•••••• M••••••••• | Potomac, Md | Jun 27, 2025 | 31 y | 3 |
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
- H•••••• M••••••••• from W•••• F•••• A•••••••Jun 27, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- L•••• D••• P•••••• M•••••• from W•••• F•••• A•••••••Jun 27, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J•••• C••••••••• B•••• from W•••• F•••• A•••••••Jun 27, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from W•••• F•••• A•••••••Jul 10, 2025 · Potomac, Md
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J••••• C••••••••• · Managing Principalcontrolsince 05/2025 · owns 75% or more
- F•••••• J•••• N••••• · Chief Compliance Officersince 05/2026 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Potomac, Md · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 329 to 418Oct 16, 2025 to Feb 10, 2026
- HNW clients · 70 to 68Oct 16, 2025 to Feb 10, 2026
- Individual clients · 47 to 62Oct 16, 2025 to Feb 10, 2026
- Financial planning clients · 0 to 11-25Oct 16, 2025 to Feb 10, 2026
- Discretionary RAUM · $199M to $224MOct 16, 2025 to Feb 10, 2026
- HNW RAUM · $181M to $191MOct 16, 2025 to Feb 10, 2026
- Individual RAUM · $15.8M to $30.8MOct 16, 2025 to Feb 10, 2026
- Pension RAUM · $2.3M to $2.3MOct 16, 2025 to Feb 10, 2026
- RAUM · $199M to $224MOct 16, 2025 to Feb 10, 2026
- Accounts · 0 to 329Jul 21, 2025 to Oct 16, 2025
- HNW clients · unset to 70.0Jul 21, 2025 to Oct 16, 2025
- Individual clients · unset to 47.0Jul 21, 2025 to Oct 16, 2025
- Financial planning clients · 0 to 0Jul 21, 2025 to Oct 16, 2025
- Discretionary RAUM · $0 to $199MJul 21, 2025 to Oct 16, 2025
- HNW RAUM · unset to 181000000.0Jul 21, 2025 to Oct 16, 2025
- Individual RAUM · unset to 15750000.0Jul 21, 2025 to Oct 16, 2025
- Pension RAUM · unset to 2250000.0Jul 21, 2025 to Oct 16, 2025
- RAUM · $0 to $199MJul 21, 2025 to Oct 16, 2025
Signals
1 dated events
- 3 advisors left W•••• F•••• A••••••• (Potomac, MD) for M•••••• W••••• M••••••••• I••• a day apartJul 10, 2025 · Team lift-out · derived
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
- c•••••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 240-396-6533reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 240-396-6600reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.m•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 240-396-6600reportedpublic record, Form ADV, Jun 26, 2026
- Contact form
- m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- m•••••••••.comreportedpublished 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
- $74.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026