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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
M••• A•••• M••••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Jun 5, 2025 · 3 filings
SEC status approved since Jun 4, 2025
RAUM
$408M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$408M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$408M as of Mar 16, 2026
Jun 5, 2025$0 then
HNW client RAUM$0 as of Mar 16, 2026
Jun 5, 2025$0 then
State-registered IARs (5.B.3)1 as of Mar 16, 2026
Jun 5, 20251 then
Employees (5.A)1 as of Mar 16, 2026
Jun 5, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $408MderivedRAUM 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
- $408MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $408M, 1 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$408M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $408M for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• C• K•••••••••Chartered Financial Analyst | Greenwood Village, Co | Jun 5, 2025 | 19 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
- J•••• C• K••••••••• from R•••••• A•••• M••••••••• L••Jun 5, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••••• J••••• C• · Chief Executive Officer Officercontrolsince 05/2025 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $400M to $408MSep 15, 2025 to Mar 16, 2026
- HQ city · NEWPORT BEACH to GREENWOOD VILLAGESep 15, 2025 to Mar 16, 2026
- HQ state · CA to COSep 15, 2025 to Mar 16, 2026
- Discretionary RAUM · $400M to $408MSep 15, 2025 to Mar 16, 2026
- RAUM · $400M to $408MSep 15, 2025 to Mar 16, 2026
- Accounts · 0 to 1Jun 5, 2025 to Sep 15, 2025
- Assets in custody · unset to 400000000.0Jun 5, 2025 to Sep 15, 2025
- Custody of client assets · false to trueJun 5, 2025 to Sep 15, 2025
- Financial planning clients · 0 to 0Jun 5, 2025 to Sep 15, 2025
- Discretionary RAUM · $0 to $400MJun 5, 2025 to Sep 15, 2025
- RAUM · $0 to $400MJun 5, 2025 to Sep 15, 2025
Signals
No event on the tape.
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
- Website
- M•••AM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 720-452-2343reportedpublic record, Form ADV, Mar 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $408Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026