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••••••••• A•••••••
Legal name M••••••••• A••••••• G••••• L••
Latest filing Mar 20, 2026
First filing on the tape Jun 24, 2025 · 4 filings
SEC status approved since Jul 29, 2025
RAUM
$321M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$321M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$107M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$321M as of Mar 20, 2026
Jun 24, 2025$0 then
HNW client RAUM$294M as of Mar 20, 2026
Nov 25, 2025$295M then
State-registered IARs (5.B.3)3 as of Mar 20, 2026
Jun 24, 20253 then
Employees (5.A)4 as of Mar 20, 2026
Jun 24, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
- RAUM per advisor
- $107MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $707,077derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.6derived5 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 individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $82.1M, 82 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$294M91%
- Individuals$27.4M8.5%
- Individual clients
- 61reported
- HNW clients
- 81reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 454reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $82.1M for 82 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| I•• A••••••• | Cali | Aug 1, 2025 | 31 y | 2 |
| T••••• J••••• M••••••••• | Hoboken, Nj | Aug 1, 2025 | 12 y | 2 |
| G•••• A••••••• | Bedminster, Nj | Aug 1, 2025 | 34 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
- G•••• A••••••• from R•• C•••••• M••••••• L••Aug 1, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- I•• A••••••• from R•• C•••••• M••••••• L••Aug 1, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- T••••• J••••• M••••••••• from R•• C•••••• M••••••• L••Aug 1, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•• C•••••• M••••••• L••Aug 8, 2025 · Florham Park, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• G•••• · Principal Compliance Officercontrolsince 06/2025 · owns less than 5%
Entity owners
- A••••••• F••••• L••••• H•••••••• · Ownerdirect · owns 50% to 75%
- C•• H•••••••• L•• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Bedminster, Nj | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 20, 2026custody of client assets (Item 9.A): no on the filing of 2025-11-25, yes on the filing of 2026-03-20peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 149 to 454Nov 25, 2025 to Mar 20, 2026
- BD registered reps · 3 to 2Nov 25, 2025 to Mar 20, 2026
- HNW clients · 102 to 81Nov 25, 2025 to Mar 20, 2026
- Individual clients · 45 to 61Nov 25, 2025 to Mar 20, 2026
- Assets in custody · unset to 82138398.0Nov 25, 2025 to Mar 20, 2026
- Custody of client assets · false to trueNov 25, 2025 to Mar 20, 2026
- Other offices · 2 to 4Nov 25, 2025 to Mar 20, 2026
- Discretionary RAUM · $313M to $321MNov 25, 2025 to Mar 20, 2026
- HNW RAUM · $295M to $294MNov 25, 2025 to Mar 20, 2026
- Individual RAUM · $18.7M to $27.4MNov 25, 2025 to Mar 20, 2026
- RAUM · $313M to $321MNov 25, 2025 to Mar 20, 2026
- Accounts · 0 to 149Aug 5, 2025 to Nov 25, 2025
- HNW clients · unset to 102.0Aug 5, 2025 to Nov 25, 2025
- Individual clients · unset to 45.0Aug 5, 2025 to Nov 25, 2025
- Financial planning clients · 0 to 0Aug 5, 2025 to Nov 25, 2025
- Discretionary RAUM · $0 to $313MAug 5, 2025 to Nov 25, 2025
- HNW RAUM · unset to 294741468.0Aug 5, 2025 to Nov 25, 2025
- Individual RAUM · unset to 18668510.0Aug 5, 2025 to Nov 25, 2025
- RAUM · $0 to $313MAug 5, 2025 to Nov 25, 2025
- Business name · M••••••••• A••••••• L•• to M••••••••• A•••••••Jun 24, 2025 to Aug 5, 2025
- HQ city · MARSHFIELD to Jun 24, 2025 to Aug 5, 2025
- HQ state · MA to Jun 24, 2025 to Aug 5, 2025
- Legal name · M••••••••• A••••••• L•• to M••••••••• A••••••• G••••• L••Jun 24, 2025 to Aug 5, 2025
- Other offices · 0 to 2Jun 24, 2025 to Aug 5, 2025
Signals
1 dated events
- 2 advisors left R•• C•••••• M••••••• L•• (Florham Park, NJ) for M••••••••• A••••••• on the same dayAug 8, 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
- i•••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 973-370-7850reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/107852867/admin/page-posts/publishedreportedpublic record, Form ADV, Sep 18, 2026
- Website
- m•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 973-370-7850reportedpublic record, Form ADV, Mar 20, 2026
- Contact form
- m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $107Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026