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•••• • C••••• I••
Legal name M•••• • C••••• I•••
Latest filing Jul 17, 2026
First filing on the tape Mar 6, 2012 · 38 filings
SEC status approved since Mar 30, 1995
RAUM
$3.4B
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
92%
$3.2B individuals and HNW
Advisors
82
registered through the firm on IAPD
RAUM per advisor
$41.9M
derived; firm RAUM over IAPD count
Employees
121
85 advisory (5.B.1)
Offices
30
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$3.4B as of Jul 17, 2026
Sep 7, 2012$650M then
HNW client RAUM$2.2B as of Jul 17, 2026
Sep 26, 2018$298M then
State-registered IARs (5.B.3)85 as of Jul 17, 2026
Sep 18, 201395 then
Employees (5.A)121 as of Jul 17, 2026
Sep 18, 2013185 then
Private funds: no history
RAUM +38% over the last fiscal year+15% a year over threeIARs 67 to 85offices 12 to 30
Practice profile
derived from the filing of Jul 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $41.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $677,526derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 7.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.6derived31 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +9.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.9%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $6.4BreportedItem 5.I
- 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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 securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.2B65%
- Individuals$916M27%
- Charitable organizations$231M6.7%
- Pension and profit-sharing plans$30.3M0.9%
- Corporations and businesses$16.0M0.5%
- Individual clients
- 3,032reported
- HNW clients
- 1,889reported
- Pension plan clients
- 65reported
- Charitable clients
- 75reported
- Accounts
- 5,074reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $3.2B sponsored, $3.2B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=true related_bank=false bd_reps=121.0derived
Advisors registered through the firm
78 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• D•••• D••••• | Poland, Oh | Jun 25, 2007 | 29 y | 3 |
| M•••••• C••••••••• H••••••• | Boston, Ma | Aug 2, 2007 | 32 y | 2 |
| C••••••••• J••• J•••• | Englew•••, Fl | Aug 3, 2007 | 34 y | 3 |
| S••••• M•••• K••••• | Naples, Fl | Oct 13, 2008 | 43 y | 1 |
| J•••••• D•••• B•••••• | Boston, Ma | Jan 16, 2009 | 31 y | 1 |
| R••••• S•••• G•••••• | Naples, Fl | Nov 2, 2010 | 40 y | 2 |
| T••••• A•••• M••••• | Boston, Ma | Apr 21, 2011 | 25 y | 2 |
| A•••••• J••••• D•••••Certified Financial Planner | Maitland, Fl | Sep 17, 2013 | 27 y | 2 |
| D••••• J• G•••••• | Phoenix, Az | Oct 2, 2013 | 42 y | 1 |
| S•••• R••• B•••• | Boxborough, Ma | Oct 9, 2013 | 50 y | 0 |
| D•••• J••••• D••••••• | Boston, Ma | Nov 2, 2015 | 45 y | 4 |
| T••• A••• M••••••• | Englew•••, Fl | Mar 11, 2016 | 33 y | 1 |
| C•••••• R•• M••••• | Roswell, Nm | Sep 30, 2016 | 35 y | 1 |
| S•••••• A• F•••••••• | Boston, Ma | Oct 31, 2016 | 25 y | 0 |
| E••••• L••••• D•••• | Maitland, Fl | Mar 8, 2017 | 41 y | 4 |
| J••• P• S••••••• | Boston, Ma | Apr 11, 2017 | 40 y | 1 |
| C••••• J••••• F••••• M•••••• | Waterville Valley, Nh | Apr 19, 2017 | 31 y | 1 |
| J•••• J••••• C••••• | Boston, Ma | Apr 19, 2017 | 31 y | 1 |
| A••••• B•••••• D••• | Boston, Ma | Apr 28, 2017 | 38 y | 1 |
| M•••••• J••• K•••• | Alexandria, Va | Oct 20, 2017 | 32 y | 2 |
| P•••••• R••••• C••••• | East Sandwich, Ma | Feb 15, 2018 | 32 y | 1 |
| C•••••• O••• F••••• | Boston, Ma | May 21, 2018 | 10 y | 1 |
| Y••••• L• S••••••• | Phoenix, Az | Jun 20, 2018 | 17 y | 1 |
| P•••• D•••• S•••• | Boston, Ma | Feb 20, 2019 | 20 y | 0 |
| P••• L••••••• F••••• | Annapolis, Md | Apr 23, 2019 | 43 y | 4 |
| D•••• A• R••••••Certified Financial Planner | Boston, Ma | Jun 3, 2019 | 16 y | 3 |
| R••••• H•••••••• | Boston, Ma | Aug 15, 2019 | 26 y | 4 |
| P••• F•••••• G•••••••• | Westport, Ct | Oct 25, 2019 | 13 y | 1 |
| C••••••• B••••• | Boston, Ma | Dec 3, 2020 | 10 y | 0 |
| M•••••• C••••• H•••• | Boston, Ma | Dec 4, 2020 | 37 y | 1 |
| T••••• S•••• K••• | Naples, Fl | Dec 16, 2020 | 22 y | 3 |
| J•••• P• F•••••• | Boston, Ma | Jan 15, 2021 | 26 y | 3 |
| P•••• T••••• M••••••• | Maitland, Fl | Mar 23, 2021 | 19 y | 1 |
| E••• A•••• O•••••• | Phoenix, Az | Apr 21, 2021 | 20 y | 2 |
| T••••• W••••• J••••••• | Alexandria, Va | Jul 28, 2021 | 23 y | 3 |
| R••• D•••• T•••••• | Phoenix, Az | Sep 10, 2021 | 11 y | 1 |
| R••••• E••••• K•••• | Naples, Fl | Nov 5, 2021 | 18 y | 2 |
| D••••• R••••• K•••••• | Keokuk, Ia | Nov 5, 2021 | 34 y | 1 |
| J• J•• F•••• | Whitefish, Mt | Jan 14, 2022 | 30 y | 3 |
| K•••• B••••Certified Financial Planner | Englew•••, Fl | May 20, 2022 | 25 y | 3 |
Advisor movement
3 left, 16 joined in 12 months
net +13 in 12 months0 left in 90 days9 joined in 90 daysdeparture rate 3.7% of current headcount8 left over 36 months
Left, latest
- M••• K••••••• to T••••• A••••••• S•••••••• I•••Feb 12, 2026 · Affiliated broker-dealer or bank to another
- M•••••• O••••• to O•••• W•••••• I•••Nov 4, 2025 · Affiliated broker-dealer or bank to another
- M••• M••••••• to R•• W••••• M•••••••••Oct 8, 2025 · Affiliated broker-dealer or bank to independent RIA
- J•••• W••••• P••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Mar 12, 2025 · Affiliated broker-dealer or bank to another
- M•••••• K• W•••• to S•••••• C••••••Mar 3, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- J••••• L• D•••• to S•••••• C••••••Mar 3, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- P•••• M•••••• T••••••• to A••••••• S••••••• N••••••Jan 29, 2025 · Affiliated broker-dealer or bank to independent RIA
- C•••••• A• B•••• to J••• M••••• S••••••••• L••Jun 7, 2024 · Affiliated broker-dealer or bank to wirehouse
- M•••••• A•••••• S••••• to I••••••••• A••••• I••••••••• M••••••••• L••Jun 26, 2023 · Affiliated broker-dealer or bank to another
- G•••••• J••••• L••••• to P•••••• C•••••• M••••••••• I••May 17, 2023 · Affiliated broker-dealer or bank to independent RIA
- D••••• F•••••• C••••••• to C•••••• S••••• • C••• I•••Apr 18, 2023 · Affiliated broker-dealer or bank to another
- K••••••••• S••• P••••••• to C••••• A•••••• N••••••• L••Mar 24, 2023 · Affiliated broker-dealer or bank to another
- M••• V• M••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 17, 2022 · Affiliated broker-dealer or bank to wirehouse
- Y•••••• C••••• P••••• to R•••••• J•••• • A••••••••• I•••Apr 5, 2022 · Affiliated broker-dealer or bank to another
- Z•••••• E••• Y•••• to B• R•••• W••••• A•••••••• I•••Jun 21, 2021 · Affiliated broker-dealer or bank to another
Joined, latest
- R••••• D• S•••••• from M••••• S••••••Aug 31, 2026 · Wirehouse to affiliated broker-dealer or bank
- I••• M••• from K••••• F••••••••Jul 28, 2026 · RIA to affiliated broker-dealer or bank
- S•••••• D••••••• from A••••••••• A•••••• S•••••••• I•••Jul 23, 2026 · Other
- C••••• C•••• F••••••••• from C•••• • P•••••Jul 20, 2026 · RIA to affiliated broker-dealer or bank
- L••••• A•• G••• from C•••• • P•••••Jul 20, 2026 · RIA to affiliated broker-dealer or bank
- M•••••• P•••• M••••• from C•••• • P•••••Jul 17, 2026 · RIA to affiliated broker-dealer or bank
- N••••• L•••• W••• from C•••• • P•••••Jul 17, 2026 · RIA to affiliated broker-dealer or bank
- B•••• J•• M•••• from C•••• • P•••••Jul 17, 2026 · RIA to affiliated broker-dealer or bank
- J•••• C••••••• C•••••••• from C•••• • P•••••Jul 17, 2026 · RIA to affiliated broker-dealer or bank
- I•• A••••• A••••••• from S••••• W••••• A•••••••• I•••May 22, 2026 · Other
- T••••• B••• C••••• from T•• P•••••• F•••••••• G••••• L••May 18, 2026 · RIA to affiliated broker-dealer or bank
- C••••••••• A••••• K•••••••• from F••••••• P••••••• A•• W•••••••• A•••••••Mar 25, 2026 · Affiliated broker-dealer or bank to another
- T••••• R••• W•••• from P••••••• P••• P•••••• C••••• G••••• L••Dec 18, 2025 · RIA to affiliated broker-dealer or bank
- A••••• J••••• P••••• from M••••• S••••••Dec 16, 2025 · Wirehouse to affiliated broker-dealer or bank
- A••••• R••••••• C••••••••• from A••••••••• L•••Oct 30, 2025 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for S•••••• C••••••Mar 3, 2025 · Phoenix, Az
- 2 left for G•••••••• C•••••• M••••••••• G•••• L••Jan 6, 2020 · Naples, Fl
- 2 joined from C•••• • P•••••Jul 17, 2026 · New Orleans, La
- 3 joined from C•••• • P•••••Jul 17, 2026 · J••••••, Ms
- 2 joined from A•••••• C•••••• P••••••• L••Jul 5, 2023 · Naples, Fl
- 2 joined from S••••••• T•••• F•••••••• P•••••••Mar 1, 2022 · Sarasota, Fl
- 2 joined from B••• G••••• • C••••••• I•••Nov 5, 2021 · Keokuk, Ia
- 2 joined from J••••• M••••••••• S•••• L••Apr 18, 2017 · Boston, Ma
- 2 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 23, 2017 · Boston, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• M•••••• C•••••• · Evp/Coo/Directorcontrolsince 02/2008 · owns less than 5%
- G••••••• M••• D•••• · Director/Co-Chairman/T••••••controlsince 07/2008 · owns less than 5%
- H•••••••• M•••••• C••••••••• · Evp/Cfo/Finop/President/Ceo/Directorcontrolsince 11/2010 · owns less than 5%
- J••••• D••••• M•••••• · Directorcontrolsince 02/2006 · owns less than 5%
- K•••••••• K•••••••• R••• · Svp & Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- H•••••• H••••• · Ownercontrolsince 05/2006 · owns 75% or more of G••••• E••••••••• L••
- C••••••• J••••• P••••• · Svp Fixed Income/Municipal Principalsince 12/2010 · owns less than 5%
- G••••••• M••• D•••• · T••••••since 10/2012 · owns 25% to 50% of M••• D•••• G•••••• A•• A••••• M•••• G•••••• R•••••••• L••••• T••••• M••• D•••• G•••••• T••••••
Entity owners
- E••••••• N••••• P•••••••• L•• · Shareholderdirect · owns 75% or more
- G••••• E••••••••• L•• · Ownerindirect · owns 25% to 50% of E••••••• N••••• Partners
- M••• D•••• G•••••• A•• A••••• M•••• G•••••• R•••••••• L••••• T••••• M••• D•••• G•••••• T•••••• · Ownerindirect · owns 25% to 50% of E••••••• N••••• Partners
Related persons
Schedule D 7.A
- E•••••••• C•••••• M••••••••• L••investment advisernRAUM $803M
- M•••• • C••••• I••broker-dealerinvestment adviserreal estateyRAUM $3.4B
Advisers that list M•••• • C••••• I•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boston, Ma · principal | 40 | 8 | 0 | ||
| Phoenix, Az | 12 | 3 | 1 | ||
| Naples, Fl | 12 | 2 | 0 | ||
| J••••••, Ms | 7 | 7 | 0 | ||
| Englew•••, Fl | 7 | 1 | 0 | ||
| Maitland, Fl | 6 | 1 | 0 | ||
| Alexandria, Va | 5 | 0 | 1 | ||
| Keokuk, Ia | 3 | 0 | 0 | ||
| Poland, Oh | 2 | 0 | 0 | ||
| Springfield, Ma | 2 | 0 | 0 | ||
| Westport, Ct | 2 | 1 | 1 | ||
| Mesa, Az | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Winter P•••, FL8 employees
- Naples, FL7 employees
- Keokuk, IA3 employees
- Westport, CT2 employees
- Kalispell, MT2 employees
- Phoenix, AZ2 employees
- Cleveland, GA1 employees
- And••••, MN1 employees
- Englew•••, FL1 employees
- Mesa, AZ1 employees
- Roswell, NM1 employees
- Alexandria, VA1 employees
- Annapolis, MD1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 17, 2026H•••••••• M•••••• C••••••••• (EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR) left Schedule A between the filings of 2024-04-22 and 2026-07-17peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 17, 2026H•••••• H••••• (OWNER) left Schedule A between the filings of 2024-04-22 and 2026-07-17peers: affiliated wealth managers, $1B to $5B (56)
What changed
consecutive filings, newest first
- Pension plan clients · 128 to 65Sep 27, 2024 to Sep 29, 2025
- Accounts · 4,881 to 5,074Sep 27, 2024 to Sep 29, 2025
- Advisory employees · 73 to 85Sep 27, 2024 to Sep 29, 2025
- BD registered reps · 145 to 121Sep 27, 2024 to Sep 29, 2025
- Corporate clients · 23 to 13Sep 27, 2024 to Sep 29, 2025
- HNW clients · 115 to 1,889Sep 27, 2024 to Sep 29, 2025
- Individual clients · 4,168 to 3,032Sep 27, 2024 to Sep 29, 2025
- Assets in custody · $11.7M to $13.9MSep 27, 2024 to Sep 29, 2025
- Employees · 145 to 121Sep 27, 2024 to Sep 29, 2025
- Financial planning clients · 101-250 to 101-250Sep 27, 2024 to Sep 29, 2025
- State-registered IARs · 73 to 85Sep 27, 2024 to Sep 29, 2025
- Other offices · 13 to 30Sep 27, 2024 to Sep 29, 2025
- Discretionary RAUM · $2.9B to $3.2BSep 27, 2024 to Sep 29, 2025
- HNW RAUM · $550M to $2.2BSep 27, 2024 to Sep 29, 2025
- Individual RAUM · $2.2B to $916MSep 27, 2024 to Sep 29, 2025
- Non-discretionary RAUM · $221M to $231MSep 27, 2024 to Sep 29, 2025
- Pension RAUM · $67.3M to $30.3MSep 27, 2024 to Sep 29, 2025
- RAUM · $3.1B to $3.4BSep 27, 2024 to Sep 29, 2025
- Wrap assets (manager) · $3.1B to $3.2BSep 27, 2024 to Sep 29, 2025
- Wrap assets (sponsor) · $3.1B to $3.2BSep 27, 2024 to Sep 29, 2025
- Accounts · 4,119 to 4,881Apr 22, 2024 to Sep 27, 2024
- Advisory employees · 67 to 73Apr 22, 2024 to Sep 27, 2024
- BD registered reps · 134 to 145Apr 22, 2024 to Sep 27, 2024
- Charity clients · 71 to 75Apr 22, 2024 to Sep 27, 2024
- Corporate clients · 26 to 23Apr 22, 2024 to Sep 27, 2024
- HNW clients · 86 to 115Apr 22, 2024 to Sep 27, 2024
- Individual clients · 3,812 to 4,168Apr 22, 2024 to Sep 27, 2024
- Pension plan clients · 124 to 128Apr 22, 2024 to Sep 27, 2024
- Assets in custody · $15.1M to $11.7MApr 22, 2024 to Sep 27, 2024
- Employees · 137 to 145Apr 22, 2024 to Sep 27, 2024
- State-registered IARs · 67 to 73Apr 22, 2024 to Sep 27, 2024
- Other offices · 12 to 13Apr 22, 2024 to Sep 27, 2024
- Discretionary RAUM · $2.3B to $2.9BApr 22, 2024 to Sep 27, 2024
- HNW RAUM · $414M to $550MApr 22, 2024 to Sep 27, 2024
- Individual RAUM · $1.8B to $2.2BApr 22, 2024 to Sep 27, 2024
- Non-discretionary RAUM · $163M to $221MApr 22, 2024 to Sep 27, 2024
- Pension RAUM · $59.7M to $67.3MApr 22, 2024 to Sep 27, 2024
- RAUM · $2.5B to $3.1BApr 22, 2024 to Sep 27, 2024
- Wrap assets (manager) · $2.5B to $3.1BApr 22, 2024 to Sep 27, 2024
- Wrap assets (sponsor) · $2.5B to $3.1BApr 22, 2024 to Sep 27, 2024
Signals
28 dated events
- 2 advisors left C•••• • P••••• (New Orleans, LA) for M•••• • C••••• I•• on the same dayJul 17, 2026 · Team lift-out · derived
- 3 advisors left C•••• • P••••• (Jackson, MS) for M•••• • C••••• I•• within 12 daysJul 17, 2026 · Team lift-out · derived
- M••• K••••••• left M•••• • C••••• I•• for T••••• A••••••• S•••••••• I••• (registered 2026-02-19)Feb 12, 2026 · a•••••• firm change · fact
- M•••••• O••••• left M•••• • C••••• I•• for O•••• W•••••• I••• (registered 2026-02-12)Nov 4, 2025 · a•••••• firm change · fact
- M••• M••••••• left M•••• • C••••• I•• for R•• W••••• M••••••••• (registered 2025-10-17)Oct 8, 2025 · a•••••• firm change · fact
- M•••• • C••••• I•• reported 30 offices beyond its principal office, up from 13 (2024-09-27 to 2025-09-29)Sep 29, 2025 · Office count change · derived
- J•••• W••••• P••••• left M•••• • C••••• I•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-03-26)Mar 12, 2025 · a•••••• firm change · fact
- 2 advisors left M•••• • C••••• I•• (Phoenix, AZ) for S•••••• C•••••• on the same dayMar 3, 2025 · Team lift-out · derived
- M•••••• K• W•••• left M•••• • C••••• I•• for S•••••• C•••••• (registered 2025-02-24)Mar 3, 2025 · a•••••• firm change · fact
- J••••• L• D•••• left M•••• • C••••• I•• for S•••••• C•••••• (registered 2025-02-24)Mar 3, 2025 · a•••••• firm change · fact
- P•••• M•••••• T••••••• left M•••• • C••••• I•• for A••••••• S••••••• N•••••• (registered 2025-03-07)Jan 29, 2025 · a•••••• firm change · fact
- C•••••• A• B•••• left M•••• • C••••• I•• for J••• M••••• S••••••••• L•• (registered 2024-06-21)Jun 7, 2024 · a•••••• firm change · fact
- Katherine Rose Kelliher (Svp & Chief Compliance Officer) appeared on Schedule A of M•••• • C••••• I••Apr 22, 2024 · Control person joined · fact
- Peter Svorinic (Svp Chief Compliance Officer) no longer on Schedule A of M•••• • C••••• I•• (listed 2024-02-26, absent 2024-04-22)Apr 22, 2024 · Control person left · inference
- 2 advisors left A•••••• C•••••• P••••••• L•• (Naples, FL) for M•••• • C••••• I•• on the same dayJul 5, 2023 · Team lift-out · derived
- M•••••• A•••••• S••••• left M•••• • C••••• I•• for I••••••••• A••••• I••••••••• M••••••••• L•• (registered 2023-07-05)Jun 26, 2023 · a•••••• firm change · fact
- G•••••• J••••• L••••• left M•••• • C••••• I•• for P•••••• C•••••• M••••••••• I•• (registered 2023-06-04)May 17, 2023 · a•••••• firm change · fact
- D••••• F•••••• C••••••• left M•••• • C••••• I•• for C•••••• S••••• • C••• I••• (registered 2023-04-17)Apr 18, 2023 · a•••••• firm change · fact
- K••••••••• S••• P••••••• left M•••• • C••••• I•• for C••••• A•••••• N••••••• L•• (registered 2023-03-24)Mar 24, 2023 · a•••••• firm change · fact
- Edward Burke Morey (Director/Co-Chairman/Trustee) no longer on Schedule A of M•••• • C••••• I•• (listed 2022-09-27, absent 2022-10-27)Oct 27, 2022 · Control person left · inference
- Howard Hauser (Owner) appeared on Schedule A of M•••• • C••••• I••Oct 27, 2022 · Control person joined · fact
- M••• V• M••• left M•••• • C••••• I•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-12-15)Oct 17, 2022 · a•••••• firm change · fact
- Y•••••• C••••• P••••• left M•••• • C••••• I•• for R•••••• J•••• • A••••••••• I••• (registered 2022-04-26)Apr 5, 2022 · a•••••• firm change · fact
- 2 advisors left S••••••• T•••• F•••••••• P••••••• (Sarasota, FL) for M•••• • C••••• I•• within 2 daysMar 1, 2022 · Team lift-out · derived
- M•••• • C••••• I•• reported RAUM $2.3B, up 28% from $1.8B (2021-01-04 to 2021-09-30)Sep 30, 2021 · RAUM change · derived
- M•••• • C••••• I•• reported 70 state-registered advisory representatives, down from 95 (2019-10-01 to 2020-02-21)Feb 21, 2020 · ria a•••••• headcount change · derived
- M•••• • C••••• I•• reported 10 offices beyond its principal office, down from 19 (2019-10-01 to 2020-02-21)Feb 21, 2020 · Office count change · derived
- R••••• Willis Morey (Approved Person) no longer on Schedule A of M•••• • C••••• I•• (listed 2018-11-06, absent 2019-02-12)Feb 12, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- M•••• • C••••• I•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Website
- jcgwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-426-0501reportedpublic record, Form ADV, Jul 17, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $41.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026