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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Former SEC-registered adviser
P••••••• F•••••••• S•••••••• I•••
Latest filing Mar 22, 2023
First filing on the tape Mar 29, 2012 · 17 filings
RAUM
$96.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$96.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$96.4M as of Mar 22, 2023
Mar 29, 2012$110M then
HNW client RAUM$69.0M as of Mar 22, 2023
Mar 29, 2018$52.5M then
State-registered IARs (5.B.3)1 as of Mar 22, 2023
Mar 29, 20120 then
Employees (5.A)2 as of Mar 22, 2023
Apr 1, 20132 then
Private funds: no history
RAUM -14% over the last fiscal year+0.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 22, 2023; every figure names its basis
- RAUM per advisor
- $96.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 184derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $192,357derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.2%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $17.4M, 40 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
- 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)
- 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$69.0M72%
- Individuals$27.4M28%
- State and municipal entities$4,3270.0%
- Individual clients
- 141reported
- HNW clients
- 43reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 501reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $17.4M for 40 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- D••••• L•••••• M•••• to A••••••••• F•••••••• S•••••••• L••Apr 6, 2023 · RIA to affiliated broker-dealer or bank
- C•••••• M•••••• T••••• to L•••• W••••• M•••••••••Dec 13, 2018 · RIA to a state-registered adviser
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• D••••• L•••••• · President-Chief Compliance Officer-Treasurercontrolsince 03/2004 · owns 75% or more
- C••••• M••••• D•••••• · Board Member, Secretarysince 10/2005 · owns less than 5%
- G••••••••• T•••• A••• · Senior Vice Presidentsince 06/2012 · owns less than 5%
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
- Accounts · 507 to 501Mar 24, 2022 to Mar 22, 2023
- HNW clients · 53 to 43Mar 24, 2022 to Mar 22, 2023
- Assets in custody · $21.0M to $17.4MMar 24, 2022 to Mar 22, 2023
- Discretionary RAUM · $112M to $96.4MMar 24, 2022 to Mar 22, 2023
- HNW RAUM · $85.6M to $69.0MMar 24, 2022 to Mar 22, 2023
- Individual RAUM · $26.6M to $27.4MMar 24, 2022 to Mar 22, 2023
- RAUM · $112M to $96.4MMar 24, 2022 to Mar 22, 2023
- Accounts · 480 to 507Mar 29, 2021 to Mar 24, 2022
- HNW clients · 48 to 53Mar 29, 2021 to Mar 24, 2022
- Individual clients · 149 to 141Mar 29, 2021 to Mar 24, 2022
- Assets in custody · $19.2M to $21.0MMar 29, 2021 to Mar 24, 2022
- Discretionary RAUM · $106M to $112MMar 29, 2021 to Mar 24, 2022
- HNW RAUM · $75.3M to $85.6MMar 29, 2021 to Mar 24, 2022
- Individual RAUM · $30.5M to $26.6MMar 29, 2021 to Mar 24, 2022
- RAUM · $106M to $112MMar 29, 2021 to Mar 24, 2022
- Accounts · 478 to 480Jun 30, 2020 to Mar 29, 2021
- HNW clients · 42 to 48Jun 30, 2020 to Mar 29, 2021
- Individual clients · 150 to 149Jun 30, 2020 to Mar 29, 2021
- Assets in custody · $19.1M to $19.2MJun 30, 2020 to Mar 29, 2021
- Discretionary RAUM · $95.3M to $106MJun 30, 2020 to Mar 29, 2021
- HNW RAUM · $63.5M to $75.3MJun 30, 2020 to Mar 29, 2021
- Individual RAUM · $31.8M to $30.5MJun 30, 2020 to Mar 29, 2021
- RAUM · $95.3M to $106MJun 30, 2020 to Mar 29, 2021
- Accounts · 475 to 478Mar 28, 2019 to Mar 29, 2020
- Individual clients · 155 to 150Mar 28, 2019 to Mar 29, 2020
- Assets in custody · $15.2M to $19.1MMar 28, 2019 to Mar 29, 2020
- Other offices · 2 to 0Mar 28, 2019 to Mar 29, 2020
- Discretionary RAUM · $91.9M to $95.3MMar 28, 2019 to Mar 29, 2020
- HNW RAUM · $61.6M to $63.5MMar 28, 2019 to Mar 29, 2020
- Individual RAUM · $30.3M to $31.8MMar 28, 2019 to Mar 29, 2020
- RAUM · $91.9M to $95.3MMar 28, 2019 to Mar 29, 2020
- Accounts · 466 to 475Dec 21, 2018 to Mar 28, 2019
- HNW clients · 46 to 42Dec 21, 2018 to Mar 28, 2019
- Individual clients · 143 to 155Dec 21, 2018 to Mar 28, 2019
- Assets in custody · $18.8M to $15.2MDec 21, 2018 to Mar 28, 2019
- Discretionary RAUM · $94.8M to $91.9MDec 21, 2018 to Mar 28, 2019
- HNW RAUM · $52.5M to $61.6MDec 21, 2018 to Mar 28, 2019
- Individual RAUM · $42.3M to $30.3MDec 21, 2018 to Mar 28, 2019
- RAUM · $94.8M to $91.9MDec 21, 2018 to Mar 28, 2019
- Accounts · 471 to 466Mar 22, 2017 to Mar 29, 2018
Signals
1 dated events
- D••••• L•••••• M•••• left P••••••• F•••••••• S•••••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-04-06)Apr 6, 2023 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026