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
M•••••• N••• I••••••••• A•••••••
Legal name M•••••• N••• I••
Latest filing Jun 14, 2019
First filing on the tape Nov 25, 2011 · 7 filings
RAUM
$103M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$100M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
7 filings and snapshots on the tape
RAUM$103M as of Jun 14, 2019
Nov 25, 2011$67.1M then
HNW client RAUM$22.3M as of Jun 14, 2019
Jun 14, 2019$22.3M then
State-registered IARs (5.B.3)3 as of Jun 14, 2019
Nov 25, 20110 then
Employees (5.A)3 as of Jun 14, 2019
Jun 14, 20193 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 14, 2019; every figure names its basis
- RAUM per advisor
- $34.5MderivedRAUM 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
- $847,820derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.9%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- Individuals$78.2M76%
- High-net-worth individuals$22.3M22%
- Pension and profit-sharing plans$2.6M2.5%
- Charitable organizations$382,0000.4%
- Individual clients
- 113reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 122reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- A••••• Y••••••••• to S••••••••• G••••• L••Dec 31, 2019 · RIA to RIA
- W•••••• M•••••••• F••••••• to C••••••• W••••• • C••Mar 4, 2013 · Other
- P••• G•••••• A••••• to W•••••• S••••••••• I•••Feb 28, 2011 · Other
Joined, latest
- W•••••• M•••••••• F••••••• from C••••••••• C•••••• L••Aug 8, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• N•••••••• H•••• H• · Presidentcontrolsince 04/2019 · owns 75% or more of S••••••••• G•••• L••
- S•••••••• C••••••••• E•••••••• · Ccosince 09/2010 · owns less than 5%
Entity owners
- S••••••••• G•••• L•• · Authorized Unissued Shares (171)direct · owns 25% to 50%
- S••••••••• G••••• L•• · Shareholderdirect · 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
- Accounts · 260 to 122Mar 14, 2012 to Jun 14, 2019
- Advisory employees · unset to 3.0Mar 14, 2012 to Jun 14, 2019
- BD registered reps · unset to 0.0Mar 14, 2012 to Jun 14, 2019
- Individual clients · unset to 113.0Mar 14, 2012 to Jun 14, 2019
- Employees · unset to 3.0Mar 14, 2012 to Jun 14, 2019
- State-registered IARs · 0 to 3Mar 14, 2012 to Jun 14, 2019
- Other offices · unset to 0.0Mar 14, 2012 to Jun 14, 2019
- Discretionary RAUM · $72.8M to $103MMar 14, 2012 to Jun 14, 2019
- HNW RAUM · unset to 22270000.0Mar 14, 2012 to Jun 14, 2019
- Individual RAUM · unset to 78211000.0Mar 14, 2012 to Jun 14, 2019
- Non-discretionary RAUM · $146,904 to $0Mar 14, 2012 to Jun 14, 2019
- Pension RAUM · unset to 2571000.0Mar 14, 2012 to Jun 14, 2019
- RAUM · $72.9M to $103MMar 14, 2012 to Jun 14, 2019
- Related adviser · false to trueMar 14, 2012 to Jun 14, 2019
- Related broker-dealer · false to trueMar 14, 2012 to Jun 14, 2019
- Related insurance company · true to falseMar 14, 2012 to Jun 14, 2019
- Accounts · 272 to 260Feb 28, 2012 to Mar 2, 2012
- Discretionary RAUM · $68.3M to $72.8MFeb 28, 2012 to Mar 2, 2012
- Non-discretionary RAUM · $5.3M to $146,904Feb 28, 2012 to Mar 2, 2012
- RAUM · $73.7M to $72.9MFeb 28, 2012 to Mar 2, 2012
- Advisory activities · 2 to 1Jan 10, 2012 to Feb 28, 2012
- Accounts · 244 to 272Nov 25, 2011 to Jan 10, 2012
- Insurance-licensed employees · unset to 0.0Nov 25, 2011 to Jan 10, 2012
- Discretionary RAUM · $67.1M to $68.3MNov 25, 2011 to Jan 10, 2012
- Non-discretionary RAUM · $0 to $5.3MNov 25, 2011 to Jan 10, 2012
- RAUM · $67.1M to $73.7MNov 25, 2011 to Jan 10, 2012
Signals
5 dated events
- Howard Eugene Noll (Chairman) no longer on Schedule A of M•••••• N••• I••••••••• A••••••• (listed 2012-03-14, absent 2019-06-14)Jun 14, 2019 · Control person left · inference
- Lynn Elizabeth Kitchen (Director) no longer on Schedule A of M•••••• N••• I••••••••• A••••••• (listed 2012-03-14, absent 2019-06-14)Jun 14, 2019 · Control person left · inference
- Michael Becker Noll (President, Ceo, Cfo, Director) no longer on Schedule A of M•••••• N••• I••••••••• A••••••• (listed 2012-03-14, absent 2019-06-14)Jun 14, 2019 · Control person left · inference
- Henry H Nicholas Stonnington (President) appeared on Schedule A of M•••••• N••• I••••••••• A•••••••Jun 14, 2019 · Control person joined · fact
- M•••••• N••• I••••••••• A••••••• filed its initial SEC registration (Form ADV)Jun 14, 2019 · First SEC registration · 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