Wealth manager, independent · Dallas, TX
Miai, Inc.
SEC-registered investment adviser · CRD 111695 · SEC 801-61363
At a glance
Miai, Inc. is an SEC-registered investment adviser based in Dallas, Texas, with $213 million in regulatory assets under management as of its Form ADV filed September 10, 2026. Its largest client group by assets is individuals, and it reports 274 individual clients. By Form ADV it is a wealth manager, ranked 5,588th of 8,915 wealth managers and 11,931st of 17,210 SEC-registered advisers by assets.
Main office 214-739-5677As filed on Form ADV
- Regulatory AUM
- $213M
- Rank among wealth managers
- #5,588 of 8,915
- Rank among all SEC RIAs
- #11,931 of 17,210
- Rank in Texas
- #798 of 1,081
- Individual clients
- 274
- High-net-worth clients
- 32
- Accounts
- 276
- Discretionary
- 100% of AUM
- Employees
- 4
- Advisory staff
- 4
- Offices
- 2
Owners and executives on its Form ADV
- Cynthia E. BesekSecretary
- Daniel C. DooleyPresident
- Laurie M. MooreChief Compliance Officer
- Jonathan D. RobinsonChairman of the Board
- Andrea L. SwopeCEO
Custody and brokerage
Broker-dealer
Hybrid RIA
Miai, Inc. is a hybrid RIA: 4 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Maplewood Investments, Inc..
- Maplewood Investments, Inc. ↗CRD 103723
Its Form ADV brochure (filed December 2025) names National Financial Services as the broker-dealer its advisers are registered with.
Brokerage With the MIAI Advisors Program (MAP), all brokerage services are offered through our affiliate, MPLW, and cleared by National Financial Services (NFS).
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 242 | $138M | 65% |
| High-net-worth individuals | 32 | $69M | 32% |
| Corporations or other businesses | 2 | $6M | 3% |
Disciplinary disclosures
Miai, Inc. answers yes to 4 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Commissions
Form ADV and brochures on the SEC’s adviser search ↗
AtlasMembers
The full record on Miai, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 6,096 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Miai, Inc. manage?
Miai, Inc. reports $213 million in regulatory assets under management across 276 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 10, 2026.
What kind of firm is Miai, Inc.?
Miai, Inc. is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Miai, Inc.’s clients?
By assets, its largest client types are individuals ($138 million, 242 clients); high-net-worth individuals ($69 million, 32 clients); corporations or other businesses ($6 million, 2 clients).
Does Miai, Inc. have any disciplinary history?
Miai, Inc. answers yes to 4 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Miai, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-10), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →