DFX Intelligence

A••••• F•••••••• A•: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

A••••• F•••••••• A•

CRD 306917

WOLLERAU

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Search this name across graphsid dfx:ria:9616677b-fde8-3868-aa05-99920d8ecf2b

Data as of May 20, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Dec 23, 2019 to May 20, 2024
4 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $118M••• Locked
Discretionary RAUM: $118M
Private client RAUM: $105Mderived••• Locked
Private client share: 90%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• M••	Director	Na	yes	12/2019	Dec 23, 2019	May 20, 2024
M•••• F•••••• C•••••••	CEO, CCO, DIRECTOR, SHAREHOLDER	D	yes	05/2013	Dec 23, 2019	May 20, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••• L••	n/a	n/a	n/a	N	no	n/a

Relationships

Controls (3)

← M•••• F•••••• C•••••••OwnerCEO, CCO, DIRECTOR, SHAREHOLDER, ownership code D, individual
Dec 23, 2019 to presentfactForm ADV
← M••••• A••••••OwnerDIRECTOR, SHAREHOLDER, ownership code B, individual
Dec 23, 2019 to presentfactForm ADV
← C••••••• M••OwnerDIRECTOR, ownership code NA, individual
Dec 23, 2019 to presentfactForm ADV

Dated events

Occurred
Dec 23, 2019
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9616677b-fde8-3868-aa05-99920d8ecf2b
First observed: Dec 23, 2019
Last observed: May 20, 2024 28 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.