DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

W•••• O•• A•••••••• L••

CRD 140486

WINTER PARK, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9ec9bff5-de48-5270-7932-376421048574

Data as of Jul 17, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 1
On other graphs: 1
Observed: Mar 3, 2012 to Jul 17, 2020
50 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

W•••• O•• A•••••••• L••

Investment consultant · shared crd

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: $2.2B••• Locked
Discretionary RAUM: $2.1B
Private client RAUM: $1.8Bderived••• Locked
Private client share: 79%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 16

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• S••••••• A•••••••	CHIEF INVESTMENT OFFICER / PRINCIPAL	B	yes	02/2010	Mar 3, 2012	Jul 17, 2020
J•••• R••••••• A••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2020	Mar 25, 2020	Jul 17, 2020

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$2.2B	$2.0B	13.8%	$1.7B	9.9%	16	13	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
E•••• V•••• W••••••• A•••••••	8	Dec 11, 2020	Jan 28, 2021	WINTER PARK, FL	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (5)

← L•••••• L••••• C•••••OwnerPRESIDENT, ownership code E, individual
Mar 3, 2012 to presentfactForm ADV
← M•••••••• S••••• J•••••OwnerHEAD OF ADVISORY SERVICES / PRINCIPAL, ownership code B, individual
Mar 30, 2012 to presentfactForm ADV
← M••••••• G••••••• J•••••OwnerMANAGER OF OPERATIONS, ownership code NA, individual
Mar 23, 2016 to presentfactForm ADV
← C•••••• S••••••• A•••••••OwnerCHIEF INVESTMENT OFFICER / PRINCIPAL, ownership code B, individual
Mar 3, 2012 to present

Dated events

Occurred
Mar 25, 2020
Control person joined
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9ec9bff5-de48-5270-7932-376421048574
First observed: Mar 3, 2012
Last observed: Jul 17, 2020 75 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.