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.

Former SEC-registered adviser

Wood Asset Management LLC

Former SEC-registered adviserSarasota, FloridaCRD 106347SEC 801-46248IAPD
Latest filing Jul 17, 2014
First filing on the tape Mar 30, 2012 · 9 filings
RAUM
$387M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$387M as of Mar 26, 2014
Mar 30, 2012$450M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 26, 2014
Mar 19, 20135 then
Employees (5.A)6 as of Mar 26, 2014
Mar 19, 20138 then
Private funds: no history
RAUM -5.8% over the last fiscal yearIARs 5 to 2
Practice profile
derived from the filing of Jul 17, 2014; every figure names its basis
RAUM per advisor
$193MderivedRAUM 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
$2.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-5.8%derivedbetween the last two annual amendments
Advisor growth, one year
-60%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
196reported
Financial planning clients
n/areported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Patrick Robert Brooks · Chairmancontrol
    since 04/2010 · owns less than 5%
  • Harold Larry Haslee · Ccocontrol
    since 07/2014 · owns less than 5%
  • James Tyler Pullen · Vp - Chief Equity Officercontrol
    since 07/2014 · owns less than 5%
Entity owners
  • Nis Holdings Corporation · Direct Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 192 to 196
    Nov 15, 2013 to Mar 26, 2014
  • Business name · WOOD ASSET MANAGEMENT INC to WOOD ASSET MANAGEMENT LLC
    Nov 15, 2013 to Mar 26, 2014
  • Employees · 8 to 6
    Nov 15, 2013 to Mar 26, 2014
  • Legal name · WOOD ASSET MANAGEMENT INC to WOOD ASSET MANAGEMENT LLC
    Nov 15, 2013 to Mar 26, 2014
  • Discretionary RAUM · $354M to $387M
    Nov 15, 2013 to Mar 26, 2014
  • RAUM · $354M to $387M
    Nov 15, 2013 to Mar 26, 2014
  • Succession · true to false
    Nov 15, 2013 to Mar 26, 2014
  • Accounts · 257 to 192
    Mar 28, 2013 to Nov 15, 2013
  • Advisory employees · 4 to 2
    Mar 28, 2013 to Nov 15, 2013
  • State-registered IARs · 5 to 2
    Mar 28, 2013 to Nov 15, 2013
  • Organization form · Corporation to Limited Liability Company
    Mar 28, 2013 to Nov 15, 2013
  • Discretionary RAUM · $410M to $354M
    Mar 28, 2013 to Nov 15, 2013
  • RAUM · $410M to $354M
    Mar 28, 2013 to Nov 15, 2013
  • Succession · false to true
    Mar 28, 2013 to Nov 15, 2013
  • Accounts · 355 to 257
    Mar 30, 2012 to Mar 19, 2013
  • Advisory employees · unset to 4.0
    Mar 30, 2012 to Mar 19, 2013
  • Employees · unset to 8.0
    Mar 30, 2012 to Mar 19, 2013
  • State-registered IARs · unset to 5.0
    Mar 30, 2012 to Mar 19, 2013
  • Discretionary RAUM · $450M to $410M
    Mar 30, 2012 to Mar 19, 2013
  • RAUM · $450M to $410M
    Mar 30, 2012 to Mar 19, 2013
Signals
1 dated events
  • Wood Asset Management Inc reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Nov 15, 2013 · Succession (Item 4) · 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