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

P••••• W••••• A••••••• L••

Former SEC-registered adviserBaton Rouge, LouisianaCRD 106949SEC 801-43668IAPD
Latest filing Jun 8, 2018
First filing on the tape Mar 30, 2012 · 11 filings
RAUM
$250M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
72%
$181M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$250M as of Feb 1, 2018
Mar 30, 2012$174M then
HNW client RAUM: $119M
State-registered IARs (5.B.3)4 as of Feb 1, 2018
Mar 20, 20130 then
Employees (5.A)6 as of Feb 1, 2018
Mar 20, 20135 then
Private funds: no history
RAUM +27% over the last fiscal year+7.5% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Jun 8, 2018; every figure names its basis
RAUM per advisor
$62.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
101derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$282,337derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
25%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+27%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, 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
  • is an insurance broker or agent (6.A.6)
  • 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
  • High-net-worth individuals$119M48%
  • Individuals$61.4M25%
  • Pension and profit-sharing plans$59.4M24%
  • Corporations and businesses$6.3M2.5%
  • Charitable organizations$3.3M1.3%
Individual clients
348reported
HNW clients
57reported
Pension plan clients
20reported
Charitable clients
3reported
Accounts
885reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
  • P•••••• L••••• W•••••• · Presidentcontrol
    since 12/1998 · owns 75% or more
  • D••••••• D•••••• S•••• · Chief Compliance Officer And Chief Executive Officer
    since 05/2018 · owns less than 5%
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
  • BD registered reps · 4 to 0
    Jan 31, 2018 to Feb 1, 2018
  • State-registered IARs · 5 to 4
    Jan 31, 2018 to Feb 1, 2018
  • Accounts · 867 to 885
    Mar 22, 2017 to Jan 31, 2018
  • Charity clients · unset to 3.0
    Mar 22, 2017 to Jan 31, 2018
  • Corporate clients · unset to 2.0
    Mar 22, 2017 to Jan 31, 2018
  • HNW clients · unset to 57.0
    Mar 22, 2017 to Jan 31, 2018
  • Individual clients · unset to 348.0
    Mar 22, 2017 to Jan 31, 2018
  • Pension plan clients · unset to 20.0
    Mar 22, 2017 to Jan 31, 2018
  • Other offices · unset to 0.0
    Mar 22, 2017 to Jan 31, 2018
  • Discretionary RAUM · $152M to $250M
    Mar 22, 2017 to Jan 31, 2018
  • HNW RAUM · unset to 119447599.0
    Mar 22, 2017 to Jan 31, 2018
  • Individual RAUM · unset to 61368505.0
    Mar 22, 2017 to Jan 31, 2018
  • Non-discretionary RAUM · $45.1M to $0
    Mar 22, 2017 to Jan 31, 2018
  • Pension RAUM · unset to 59412264.0
    Mar 22, 2017 to Jan 31, 2018
  • RAUM · $197M to $250M
    Mar 22, 2017 to Jan 31, 2018
  • Accounts · 938 to 867
    Mar 4, 2016 to Mar 22, 2017
  • Discretionary RAUM · $157M to $152M
    Mar 4, 2016 to Mar 22, 2017
  • Non-discretionary RAUM · $43.0M to $45.1M
    Mar 4, 2016 to Mar 22, 2017
  • RAUM · $200M to $197M
    Mar 4, 2016 to Mar 22, 2017
  • Accounts · 890 to 938
    Feb 18, 2015 to Mar 4, 2016
  • Discretionary RAUM · $160M to $157M
    Feb 18, 2015 to Mar 4, 2016
  • Non-discretionary RAUM · $41.5M to $43.0M
    Feb 18, 2015 to Mar 4, 2016
  • RAUM · $201M to $200M
    Feb 18, 2015 to Mar 4, 2016
  • Accounts · 1,073 to 890
    Oct 3, 2014 to Feb 18, 2015
  • Discretionary RAUM · $181M to $160M
    Oct 3, 2014 to Feb 18, 2015
  • Non-discretionary RAUM · $24.7M to $41.5M
    Oct 3, 2014 to Feb 18, 2015
  • RAUM · $206M to $201M
    Oct 3, 2014 to Feb 18, 2015
  • Advisory employees · 5 to 4
    Mar 31, 2014 to Oct 3, 2014
  • BD registered reps · 3 to 4
    Mar 31, 2014 to Oct 3, 2014
  • Employees · 5 to 6
    Mar 31, 2014 to Oct 3, 2014
  • State-registered IARs · 0 to 5
    Mar 31, 2014 to Oct 3, 2014
  • Accounts · 1,018 to 1,073
    Mar 26, 2013 to Mar 31, 2014
  • Discretionary RAUM · $168M to $181M
    Mar 26, 2013 to Mar 31, 2014
  • Non-discretionary RAUM · $22.5M to $24.7M
    Mar 26, 2013 to Mar 31, 2014
  • RAUM · $191M to $206M
    Mar 26, 2013 to Mar 31, 2014
  • Accounts · 1,762 to 1,018
    Mar 30, 2012 to Mar 20, 2013
  • Advisory employees · unset to 5.0
    Mar 30, 2012 to Mar 20, 2013
  • BD registered reps · unset to 3.0
    Mar 30, 2012 to Mar 20, 2013
  • Commission compensation · true to false
    Mar 30, 2012 to Mar 20, 2013
  • Employees · unset to 5.0
    Mar 30, 2012 to Mar 20, 2013
Signals
No event on the tape.
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