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
A••• W••••• S•••••••••
Legal name A••••••• E••••••• P••••••• G•••• I••
Latest filing Jun 28, 2019
First filing on the tape Feb 8, 2012 · 23 filings
RAUM
$913M
reported, Item 5.F
Discretionary
72%
of RAUM
Private clients
68%
$624M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$913M as of Feb 28, 2019
Mar 30, 2012$696M then
HNW client RAUM$503M as of Feb 28, 2019
Mar 8, 2018$543M then
State-registered IARs (5.B.3)12 as of Feb 28, 2019
Mar 8, 201312 then
Employees (5.A)15 as of Feb 28, 2019
Mar 8, 201325 then
Private funds: no history
RAUM +2.5% over the last fiscal year+1.4% a year over threeIARs 15 to 12
Practice profile
derived from the filing of Jun 28, 2019; every figure names its basis
- RAUM per advisor
- $76.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $535,684derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 72%derivedof RAUM
- Institutional
- 30%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 12.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$503M55%
- Pension and profit-sharing plans$273M30%
- Individuals$121M13%
- Corporations and businesses$14.6M1.6%
- Charitable organizations$1.1M0.1%
- Individual clients
- 272reported
- HNW clients
- 194reported
- Pension plan clients
- 90reported
- Charitable clients
- 1reported
- Accounts
- 1,704reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
Left, latest
- G••• Q•••••• to W••••• E••••••••• A••••••• S•••••••• L••Oct 2, 2019 · RIA to affiliated broker-dealer or bank
- C••••••••• V•• H•••••• to W••••• E••••••••• A••••••• S•••••••• L••Oct 2, 2019 · RIA to affiliated broker-dealer or bank
- C•••• S••••••• to W••••• E••••••••• A••••••• S•••••••• L••Oct 2, 2019 · RIA to affiliated broker-dealer or bank
- B••• K••• to W••••• E••••••••• A••••••• S•••••••• L••Oct 2, 2019 · RIA to affiliated broker-dealer or bank
- C••••••••• P••••••••• to W••••• E••••••••• A••••••• S•••••••• L••Oct 2, 2019 · RIA to affiliated broker-dealer or bank
- P•••• A••••• N•••••• to W••••• E••••••••• A••••••• S•••••••• L••Oct 2, 2019 · RIA to affiliated broker-dealer or bank
- P•••• C• H•••••• to W••••• E••••••••• A••••••• S•••••••• L••Oct 2, 2019 · RIA to affiliated broker-dealer or bank
- R•• A• H•••••• to W••••• E••••••••• A••••••• S•••••••• L••Oct 2, 2019 · RIA to affiliated broker-dealer or bank
- A•••••••• J••••• V••••••••• to W••••• E••••••••• A••••••• S•••••••• L••Oct 2, 2019 · RIA to affiliated broker-dealer or bank
- J••••• C•••••• G•• to W••••• E••••••••• A••••••• S•••••••• L••Jan 22, 2019 · RIA to RIA
- M••• D••••••• to B••••• P••••• W••••• A•••••••• L••Apr 12, 2017 · Other
- A••• S•••••••• V•••••••• to C••••••• F•••••••• A••••••• I••Jul 30, 2016 · Other
- R••••• M•••••• M••••••• to V••••••• A•••••••• I•••Oct 12, 2015 · Other
- M•••••• J••• W••••••••• to T•• P••••• S•••••••••May 7, 2013 · Other
- R••••• P••••• R•••••• to P••••••• W••••• M••••••••• G••••• L••Apr 19, 2013 · Other
Joined, latest
- C••••••••• P••••••••• from B••• B••• P•••••• W••••• M••••••••• L••Nov 9, 2017 · Other
- G••• Q•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 7, 2017 · Other
- C••••••••• V•• H•••••• from M• H••••••• S••••••••• I•••Oct 17, 2016 · Other
- J••••• C•••••• G•• from M•• I•••••••• S•••••••• L••Feb 23, 2016 · Other
- P•••• C• H•••••• from W•••• F•••• A•••••••Jan 22, 2015 · Other
- R••••• M•••••• M••••••• from C••••••••• C•••••• A•••••••• L••Sep 9, 2014 · Other
- C•••• S••••••• from L••••••• A•••• M••••••••• L••Mar 6, 2013 · Other
- R•• A• H•••••• from E•••••••• A•••••••• L••Apr 3, 2012 · Other
- E••••• H••••• R••••• from C••••••••• C•••••• M••••••••• I•••Apr 26, 2011 · Other
- R••••• P••••• R•••••• from 1•• G••••• A••••••• I••Aug 6, 2008 · Other
- M•••••• J••• W••••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 13, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 9 left for W••••• E••••••••• A••••••• S•••••••• L••Oct 2, 2019 · Warren, Nj · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••• S•••••• W•••• · Presidentcontrolsince 03/1983 · owns 75% or more
- S•••••••• C••••••••• J••• · Evp Strategy & Operations / Chief Compliance Officercontrolsince 02/2013 · owns less than 5%
Related persons
Schedule D 7.A
- A••••••• B••••••• P••••••• G•••• I•••real estatey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,463 to 1,704Mar 8, 2018 to Feb 28, 2019
- Charity clients · unset to 1.0Mar 8, 2018 to Feb 28, 2019
- HNW clients · 294 to 194Mar 8, 2018 to Feb 28, 2019
- Individual clients · 207 to 272Mar 8, 2018 to Feb 28, 2019
- Employees · 18 to 15Mar 8, 2018 to Feb 28, 2019
- Financial planning clients · 251-500 to More than 500Mar 8, 2018 to Feb 28, 2019
- State-registered IARs · 15 to 12Mar 8, 2018 to Feb 28, 2019
- Discretionary RAUM · $665M to $658MMar 8, 2018 to Feb 28, 2019
- HNW RAUM · $543M to $503MMar 8, 2018 to Feb 28, 2019
- Individual RAUM · $67.1M to $121MMar 8, 2018 to Feb 28, 2019
- Non-discretionary RAUM · $226M to $255MMar 8, 2018 to Feb 28, 2019
- Pension RAUM · $270M to $273MMar 8, 2018 to Feb 28, 2019
- RAUM · $891M to $913MMar 8, 2018 to Feb 28, 2019
- Accounts · 1,577 to 1,463Jun 2, 2017 to Mar 8, 2018
- Advisory employees · 13 to 15Jun 2, 2017 to Mar 8, 2018
- Advisory activities · 7 to 4Jun 2, 2017 to Mar 8, 2018
- Corporate clients · unset to 3.0Jun 2, 2017 to Mar 8, 2018
- HNW clients · unset to 294.0Jun 2, 2017 to Mar 8, 2018
- Individual clients · unset to 207.0Jun 2, 2017 to Mar 8, 2018
- Pension plan clients · unset to 90.0Jun 2, 2017 to Mar 8, 2018
- State-registered IARs · 13 to 15Jun 2, 2017 to Mar 8, 2018
- Other offices · unset to 0.0Jun 2, 2017 to Mar 8, 2018
- Discretionary RAUM · $597M to $665MJun 2, 2017 to Mar 8, 2018
- HNW RAUM · unset to 543186558.0Jun 2, 2017 to Mar 8, 2018
- Individual RAUM · unset to 67147851.0Jun 2, 2017 to Mar 8, 2018
- Non-discretionary RAUM · $146M to $226MJun 2, 2017 to Mar 8, 2018
- Pension RAUM · unset to 269754163.0Jun 2, 2017 to Mar 8, 2018
- RAUM · $744M to $891MJun 2, 2017 to Mar 8, 2018
- Accounts · 1,497 to 1,577Dec 15, 2016 to Feb 27, 2017
- Advisory employees · 16 to 13Dec 15, 2016 to Feb 27, 2017
- Employees · 20 to 18Dec 15, 2016 to Feb 27, 2017
- State-registered IARs · 16 to 13Dec 15, 2016 to Feb 27, 2017
- Discretionary RAUM · $506M to $597MDec 15, 2016 to Feb 27, 2017
- Non-discretionary RAUM · $369M to $146MDec 15, 2016 to Feb 27, 2017
- RAUM · $875M to $744MDec 15, 2016 to Feb 27, 2017
- Accounts · 1,496 to 1,497Dec 1, 2015 to Mar 1, 2016
- Discretionary RAUM · $541M to $506MDec 1, 2015 to Mar 1, 2016
- Non-discretionary RAUM · $274M to $369MDec 1, 2015 to Mar 1, 2016
- RAUM · $816M to $875MDec 1, 2015 to Mar 1, 2016
- Accounts · 1,493 to 1,496May 28, 2014 to Feb 9, 2015
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