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

R••••••• M••••••••• L••

Former SEC-registered adviserMetairie, LouisianaCRD 110231SEC 801-55855IAPD
Latest filing Mar 10, 2021
First filing on the tape Apr 13, 2012 · 18 filings
RAUM
$1.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$1.7B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.7B as of Mar 3, 2021
Apr 26, 2012$695M then
HNW client RAUM$1.7B as of Mar 3, 2021
Mar 17, 2018$1.2B then
State-registered IARs (5.B.3)2 as of Mar 3, 2021
Apr 26, 20120 then
Employees (5.A)5 as of Mar 3, 2021
Mar 28, 20136 then
Private funds: no history
RAUM +15% over the last fiscal year+12% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 10, 2021; every figure names its basis
RAUM per advisor
$863MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
265derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.3MderivedHNW RAUM over HNW clients
Average account
$3.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
Financial planning clients
535reportedItem 5.H
Custody
$6.1M, 6 clientsreportedItem 9.A
Ownership
controlled by a public reporting companyderived
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.7B96%
  • Pension and profit-sharing plans$31.3M1.8%
  • Individuals$21.3M1.2%
  • Charitable organizations$14.7M0.9%
Individual clients
25reported
HNW clients
504reported
Pension plan clients
15reported
Charitable clients
n/areported
Accounts
545reported
Financial planning clients
535reported
Wrap fee programs
noreported
Custody of client assets
$6.1M for 6 clientsreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • W••••••• D•••••• R••••••• · Managing Member, Chief Compliance Officercontrol
      since 06/1980 · owns less than 5%
    • Z••••••••• M••••••• N••• · Officercontrol
      since 06/2005 · owns less than 5%
    Entity owners
    • F••••• W••••• M••••••••• L•• · Owner
      direct · owns 75% or more
    • W•••••• F•• T•••• · Megan, Beatrice, And Rachel W•••••• Co-Trustees
      indirect · owns 75% or more of F••••• W••••• M••••••••• L••
    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
    • Accounts · 2,351 to 545
      Oct 15, 2020 to Mar 3, 2021
    • HNW clients · 389 to 504
      Oct 15, 2020 to Mar 3, 2021
    • Individual clients · 110 to 25
      Oct 15, 2020 to Mar 3, 2021
    • Pension plan clients · 11 to 15
      Oct 15, 2020 to Mar 3, 2021
    • Assets in custody · $6.8M to $6.1M
      Oct 15, 2020 to Mar 3, 2021
    • Employees · 4 to 5
      Oct 15, 2020 to Mar 3, 2021
    • Financial planning clients · 251-500 to More than 500
      Oct 15, 2020 to Mar 3, 2021
    • State-registered IARs · 3 to 2
      Oct 15, 2020 to Mar 3, 2021
    • Discretionary RAUM · $1.4B to $1.7B
      Oct 15, 2020 to Mar 3, 2021
    • HNW RAUM · $1.3B to $1.7B
      Oct 15, 2020 to Mar 3, 2021
    • Individual RAUM · $120M to $21.3M
      Oct 15, 2020 to Mar 3, 2021
    • Non-discretionary RAUM · $100M to $0
      Oct 15, 2020 to Mar 3, 2021
    • Pension RAUM · $22.4M to $31.3M
      Oct 15, 2020 to Mar 3, 2021
    • RAUM · $1.5B to $1.7B
      Oct 15, 2020 to Mar 3, 2021
    • Accounts · 484 to 2,351
      Mar 13, 2019 to Mar 21, 2020
    • HNW clients · 398 to 389
      Mar 13, 2019 to Mar 21, 2020
    • Individual clients · 75 to 110
      Mar 13, 2019 to Mar 21, 2020
    • Pension plan clients · 10 to 11
      Mar 13, 2019 to Mar 21, 2020
    • Assets in custody · $22.0M to $6.8M
      Mar 13, 2019 to Mar 21, 2020
    • Employees · 3 to 4
      Mar 13, 2019 to Mar 21, 2020
    • Discretionary RAUM · $1.2B to $1.4B
      Mar 13, 2019 to Mar 21, 2020
    • HNW RAUM · $1.0B to $1.3B
      Mar 13, 2019 to Mar 21, 2020
    • Individual RAUM · $45.3M to $120M
      Mar 13, 2019 to Mar 21, 2020
    • Non-discretionary RAUM · $0 to $100M
      Mar 13, 2019 to Mar 21, 2020
    • Pension RAUM · $48.7M to $22.4M
      Mar 13, 2019 to Mar 21, 2020
    • RAUM · $1.2B to $1.5B
      Mar 13, 2019 to Mar 21, 2020
    • Accounts · 2,099 to 484
      May 21, 2018 to Mar 13, 2019
    • Advisory employees · 2 to 3
      May 21, 2018 to Mar 13, 2019
    • Charity clients · 1.0 to unset
      May 21, 2018 to Mar 13, 2019
    • HNW clients · 346 to 398
      May 21, 2018 to Mar 13, 2019
    • Individual clients · 100 to 75
      May 21, 2018 to Mar 13, 2019
    • Pension plan clients · 3 to 10
      May 21, 2018 to Mar 13, 2019
    • Assets in custody · $20.0M to $22.0M
      May 21, 2018 to Mar 13, 2019
    • Employees · 5 to 3
      May 21, 2018 to Mar 13, 2019
    • State-registered IARs · 2 to 3
      May 21, 2018 to Mar 13, 2019
    • Discretionary RAUM · $1.2B to $1.2B
      May 21, 2018 to Mar 13, 2019
    • HNW RAUM · $1.2B to $1.0B
      May 21, 2018 to Mar 13, 2019
    • Individual RAUM · $25.0M to $45.3M
      May 21, 2018 to Mar 13, 2019
    • Non-discretionary RAUM · $25.0M to $0
      May 21, 2018 to Mar 13, 2019
    • Pension RAUM · $10.0M to $48.7M
      May 21, 2018 to Mar 13, 2019
    Signals
    3 dated events
    • D••••• R••••••• W•••••• left R••••••• M••••••••• L•• for C••••••• P••••••• (registered 2021-12-23)
      Mar 23, 2022 · Advisor changed firm · fact
    • R••••••• M••••••••• L•• reported RAUM $1.5B, up 30% from $1.2B (2019-03-13 to 2020-03-21)
      Mar 21, 2020 · RAUM change · derived
    • R••••••• M••••••••• L•• reported RAUM $1.2B, up 29% from $953.7M (2017-03-16 to 2018-03-17)
      Mar 17, 2018 · RAUM change · derived
    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