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

J• W••••• A•••••••• L••

Former SEC-registered adviserColumbia, South CarolinaCRD 110375SEC 801-55086IAPD
Latest filing Apr 28, 2022
First filing on the tape Mar 13, 2012 · 21 filings
RAUM
$140M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$136M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$140M as of Feb 28, 2022
Mar 13, 2012$108M then
HNW client RAUM$125M as of Feb 28, 2022
Mar 26, 2018$111M then
State-registered IARs (5.B.3)1 as of Feb 28, 2022
Mar 13, 20120 then
Employees (5.A)3 as of Feb 28, 2022
Mar 19, 20135 then
Private funds: no history
RAUM +16% over the last fiscal year+9.2% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 28, 2022; every figure names its basis
RAUM per advisor
$140MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
62derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.4MderivedHNW RAUM over HNW clients
Average account
$592,694derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+16%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-1.6%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody
$65.4M, 31 clientsreportedItem 9.A
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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$125M91%
  • Individuals$10.6M7.6%
  • Pension and profit-sharing plans$2.4M1.7%
Individual clients
25reported
HNW clients
37reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
236reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$65.4M for 31 clientsreported
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
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•••••• J••••• E•••••• · Chief Compliance Officer, Chief Executive Officer, And Membercontrol
      since 10/1997 · owns 75% or more
    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 · 216 to 236
      Jul 29, 2021 to Feb 28, 2022
    • HNW clients · 33 to 37
      Jul 29, 2021 to Feb 28, 2022
    • Individual clients · 30 to 25
      Jul 29, 2021 to Feb 28, 2022
    • Assets in custody · $44.0M to $65.4M
      Jul 29, 2021 to Feb 28, 2022
    • Discretionary RAUM · $120M to $140M
      Jul 29, 2021 to Feb 28, 2022
    • HNW RAUM · $101M to $125M
      Jul 29, 2021 to Feb 28, 2022
    • Individual RAUM · $16.5M to $10.6M
      Jul 29, 2021 to Feb 28, 2022
    • Pension RAUM · $3.0M to $2.4M
      Jul 29, 2021 to Feb 28, 2022
    • RAUM · $120M to $140M
      Jul 29, 2021 to Feb 28, 2022
    • Accounts · 284 to 216
      Jun 10, 2020 to Mar 17, 2021
    • HNW clients · 35 to 33
      Jun 10, 2020 to Mar 17, 2021
    • Individual clients · 33 to 30
      Jun 10, 2020 to Mar 17, 2021
    • Pension plan clients · 4.0 to unset
      Jun 10, 2020 to Mar 17, 2021
    • Assets in custody · $44.0M to $44.0M
      Jun 10, 2020 to Mar 17, 2021
    • Discretionary RAUM · $118M to $120M
      Jun 10, 2020 to Mar 17, 2021
    • HNW RAUM · $101M to $101M
      Jun 10, 2020 to Mar 17, 2021
    • Individual RAUM · $14.8M to $16.5M
      Jun 10, 2020 to Mar 17, 2021
    • Pension RAUM · $2.7M to $3.0M
      Jun 10, 2020 to Mar 17, 2021
    • RAUM · $118M to $120M
      Jun 10, 2020 to Mar 17, 2021
    • Accounts · 272 to 284
      Mar 25, 2019 to Mar 20, 2020
    • Corporate clients · 5.0 to unset
      Mar 25, 2019 to Mar 20, 2020
    • Individual clients · 67 to 33
      Mar 25, 2019 to Mar 20, 2020
    • Pension plan clients · 9 to 4
      Mar 25, 2019 to Mar 20, 2020
    • Assets in custody · $34.6M to $44.0M
      Mar 25, 2019 to Mar 20, 2020
    • Discretionary RAUM · $105M to $118M
      Mar 25, 2019 to Mar 20, 2020
    • HNW RAUM · $85.6M to $101M
      Mar 25, 2019 to Mar 20, 2020
    • Individual RAUM · $15.3M to $14.8M
      Mar 25, 2019 to Mar 20, 2020
    • Non-discretionary RAUM · $2.1M to $0
      Mar 25, 2019 to Mar 20, 2020
    • Pension RAUM · $6.3M to $2.7M
      Mar 25, 2019 to Mar 20, 2020
    • RAUM · $107M to $118M
      Mar 25, 2019 to Mar 20, 2020
    • Accounts · 239 to 272
      Apr 9, 2018 to Mar 25, 2019
    • Corporate clients · unset to 5.0
      Apr 9, 2018 to Mar 25, 2019
    • HNW clients · 56 to 35
      Apr 9, 2018 to Mar 25, 2019
    • Individual clients · 14 to 67
      Apr 9, 2018 to Mar 25, 2019
    • Assets in custody · unset to 34646336.0
      Apr 9, 2018 to Mar 25, 2019
    • Custody of client assets · false to true
      Apr 9, 2018 to Mar 25, 2019
    • Discretionary RAUM · $132M to $105M
      Apr 9, 2018 to Mar 25, 2019
    • HNW RAUM · $111M to $85.6M
      Apr 9, 2018 to Mar 25, 2019
    • Individual RAUM · $5.3M to $15.3M
      Apr 9, 2018 to Mar 25, 2019
    • Non-discretionary RAUM · $600,000 to $2.1M
      Apr 9, 2018 to Mar 25, 2019
    Signals
    1 dated events
    • J•••• E•••••• W••••• left J• W••••• A•••••••• L•• for A•••••• W••••• M••••••••• L•• (registered 2022-11-17)
      Feb 20, 2023 · Advisor changed firm · 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