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

L••••• W••••••

Former SEC-registered adviserNew Providence, New JerseyCRD 110924SEC 801-27567IAPD
Legal name L••••• W•••••• • A••••••••• I•••
Latest filing Jan 29, 2021
First filing on the tape Mar 30, 2012 · 23 filings
RAUM
$617M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$612M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$617M as of Jan 29, 2021
Jun 27, 2012$355M then
HNW client RAUM$545M as of Jan 29, 2021
Mar 29, 2018$474M then
State-registered IARs (5.B.3)9 as of Jan 29, 2021
Jun 27, 20120 then
Employees (5.A)17 as of Jan 29, 2021
Jun 27, 201324 then
Private funds: no history
RAUM +6.3% over the last fiscal year+4.1% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Jan 29, 2021; every figure names its basis
RAUM per advisor
$68.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
40derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.9MderivedHNW RAUM over HNW clients
Average account
$388,770derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.9derivedItem 5.A over advisors
Advisors per office
4.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+6.3%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.9%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publicationsreportedItem 5.G
Custody
$272M, 310 clientsreportedItem 9.A
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$545M88%
  • Individuals$66.7M11%
  • Corporations and businesses$3.7M0.6%
  • Charitable organizations$777,4240.1%
Individual clients
174reported
HNW clients
185reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,586reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$272M for 310 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
    • L•••••• D••••••• W••• · President/Treasurercontrol
      since 08/2018 · owns less than 5%
    • W••••••• C••••• E•••••••• · Chief Executive Officercontrol
      since 08/2018 · owns less than 5%
    • A•••••••• K••••• J•••••• · Chief Compliance Officer
      since 03/2019 · owns less than 5%
    • P•••••• T•••• M••••• · General Counsel/Secretary
      since 08/2018 · owns less than 5%
    Entity owners
    • P••••••••• B••• · Shareholder
      direct · owns 75% or more
    • P••••••••• F•••••••• C••••••••• · Shareholder
      indirect · owns 75% or more of P••••••••• B••• · public reporting company
    Related persons
    Schedule D 7.A
    Advisers that list L••••• W•••••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Bonita Springs, FL3 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,662 to 1,586
      Jan 5, 2021 to Jan 29, 2021
    • HNW clients · 179 to 185
      Jan 5, 2021 to Jan 29, 2021
    • Individual clients · 170 to 174
      Jan 5, 2021 to Jan 29, 2021
    • Assets in custody · $241M to $272M
      Jan 5, 2021 to Jan 29, 2021
    • Discretionary RAUM · $580M to $617M
      Jan 5, 2021 to Jan 29, 2021
    • HNW RAUM · $508M to $545M
      Jan 5, 2021 to Jan 29, 2021
    • Individual RAUM · $67.0M to $66.7M
      Jan 5, 2021 to Jan 29, 2021
    • Pension RAUM · 238382.0 to unset
      Jan 5, 2021 to Jan 29, 2021
    • RAUM · $580M to $617M
      Jan 5, 2021 to Jan 29, 2021
    • Accounts · 1,694 to 1,662
      Sep 23, 2019 to Mar 30, 2020
    • HNW clients · 165 to 179
      Sep 23, 2019 to Mar 30, 2020
    • Individual clients · 180 to 170
      Sep 23, 2019 to Mar 30, 2020
    • State-registered IARs · 10 to 9
      Sep 23, 2019 to Mar 30, 2020
    • Discretionary RAUM · $510M to $580M
      Sep 23, 2019 to Mar 30, 2020
    • HNW RAUM · $431M to $508M
      Sep 23, 2019 to Mar 30, 2020
    • Individual RAUM · $74.0M to $67.0M
      Sep 23, 2019 to Mar 30, 2020
    • Pension RAUM · $986,283 to $238,382
      Sep 23, 2019 to Mar 30, 2020
    • RAUM · $510M to $580M
      Sep 23, 2019 to Mar 30, 2020
    • Accounts · 344 to 1,694
      Oct 30, 2018 to Mar 27, 2019
    • Advisory employees · 9 to 10
      Oct 30, 2018 to Mar 27, 2019
    • HNW clients · 179 to 165
      Oct 30, 2018 to Mar 27, 2019
    • Individual clients · 162 to 180
      Oct 30, 2018 to Mar 27, 2019
    • Assets in custody · $260M to $241M
      Oct 30, 2018 to Mar 27, 2019
    • State-registered IARs · 9 to 10
      Oct 30, 2018 to Mar 27, 2019
    • Discretionary RAUM · $547M to $510M
      Oct 30, 2018 to Mar 27, 2019
    • HNW RAUM · $474M to $431M
      Oct 30, 2018 to Mar 27, 2019
    • Individual RAUM · $65.2M to $74.0M
      Oct 30, 2018 to Mar 27, 2019
    • Pension RAUM · $1.0M to $986,283
      Oct 30, 2018 to Mar 27, 2019
    • RAUM · $547M to $510M
      Oct 30, 2018 to Mar 27, 2019
    • Related adviser · false to true
      Mar 29, 2018 to Sep 27, 2018
    • Legal name · L••••• W•••••• • A••••••••• P••• to L••••• W•••••• • A••••••••• I•••
      Sep 27, 2018 to Sep 27, 2018
    • Accounts · 341 to 344
      Mar 28, 2017 to Mar 29, 2018
    • Advisory employees · 6 to 9
      Mar 28, 2017 to Mar 29, 2018
    • HNW clients · unset to 179.0
      Mar 28, 2017 to Mar 29, 2018
    • Individual clients · unset to 162.0
      Mar 28, 2017 to Mar 29, 2018
    • Assets in custody · $89.0M to $260M
      Mar 28, 2017 to Mar 29, 2018
    • State-registered IARs · 6 to 9
      Mar 28, 2017 to Mar 29, 2018
    • Other offices · unset to 1.0
      Mar 28, 2017 to Mar 29, 2018
    • Discretionary RAUM · $479M to $547M
      Mar 28, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 473807171.0
      Mar 28, 2017 to Mar 29, 2018
    Signals
    1 dated events
    • Joan Deborah Rivosa (Chief Compliance Officer) no longer on Schedule A of L••••• W•••••• (listed 2018-10-30, absent 2019-03-27)
      Mar 27, 2019 · Control person left · inference
    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