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
C•••••• W••••• M••••••••• I•••
Latest filing Mar 27, 2025
First filing on the tape Mar 27, 2012 · 16 filings
SEC status approved since Apr 20, 1987
RAUM
$383M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$383M 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
16 filings and snapshots on the tape
RAUM$383M as of Mar 27, 2025
Mar 27, 2012$108M then
HNW client RAUM$278M as of Mar 27, 2025
Mar 23, 2022$216M then
State-registered IARs (5.B.3)2 as of Mar 27, 2025
Mar 27, 20120 then
Employees (5.A)6 as of Mar 27, 2025
Mar 21, 20133 then
Private funds: no history
RAUM +9.4% over the last fiscal year+4.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2025; every figure names its basis
- RAUM per advisor
- $192MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 167derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $374,765derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- 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
- 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)
- 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$278M73%
- Individuals$105M27%
- Individual clients
- 226reported
- HNW clients
- 108reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,023reported
- Financial planning clients
- 101-250reported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- F•••••••• J••• C•••••• to W••••••••• A••••••• P••••••• L••Dec 31, 2025 · RIA to RIA
- R••••• A•••••• C•••••• to W••••••••• A••••••• P••••••• L••Dec 31, 2025 · RIA to RIA
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for W••••••••• A••••••• P••••••• L••Dec 31, 2025 · Wilmington, De
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• F••••••••• J••• · Presidentcontrolsince 11/1986 · owns 50% to 75%
- C••••••• R•••••• A•••••• · Vice-President, Chief Compliance Officercontrolsince 11/1986 · owns 50% to 75%
Related persons
Schedule D 7.A
- T•• C•••••• L•• F•••• L•••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Wilmington, De · principal | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 997 to 1,023Mar 27, 2024 to Mar 27, 2025
- HNW clients · 99 to 108Mar 27, 2024 to Mar 27, 2025
- Individual clients · 190 to 226Mar 27, 2024 to Mar 27, 2025
- Employees · 5 to 6Mar 27, 2024 to Mar 27, 2025
- Financial planning clients · 101-250 to 101-250Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $350M to $383MMar 27, 2024 to Mar 27, 2025
- HNW RAUM · $249M to $278MMar 27, 2024 to Mar 27, 2025
- Individual RAUM · $102M to $105MMar 27, 2024 to Mar 27, 2025
- RAUM · $350M to $383MMar 27, 2024 to Mar 27, 2025
- Accounts · 996 to 997Mar 28, 2023 to Mar 27, 2024
- HNW clients · 88 to 99Mar 28, 2023 to Mar 27, 2024
- Individual clients · 250 to 190Mar 28, 2023 to Mar 27, 2024
- Pension plan clients · 1.0 to unsetMar 28, 2023 to Mar 27, 2024
- Employees · 4 to 5Mar 28, 2023 to Mar 27, 2024
- Discretionary RAUM · $320M to $350MMar 28, 2023 to Mar 27, 2024
- HNW RAUM · $214M to $249MMar 28, 2023 to Mar 27, 2024
- Individual RAUM · $105M to $102MMar 28, 2023 to Mar 27, 2024
- Pension RAUM · 1276523.0 to unsetMar 28, 2023 to Mar 27, 2024
- RAUM · $320M to $350MMar 28, 2023 to Mar 27, 2024
- Accounts · 944 to 996Mar 23, 2022 to Mar 22, 2023
- HNW clients · 76 to 88Mar 23, 2022 to Mar 22, 2023
- Individual clients · 223 to 250Mar 23, 2022 to Mar 22, 2023
- Discretionary RAUM · $339M to $320MMar 23, 2022 to Mar 22, 2023
- HNW RAUM · $216M to $214MMar 23, 2022 to Mar 22, 2023
- Individual RAUM · $122M to $105MMar 23, 2022 to Mar 22, 2023
- Pension RAUM · $1.3M to $1.3MMar 23, 2022 to Mar 22, 2023
- RAUM · $339M to $320MMar 23, 2022 to Mar 22, 2023
- Accounts · 971 to 944Mar 24, 2021 to Mar 23, 2022
- HNW clients · unset to 76.0Mar 24, 2021 to Mar 23, 2022
- Individual clients · 302 to 223Mar 24, 2021 to Mar 23, 2022
- Pension plan clients · unset to 1.0Mar 24, 2021 to Mar 23, 2022
- Employees · 5 to 4Mar 24, 2021 to Mar 23, 2022
- Financial planning clients · 251-500 to 101-250Mar 24, 2021 to Mar 23, 2022
- Discretionary RAUM · $309M to $339MMar 24, 2021 to Mar 23, 2022
- HNW RAUM · unset to 215768119.0Mar 24, 2021 to Mar 23, 2022
- Individual RAUM · $309M to $122MMar 24, 2021 to Mar 23, 2022
- Pension RAUM · unset to 1314129.0Mar 24, 2021 to Mar 23, 2022
- RAUM · $309M to $339MMar 24, 2021 to Mar 23, 2022
- Accounts · 944 to 971Jun 18, 2020 to Mar 24, 2021
- Individual clients · 286 to 302Jun 18, 2020 to Mar 24, 2021
Signals
4 dated events
- C•••••• W••••• M••••••••• I••• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $383.4M)Jan 2, 2026 · Left the SEC roster · derived
- F•••••••• J••• C•••••• left C•••••• W••••• M••••••••• I••• for W••••••••• A••••••• P••••••• L•• (registered 2025-10-29)Dec 31, 2025 · advisor f••• change · fact
- R••••• A•••••• C•••••• left C•••••• W••••• M••••••••• I••• for W••••••••• A••••••• P••••••• L•• (registered 2025-10-29)Dec 31, 2025 · advisor f••• change · fact
- 2 advisors left C•••••• W••••• M••••••••• I••• (Wilmington, DE) for W••••••••• A••••••• P••••••• L•• on the same dayDec 31, 2025 · Team lift-out · 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