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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
I••••••• W••••• A•••••••• L••
Latest filing Mar 12, 2021
First filing on the tape Mar 30, 2012 · 23 filings
RAUM
$21.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$19.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 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$21.9M as of Mar 12, 2021
Mar 30, 2012$102M then
HNW client RAUM$15.6M as of Mar 12, 2021
Mar 29, 2018$17.3M then
State-registered IARs (5.B.3)3 as of Mar 12, 2021
Mar 30, 20120 then
Employees (5.A)4 as of Mar 12, 2021
Mar 21, 201314 then
Private funds1 as of Mar 29, 2019
Mar 29, 20171 then
RAUM -79% over the last fiscal year-50% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 12, 2021; every figure names its basis
- RAUM per advisor
- $7.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 5derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $952,162derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -79%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -38%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$15.6M71%
- Individuals$3.9M18%
- Corporations and businesses$2.4M11%
- Individual clients
- 9reported
- HNW clients
- 6reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 23reported
- Financial planning clients
- n/areported
- 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
Left, latest
- A••••• A•••••••• S••••• to I••••••• A••••••• S•••••••• L••Dec 3, 2021 · RIA to RIA
- A•••••• O••••• to G••••• K••••• A•••••••• L••Oct 22, 2020 · RIA to a newly registered adviser
- G•••••••• E•••••• V••••• to G••••• K••••• A•••••••• L••Oct 19, 2020 · RIA to RIA
- L••• H•••••••• N•••• to I••••••• A••••••• S•••••••• L••Sep 11, 2020 · Other
- M••••• M•••• to I••••••• A••••••• S•••••••• L••Feb 19, 2019 · Other
- C•••••••• P••••• W••••• to I••••••• A••••••• S•••••••• L••Feb 19, 2019 · Other
- H••••• N••••••• to I••••••• A••••••• S•••••••• L••Jan 11, 2019 · Other
- L•••••• L•••• S••••••• to I••••••• A••••••• S•••••••• L••Dec 20, 2018 · Other
- N••• D• H•••••• to I••••••• A••••••• S•••••••• L••Dec 14, 2018 · Other
- J•••• R•••••••• to P•••••• P•••••••• P•••••••• L••Jan 5, 2018 · Other
- V•••••• A•••••••• F•••••• A••••• to M•••• I••••••••• A•••••••• I••Jul 31, 2017 · Other
- M••••• N•••• to I••••••• A••••••• S•••••••• L••Jul 31, 2017 · Other
- D••••• A•••••••• M••••••• to A••••••• I••••••• S••••••• L••Jul 31, 2017 · Other
- A•••• R••••• to I••••••• A••••••• S•••••••• L••Feb 2, 2017 · Other
- V••••• M••••• B••••••••• to I••••••• A••••••• S•••••••• L••Nov 18, 2016 · Other
Joined, latest
- A•••••• O••••• from A•••••• I••••••••• I•••Nov 5, 2019 · RIA to RIA
- A••••• A•••••••• S••••• from S••••• I••••••••• A••••••• I••Mar 13, 2019 · Other
- K•••• V•••••• M•••••• C••••• from R•••••• J•••• • A••••••••• I•••Mar 11, 2016 · Other
- M••••• M•••• from M••••• S•••••• D• I•••Feb 1, 2016 · Other
- M••••• F•••••••• from R•• C•••••• M••••••• L••May 26, 2015 · Other
- V••••• M••••• B••••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 13, 2015 · Other
- R•••• F•••••• R••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 13, 2015 · Other
- H••••• N••••••• from W•••• F•••• A•••••••Apr 3, 2015 · Other
- L•••••• L•••• S••••••• from R•• C•••••• M••••••• L••Apr 2, 2015 · Other
- N••• D• H•••••• from R•• C•••••• M••••••• L••Mar 27, 2015 · Other
- J•••• R•••••••• from N••• F•••••••• G••••• I•••Jan 26, 2015 · Other
- N••••• E••• P••••••••• from M••••• S••••••Jun 9, 2014 · Other
- D•••• P• M•••••• from M••••• S••••••Apr 10, 2014 · Other
- V•••••• A•••••••• F•••••• A••••• from N•••••••• A•••• M••••••••• L••Aug 15, 2011 · Other
- A•••• R••••• from C••••• S••••• S••••••••• •••• L••May 10, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for G••••• K••••• A•••••••• L••Oct 19, 2020 · Miami, Fl
- 2 left for I••••••• A••••••• S•••••••• L••Feb 19, 2019 · Miami, Fl
- 2 left for I••••••• A••••••• S•••••••• L••Dec 14, 2018 · Miami, Fl
- 2 left for I••••••• A••••••• S•••••••• L••Nov 18, 2016 · Miami, Fl
- 3 joined from R•• C•••••• M••••••• L••Apr 6, 2015 · Miami, Fl
- 2 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 25, 2015 · Houston, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• G•••••• W••••••••• · General Counsel, Chief Risk Officer & Global Compliancecontrolsince 01/2018 · owns less than 5%
- D••••••••• D••••• · President/Managing Directorcontrolsince 10/2020 · owns less than 5%
- G•••••••• J••••• B•••••• · Chief Compliance Officercontrolsince 10/2012 · owns less than 5%
- H••••••••• R••• · Trusteecontrolsince 12/2006 · owns F of R• R•••••••• T••••
- S•••• H••••••••• S•••• R••••• · Co-Trusteecontrolsince 02/2017 · owns F of R• C••••••••• T••••
Entity owners
- I••••••• F•••••••• H•••••••• L•• · Memberdirect · owns 75% or more
- R••••••••• H•••••••• L•• · Shareholderindirect · owns 75% or more of I••••••• F•••••••• H•••••••• L••
- R• C••••••••• T•••• · Memberindirect · owns 25% to 50% of R. H•••••••• Holdings, LLC
- R• R•••••••• T•••• · Memberindirect · owns 75% or more of R. H•••••••• Holdings, LLC
Related persons
Schedule D 7.A
- I••••••• A••••••• S•••••••• L••investment advisernRAUM $5.2B
- I••••••• A••••••• L••••investment advisern
- I••••••• A••••••• U••••••investment advisern
- I••••••• C•••••• S•••pooled vehicle sponsorn
- I••••••• S••••••••• L••broker-dealerreal estaten
Advisers that list I••••••• W••••• A•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 168 to 23Nov 13, 2020 to Mar 12, 2021
- Advisory employees · 4 to 3Nov 13, 2020 to Mar 12, 2021
- Advisory activities · 5 to 4Nov 13, 2020 to Mar 12, 2021
- BD registered reps · 5 to 4Nov 13, 2020 to Mar 12, 2021
- Corporate clients · 17 to 6Nov 13, 2020 to Mar 12, 2021
- HNW clients · 8 to 6Nov 13, 2020 to Mar 12, 2021
- Individual clients · 16 to 9Nov 13, 2020 to Mar 12, 2021
- Pooled vehicle clients · 1.0 to unsetNov 13, 2020 to Mar 12, 2021
- Employees · 12 to 4Nov 13, 2020 to Mar 12, 2021
- Insurance-licensed employees · 1 to 3Nov 13, 2020 to Mar 12, 2021
- State-registered IARs · 4 to 3Nov 13, 2020 to Mar 12, 2021
- Discretionary RAUM · $84.6M to $21.8MNov 13, 2020 to Mar 12, 2021
- HNW RAUM · $16.3M to $15.6MNov 13, 2020 to Mar 12, 2021
- Individual RAUM · $7.5M to $3.9MNov 13, 2020 to Mar 12, 2021
- Non-discretionary RAUM · $18.5M to $68,195Nov 13, 2020 to Mar 12, 2021
- Pooled vehicle RAUM · 21628111.0 to unsetNov 13, 2020 to Mar 12, 2021
- RAUM · $103M to $21.9MNov 13, 2020 to Mar 12, 2021
- Wrap assets (manager) · 0.0 to unsetNov 13, 2020 to Mar 12, 2021
- Wrap assets (sponsor) · 9967995.0 to unsetNov 13, 2020 to Mar 12, 2021
- Accounts · 188 to 168Mar 29, 2019 to Mar 25, 2020
- BD registered reps · 4 to 5Mar 29, 2019 to Mar 25, 2020
- Corporate clients · 24 to 17Mar 29, 2019 to Mar 25, 2020
- HNW clients · 7 to 8Mar 29, 2019 to Mar 25, 2020
- Private funds · 1 to unsetMar 29, 2019 to Mar 25, 2020
- Discretionary RAUM · $74.5M to $84.6MMar 29, 2019 to Mar 25, 2020
- HNW RAUM · $16.8M to $16.3MMar 29, 2019 to Mar 25, 2020
- Individual RAUM · $5.6M to $7.5MMar 29, 2019 to Mar 25, 2020
- Non-discretionary RAUM · $30.5M to $18.5MMar 29, 2019 to Mar 25, 2020
- Pooled vehicle RAUM · $26.4M to $21.6MMar 29, 2019 to Mar 25, 2020
- RAUM · $105M to $103MMar 29, 2019 to Mar 25, 2020
- Wrap assets (sponsor) · $1.8M to $10.0MMar 29, 2019 to Mar 25, 2020
- Accounts · 163 to 188Mar 29, 2018 to Mar 29, 2019
- Advisory employees · 7 to 4Mar 29, 2018 to Mar 29, 2019
- BD registered reps · 9 to 4Mar 29, 2018 to Mar 29, 2019
- Corporate clients · 95 to 24Mar 29, 2018 to Mar 29, 2019
- HNW clients · 10 to 7Mar 29, 2018 to Mar 29, 2019
- Individual clients · 55 to 16Mar 29, 2018 to Mar 29, 2019
- Pooled vehicle clients · 2 to 1Mar 29, 2018 to Mar 29, 2019
- Employees · 19 to 12Mar 29, 2018 to Mar 29, 2019
- Insurance-licensed employees · 2 to 1Mar 29, 2018 to Mar 29, 2019
Signals
3 dated events
- Enrique Guillermo Vernet (President/ Managing Director) no longer on Schedule A of I••••••• W••••• A•••••••• L•• (listed 2020-10-23, absent 2020-11-13)Nov 13, 2020 · Control person left · inference
- Daniel Deontanon (President/Managing Director) appeared on Schedule A of I••••••• W••••• A•••••••• L••Nov 13, 2020 · Control person joined · fact
- H• A•••• M••••••••• L••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 3, 2017 · Succession (Item 4) · 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