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••••• W••••• M••••••••• G••••
Legal name R••••• W••••• M••••••••• G••••• I•••
Latest filing Oct 28, 2019
First filing on the tape Mar 29, 2012 · 20 filings
RAUM
$263M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$262M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$263M as of Mar 27, 2019
Mar 29, 2012$260M then
HNW client RAUM$233M as of Mar 27, 2019
Mar 28, 2018$266M then
State-registered IARs (5.B.3)2 as of Mar 27, 2019
Mar 29, 20120 then
Employees (5.A)4 as of Mar 27, 2019
Mar 28, 20136 then
Private funds: no history
RAUM -10% over the last fiscal year+1.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Oct 28, 2019; every figure names its basis
- RAUM per advisor
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 94derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $411,533derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -10%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, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $64, 112,749,319 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$233M88%
- Individuals$29.4M11%
- Pension and profit-sharing plans$859,9740.3%
- Individual clients
- 104reported
- HNW clients
- 84reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 639reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $64 for 112,749,319 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
Left, latest
- B••••• T••••• T••••••••• to M••••• G••••• A••••••• I•••Feb 12, 2020 · RIA to RIA
- C••••••••• C•••• P•••••• to U••• F•••••••• P••••••• S•••••••Apr 21, 2014 · Other
- H••• P•••• R•••••• to W•••••• I••••••••• S•••••••• I•••May 2, 2005 · Other
Joined, latest
- C••••••••• C•••• P•••••• from F•••• C•••••• F•••••••• P•••••••• I•••Oct 4, 2012 · Other
- H••• P•••• R•••••• from S•••••••• A••••••• L••Apr 15, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••• A•••• P••• · President, Shareholder, Chief Compliance Officercontrolsince 12/1987 · owns 75% or more
Entity owners
- M••••• G••••• A••••••• I••• · Purchaser Of Operating Assetsdirect · 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 · 584 to 639Jul 31, 2018 to Mar 27, 2019
- HNW clients · 98 to 84Jul 31, 2018 to Mar 27, 2019
- Individual clients · 93 to 104Jul 31, 2018 to Mar 27, 2019
- Pension plan clients · 6.0 to unsetJul 31, 2018 to Mar 27, 2019
- Assets in custody · $112M to $64Jul 31, 2018 to Mar 27, 2019
- Employees · 5 to 4Jul 31, 2018 to Mar 27, 2019
- Financial planning clients · 1-10 to 0Jul 31, 2018 to Mar 27, 2019
- Discretionary RAUM · $287M to $258MJul 31, 2018 to Mar 27, 2019
- HNW RAUM · $266M to $233MJul 31, 2018 to Mar 27, 2019
- Individual RAUM · $22.6M to $29.4MJul 31, 2018 to Mar 27, 2019
- Non-discretionary RAUM · $5.5M to $5.0MJul 31, 2018 to Mar 27, 2019
- Pension RAUM · $3.5M to $859,974Jul 31, 2018 to Mar 27, 2019
- RAUM · $292M to $263MJul 31, 2018 to Mar 27, 2019
- Accounts · 589 to 584Mar 20, 2017 to Mar 28, 2018
- HNW clients · unset to 98.0Mar 20, 2017 to Mar 28, 2018
- Individual clients · unset to 93.0Mar 20, 2017 to Mar 28, 2018
- Pension plan clients · unset to 6.0Mar 20, 2017 to Mar 28, 2018
- Assets in custody · unset to 112378309.0Mar 20, 2017 to Mar 28, 2018
- Custody of client assets · false to trueMar 20, 2017 to Mar 28, 2018
- Other offices · unset to 0.0Mar 20, 2017 to Mar 28, 2018
- Discretionary RAUM · $275M to $287MMar 20, 2017 to Mar 28, 2018
- HNW RAUM · unset to 266286411.0Mar 20, 2017 to Mar 28, 2018
- Individual RAUM · unset to 22643951.0Mar 20, 2017 to Mar 28, 2018
- Non-discretionary RAUM · $3.0M to $5.5MMar 20, 2017 to Mar 28, 2018
- Pension RAUM · unset to 3497421.0Mar 20, 2017 to Mar 28, 2018
- RAUM · $278M to $292MMar 20, 2017 to Mar 28, 2018
- Accounts · 566 to 589Mar 24, 2016 to Mar 20, 2017
- Discretionary RAUM · $246M to $275MMar 24, 2016 to Mar 20, 2017
- Non-discretionary RAUM · $2.4M to $3.0MMar 24, 2016 to Mar 20, 2017
- RAUM · $249M to $278MMar 24, 2016 to Mar 20, 2017
- Accounts · 588 to 566Mar 23, 2015 to Mar 24, 2016
- Discretionary RAUM · $258M to $246MMar 23, 2015 to Mar 24, 2016
- Non-discretionary RAUM · $2.6M to $2.4MMar 23, 2015 to Mar 24, 2016
- RAUM · $260M to $249MMar 23, 2015 to Mar 24, 2016
- Accounts · 570 to 588Sep 24, 2014 to Mar 23, 2015
- Advisory employees · 3 to 2Sep 24, 2014 to Mar 23, 2015
- Employees · 6 to 5Sep 24, 2014 to Mar 23, 2015
- Financial planning clients · 11-25 to 1-10Sep 24, 2014 to Mar 23, 2015
- State-registered IARs · 3 to 2Sep 24, 2014 to Mar 23, 2015
- Discretionary RAUM · $243M to $258MSep 24, 2014 to Mar 23, 2015
Signals
No event on the tape.
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