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
I••••••••• W••••• A•••••••• L••
Latest filing Aug 2, 2023
First filing on the tape Mar 30, 2012 · 33 filings
RAUM
$1.5B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
42%
$650M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
23
23 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$1.5B as of Mar 20, 2023
Mar 30, 2012$348M then
HNW client RAUM$549M as of Mar 20, 2023
Mar 30, 2018$342M then
State-registered IARs (5.B.3)16 as of Mar 20, 2023
Mar 30, 20120 then
Employees (5.A)23 as of Mar 20, 2023
Apr 1, 201312 then
Private funds: no history
RAUM -12% over the last fiscal year+15% a year over threeIARs 17 to 16
Practice profile
derived from the filing of Aug 2, 2023; every figure names its basis
- RAUM per advisor
- $96.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $915,805derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 8.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -5.9%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%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, selection of other advisersreportedItem 5.G
- Custody
- $594M, 483 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- a related person has custody of client cash (9.B.1.a)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$849M55%
- High-net-worth individuals$549M36%
- Individuals$101M6.6%
- Charitable organizations$38.4M2.5%
- Individual clients
- 410reported
- HNW clients
- 119reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 1,679reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $594M for 483 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
Left, latest
- A•••••• L••••• to C••••••Aug 2, 2023 · RIA to RIA
- K•••••• M•••• K••••••• to C••••••Aug 2, 2023 · RIA to RIA
- A••••• D••••• to C••••••Aug 2, 2023 · RIA to RIA
- P•••• S•••••••• to C••••••Aug 2, 2023 · RIA to RIA
- H••••• H•••• L••• to C••••••Aug 2, 2023 · RIA to RIA
- S••••• L• H••••• to C••••••Aug 2, 2023 · RIA to RIA
- C•••••• D•• L••• to C••••••Aug 2, 2023 · RIA to RIA
- F••••••• N••••• to C••••••Aug 2, 2023 · RIA to RIA
- N••••• H•••••••• R••••• to C••••••Aug 2, 2023 · RIA to RIA
- J••• L•• K•••• to C••••••Aug 2, 2023 · RIA to RIA
- J••• M•••••• H••••••• to C••••••Aug 2, 2023 · RIA to RIA
- I•••••• K••••••• to C••••••Aug 2, 2023 · RIA to RIA
- J•••• O••••• O••••• to C••••••Aug 2, 2023 · RIA to RIA
- D•••• K• A•••••• to P•• F•••••••• G••••Aug 21, 2019 · RIA to RIA
- J•••• A•••••• C••••• L••••••• to M•• I•••••••• S•••••••• L••Aug 18, 2017 · Other
Joined, latest
- J•••• A•••••• C••••• L••••••• from A••••••••• F•••••••• S•••••••• L••May 27, 2015 · Other
- F••••••• N••••• from B••••••• C•••••• I•••Jun 3, 2013 · Other
- J••• M•••••• H••••••• from U••• I••••••••• S••••••• C••••••Feb 20, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• S••••• W•••••• · Seinor Vicepresident Andgeneral Counselcontrolsince 07/2023 · owns less than 5%
- G•••••• L••••••• L••••••• C•••• · Evp, Chiefoperating Officercontrolsince 07/2023 · owns less than 5%
- M•••• A••• · Chief Financialofficercontrolsince 07/2023 · owns less than 5%
- N•••••••• L••••• T•••••• · Vp, Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
- R•••• J••••• E•••••• · Executive Vicepresidentcontrolsince 07/2023 · owns less than 5%
Entity owners
- C•••••• P•••••• W••••• L•• · Ownerdirect · owns 75% or more
- C• F•••••••• C•••• · Ownerindirect · owns 75% or more of C•••••• H••••••• I•• · public reporting company
- C•••••• H••••••• I•• · Ownerindirect · owns F of C•••••• P••••••• L••
- C•••••• P••••••• L•• · Ownerindirect · owns F of C•••••• P•••••• W••••• L••
Related persons
Schedule D 7.A
- C••••••investment adviseryRAUM $165B
- I••••••••• A••••• L••real estaten
Offices
Schedule D 1.F, the 25 largest
- Fort Lauderdale, FL1 employees
What changed
consecutive filings, newest first
- Related adviser · false to trueMar 20, 2023 to Jul 6, 2023
- Accounts · 1,574 to 1,679Mar 31, 2022 to Mar 20, 2023
- Advisory employees · 25 to 23Mar 31, 2022 to Mar 20, 2023
- Corporate clients · 209 to 204Mar 31, 2022 to Mar 20, 2023
- HNW clients · 117 to 119Mar 31, 2022 to Mar 20, 2023
- Individual clients · 358 to 410Mar 31, 2022 to Mar 20, 2023
- Assets in custody · $663M to $594MMar 31, 2022 to Mar 20, 2023
- Employees · 27 to 23Mar 31, 2022 to Mar 20, 2023
- State-registered IARs · 17 to 16Mar 31, 2022 to Mar 20, 2023
- Discretionary RAUM · $1.6B to $1.4BMar 31, 2022 to Mar 20, 2023
- HNW RAUM · $503M to $549MMar 31, 2022 to Mar 20, 2023
- Individual RAUM · $95.1M to $101MMar 31, 2022 to Mar 20, 2023
- Non-discretionary RAUM · $126M to $92.5MMar 31, 2022 to Mar 20, 2023
- RAUM · $1.8B to $1.5BMar 31, 2022 to Mar 20, 2023
- Related adviser · true to falseMar 31, 2022 to Mar 20, 2023
- Accounts · 1,350 to 1,574Nov 29, 2021 to Mar 31, 2022
- BD registered reps · 17 to 0Nov 29, 2021 to Mar 31, 2022
- Charity clients · 21.0 to unsetNov 29, 2021 to Mar 31, 2022
- Corporate clients · 303 to 209Nov 29, 2021 to Mar 31, 2022
- HNW clients · 240 to 117Nov 29, 2021 to Mar 31, 2022
- Individual clients · 786 to 358Nov 29, 2021 to Mar 31, 2022
- Assets in custody · $590M to $663MNov 29, 2021 to Mar 31, 2022
- Employees · 25 to 27Nov 29, 2021 to Mar 31, 2022
- State-registered IARs · 13 to 17Nov 29, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.4B to $1.6BNov 29, 2021 to Mar 31, 2022
- HNW RAUM · $385M to $503MNov 29, 2021 to Mar 31, 2022
- Individual RAUM · $253M to $95.1MNov 29, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $0 to $126MNov 29, 2021 to Mar 31, 2022
- RAUM · $1.4B to $1.8BNov 29, 2021 to Mar 31, 2022
- Related broker-dealer · true to falseNov 29, 2021 to Mar 31, 2022
- Wrap assets (manager) · 0.0 to unsetNov 29, 2021 to Mar 31, 2022
- Wrap assets (sponsor) · 0.0 to unsetNov 29, 2021 to Mar 31, 2022
- Accounts · 1,034 to 1,350Jan 13, 2021 to Mar 31, 2021
- Advisory employees · 28 to 25Jan 13, 2021 to Mar 31, 2021
- BD registered reps · 18 to 17Jan 13, 2021 to Mar 31, 2021
- Charity clients · 30 to 21Jan 13, 2021 to Mar 31, 2021
- Corporate clients · 257 to 303Jan 13, 2021 to Mar 31, 2021
- HNW clients · 128 to 240Jan 13, 2021 to Mar 31, 2021
- Individual clients · 619 to 786Jan 13, 2021 to Mar 31, 2021
- Assets in custody · $1.0B to $590MJan 13, 2021 to Mar 31, 2021
Signals
29 dated events
- N••••• H•••••••• R••••• left I••••••••• W••••• A•••••••• L•• for C•••••• (registered 2023-08-01)Aug 2, 2023 · Advisor changed firm · fact
- S••••• L• H••••• left I••••••••• W••••• A•••••••• L•• for C•••••• (registered 2023-08-01)Aug 2, 2023 · Advisor changed firm · fact
- A•••••• L••••• left I••••••••• W••••• A•••••••• L•• for C•••••• (registered 2023-08-01)Aug 2, 2023 · Advisor changed firm · fact
- J•••• O••••• O••••• left I••••••••• W••••• A•••••••• L•• for C•••••• (registered 2023-08-01)Aug 2, 2023 · Advisor changed firm · fact
- K•••••• M•••• K••••••• left I••••••••• W••••• A•••••••• L•• for C•••••• (registered 2023-08-01)Aug 2, 2023 · Advisor changed firm · fact
- A••••• D••••• left I••••••••• W••••• A•••••••• L•• for C•••••• (registered 2023-08-01)Aug 2, 2023 · Advisor changed firm · fact
- C•••••• D•• L••• left I••••••••• W••••• A•••••••• L•• for C•••••• (registered 2023-08-01)Aug 2, 2023 · Advisor changed firm · fact
- F••••••• N••••• left I••••••••• W••••• A•••••••• L•• for C•••••• (registered 2023-08-01)Aug 2, 2023 · Advisor changed firm · fact
- J••• L•• K•••• left I••••••••• W••••• A•••••••• L•• for C•••••• (registered 2023-08-01)Aug 2, 2023 · Advisor changed firm · fact
- J••• M•••••• H••••••• left I••••••••• W••••• A•••••••• L•• for C•••••• (registered 2023-08-01)Aug 2, 2023 · Advisor changed firm · fact
- I•••••• K••••••• left I••••••••• W••••• A•••••••• L•• for C•••••• (registered 2023-08-01)Aug 2, 2023 · Advisor changed firm · fact
- H••••• H•••• L••• left I••••••••• W••••• A•••••••• L•• for C•••••• (registered 2023-08-01)Aug 2, 2023 · Advisor changed firm · fact
- P•••• S•••••••• left I••••••••• W••••• A•••••••• L•• for C•••••• (registered 2023-08-01)Aug 2, 2023 · Advisor changed firm · fact
- I••••••••• W••••• A•••••••• L••'s advisors moved to C•••••• (San Antonio, TX): 13 of 13 registered, on the same dayAug 2, 2023 · Firm absorbed (people side) · derived
- Leo John Kauth (Ceo) no longer on Schedule A of I••••••••• W••••• A•••••••• L•• (listed 2023-07-06, absent 2023-07-31)Jul 31, 2023 · Control person left · inference
- I•••••• K••••••• (Chairman Of The Board) no longer on Schedule A of I••••••••• W••••• A•••••••• L•• (listed 2023-07-06, absent 2023-07-31)Jul 31, 2023 · Control person left · inference
- Day Charles Lutz (President) no longer on Schedule A of I••••••••• W••••• A•••••••• L•• (listed 2023-07-06, absent 2023-07-31)Jul 31, 2023 · Control person left · inference
- A•••••• L••••• (Executive Vice President) no longer on Schedule A of I••••••••• W••••• A•••••••• L•• (listed 2023-07-06, absent 2023-07-31)Jul 31, 2023 · Control person left · inference
- Marck Kenneth Korngold (Vice President) no longer on Schedule A of I••••••••• W••••• A•••••••• L•• (listed 2023-07-06, absent 2023-07-31)Jul 31, 2023 · Control person left · inference
- Marissa Oyervides (Chief Compliance Officer, Vice President Of Operations) no longer on Schedule A of I••••••••• W••••• A•••••••• L•• (listed 2023-07-06, absent 2023-07-31)Jul 31, 2023 · Control person left · inference
- Emerson Jaime Ross (Executive Vicepresident) appeared on Schedule A of I••••••••• W••••• A•••••••• L••Jul 31, 2023 · Control person joined · fact
- William Scott Akins (Seinor Vicepresident Andgeneral Counsel) appeared on Schedule A of I••••••••• W••••• A•••••••• L••Jul 31, 2023 · Control person joined · fact
- Amit Muni (Chief Financialofficer) appeared on Schedule A of I••••••••• W••••• A•••••••• L••Jul 31, 2023 · Control person joined · fact
- L••••••• C•••• L•••••• G••••• (Evp, Chiefoperating Officer) appeared on Schedule A of I••••••••• W••••• A•••••••• L••Jul 31, 2023 · Control person joined · fact
- Triston Larry Nakamura (Vp, Chief Compliance Officer) appeared on Schedule A of I••••••••• W••••• A•••••••• L••Jul 31, 2023 · Control person joined · fact
- I••••••••• W••••• A•••••••• L•• reported RAUM $1.8B, up 28% from $1.4B (2021-11-29 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Lee David Hunt (Chief Compliance Officer) no longer on Schedule A of I••••••••• W••••• A•••••••• L•• (listed 2021-07-30, absent 2021-11-29)Nov 29, 2021 · Control person left · inference
- Lee David Hunt (Chief Compliance Officer) appeared on Schedule A of I••••••••• W••••• A•••••••• L••May 25, 2021 · Control person joined · fact
- I••••••••• W••••• A•••••••• L•• reported RAUM $1.4B, up 35% from $1.0B (2021-01-13 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- I••••••••• W••••• A•••••••• L•• · Private Equityshared crd · intermediary
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