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

W••••••• I••••••••• A•••••••• L••

Former SEC-registered adviserBurlington, VermontCRD 116001SEC 801-78991IAPD
Latest filing Mar 5, 2020
First filing on the tape Jan 25, 2012 · 24 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$175M as of Mar 6, 2019
Jan 25, 2012$58.3M then
HNW client RAUM$131M as of Mar 6, 2019
Feb 21, 2018$154M then
State-registered IARs (5.B.3)8 as of Mar 5, 2020
Jan 25, 20120 then
Employees (5.A)8 as of Mar 5, 2020
Feb 18, 20144 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 8 to 8
Practice profile
derived from the filing of Mar 5, 2020; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • N•••••••• B•••••••• E••••• · Managing Member, Ceo And Ccocontrol
      since 07/2017 · owns 50% to 75%
    • S••••••••• P•••••••• N•••• · Member And Vice Presidentcontrol
      since 07/2017 · owns 5% to 10%
    • S••••••••• R••• W••••• · Member And Presidentcontrol
      since 07/2017 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Hilton Head Island, SC4 employees
    What changed
    consecutive filings, newest first
    • Accounts · 485.0 to unset
      Dec 5, 2019 to Mar 5, 2020
    • HNW clients · 52.0 to unset
      Dec 5, 2019 to Mar 5, 2020
    • Individual clients · 115.0 to unset
      Dec 5, 2019 to Mar 5, 2020
    • Assets in custody · 6986365.0 to unset
      Dec 5, 2019 to Mar 5, 2020
    • Custody of client assets · true to false
      Dec 5, 2019 to Mar 5, 2020
    • Financial planning clients · 11-25 to 26-50
      Dec 5, 2019 to Mar 5, 2020
    • Discretionary RAUM · 165838987.0 to unset
      Dec 5, 2019 to Mar 5, 2020
    • HNW RAUM · 130793689.0 to unset
      Dec 5, 2019 to Mar 5, 2020
    • Individual RAUM · 38285026.0 to unset
      Dec 5, 2019 to Mar 5, 2020
    • Non-discretionary RAUM · 8663174.0 to unset
      Dec 5, 2019 to Mar 5, 2020
    • Pension RAUM · 3654765.0 to unset
      Dec 5, 2019 to Mar 5, 2020
    • RAUM · 174502161.0 to unset
      Dec 5, 2019 to Mar 5, 2020
    • Related adviser · false to true
      Mar 6, 2019 to Aug 20, 2019
    • Accounts · 467 to 485
      Jan 3, 2019 to Mar 6, 2019
    • HNW clients · 58 to 52
      Jan 3, 2019 to Mar 6, 2019
    • Individual clients · 110 to 115
      Jan 3, 2019 to Mar 6, 2019
    • Other offices · 2 to 1
      Jan 3, 2019 to Mar 6, 2019
    • Discretionary RAUM · $199M to $166M
      Jan 3, 2019 to Mar 6, 2019
    • HNW RAUM · $154M to $131M
      Jan 3, 2019 to Mar 6, 2019
    • Individual RAUM · $41.2M to $38.3M
      Jan 3, 2019 to Mar 6, 2019
    • Non-discretionary RAUM · $3.3M to $8.7M
      Jan 3, 2019 to Mar 6, 2019
    • Pension RAUM · $5.3M to $3.7M
      Jan 3, 2019 to Mar 6, 2019
    • RAUM · $202M to $175M
      Jan 3, 2019 to Mar 6, 2019
    • Assets in custody · unset to 6986365.0
      Jun 29, 2018 to Jan 3, 2019
    • Custody of client assets · false to true
      Jun 29, 2018 to Jan 3, 2019
    • Advisory employees · 7 to 8
      Feb 21, 2018 to Jun 29, 2018
    • State-registered IARs · 7 to 8
      Feb 21, 2018 to Jun 29, 2018
    • Accounts · 465 to 467
      Nov 16, 2017 to Feb 21, 2018
    • Advisory employees · 5 to 7
      Nov 16, 2017 to Feb 21, 2018
    • HNW clients · unset to 58.0
      Nov 16, 2017 to Feb 21, 2018
    • Individual clients · unset to 110.0
      Nov 16, 2017 to Feb 21, 2018
    • Employees · 5 to 8
      Nov 16, 2017 to Feb 21, 2018
    • State-registered IARs · 5 to 7
      Nov 16, 2017 to Feb 21, 2018
    • Discretionary RAUM · $172M to $199M
      Nov 16, 2017 to Feb 21, 2018
    • HNW RAUM · unset to 154496671.0
      Nov 16, 2017 to Feb 21, 2018
    • Individual RAUM · unset to 41180433.0
      Nov 16, 2017 to Feb 21, 2018
    • Non-discretionary RAUM · $6.2M to $3.3M
      Nov 16, 2017 to Feb 21, 2018
    • Pension RAUM · unset to 5323894.0
      Nov 16, 2017 to Feb 21, 2018
    • RAUM · $178M to $202M
      Nov 16, 2017 to Feb 21, 2018
    • Other offices · unset to 2.0
      Aug 31, 2017 to Nov 2, 2017
    Signals
    1 dated events
    • W••••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      Dec 18, 2013 · First SEC registration · 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