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•••••• A•••• M••••••••• L••
Latest filing May 22, 2025
First filing on the tape Jun 18, 2014 · 20 filings
SEC status approved since Jun 26, 2014
RAUM
$53.5M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$53.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
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$53.5M as of May 22, 2025
Mar 4, 2015$26.1M then
HNW client RAUM$36.7M as of May 22, 2025
Mar 23, 2018$14.9M then
State-registered IARs (5.B.3)2 as of May 22, 2025
Mar 4, 20151 then
Employees (5.A)2 as of May 22, 2025
Mar 4, 20152 then
Private funds: no history
RAUM +13% over the last fiscal year-2.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 22, 2025; every figure names its basis
- RAUM per advisor
- $26.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $417,983derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publicationsreportedItem 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$36.7M69%
- Individuals$16.8M31%
- Individual clients
- 43reported
- HNW clients
- 14reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 128reported
- 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• F••••••••• R•••••• · Managing Member/Chief Compliance Officercontrolsince 06/2004 · owns 75% or more
Related persons
Schedule D 7.A
- T••••••• F• F••••insurancey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 26-50 to 26-50Mar 4, 2025 to May 22, 2025
- Accounts · 125 to 128Dec 19, 2024 to Mar 4, 2025
- HNW clients · 20 to 14Dec 19, 2024 to Mar 4, 2025
- Individual clients · 38 to 43Dec 19, 2024 to Mar 4, 2025
- Employees · 3 to 2Dec 19, 2024 to Mar 4, 2025
- Financial planning clients · 51-100 to 26-50Dec 19, 2024 to Mar 4, 2025
- Discretionary RAUM · $45.2M to $49.7MDec 19, 2024 to Mar 4, 2025
- HNW RAUM · $33.9M to $36.7MDec 19, 2024 to Mar 4, 2025
- Individual RAUM · $13.3M to $16.8MDec 19, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $2.0M to $3.8MDec 19, 2024 to Mar 4, 2025
- RAUM · $47.2M to $53.5MDec 19, 2024 to Mar 4, 2025
- Accounts · 133 to 125Aug 21, 2023 to Mar 25, 2024
- HNW clients · 24 to 20Aug 21, 2023 to Mar 25, 2024
- Financial planning clients · 101-250 to 51-100Aug 21, 2023 to Mar 25, 2024
- Discretionary RAUM · $48.4M to $45.2MAug 21, 2023 to Mar 25, 2024
- HNW RAUM · $37.8M to $33.9MAug 21, 2023 to Mar 25, 2024
- Individual RAUM · $11.6M to $13.3MAug 21, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $989,140 to $2.0MAug 21, 2023 to Mar 25, 2024
- RAUM · $49.4M to $47.2MAug 21, 2023 to Mar 25, 2024
- Accounts · 134 to 133Mar 3, 2022 to Mar 28, 2023
- HNW clients · 26 to 24Mar 3, 2022 to Mar 28, 2023
- Individual clients · 64 to 38Mar 3, 2022 to Mar 28, 2023
- Employees · 4 to 3Mar 3, 2022 to Mar 28, 2023
- Discretionary RAUM · $55.0M to $48.4MMar 3, 2022 to Mar 28, 2023
- HNW RAUM · $44.1M to $37.8MMar 3, 2022 to Mar 28, 2023
- Individual RAUM · $12.8M to $11.6MMar 3, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $2.0M to $989,140Mar 3, 2022 to Mar 28, 2023
- RAUM · $57.0M to $49.4MMar 3, 2022 to Mar 28, 2023
- HNW clients · 23 to 26Jan 5, 2022 to Feb 18, 2022
- Financial planning clients · 0 to 101-250Jan 5, 2022 to Feb 18, 2022
- Discretionary RAUM · $44.3M to $55.0MJan 5, 2022 to Feb 18, 2022
- HNW RAUM · $35.7M to $44.1MJan 5, 2022 to Feb 18, 2022
- Individual RAUM · $12.4M to $12.8MJan 5, 2022 to Feb 18, 2022
- Non-discretionary RAUM · $3.9M to $2.0MJan 5, 2022 to Feb 18, 2022
- RAUM · $48.2M to $57.0MJan 5, 2022 to Feb 18, 2022
- Accounts · 158 to 134Jul 21, 2020 to Feb 5, 2021
- HNW clients · 15 to 23Jul 21, 2020 to Feb 5, 2021
- Individual clients · 63 to 64Jul 21, 2020 to Feb 5, 2021
- Financial planning clients · 1-10 to 0Jul 21, 2020 to Feb 5, 2021
- Discretionary RAUM · $40.4M to $44.3MJul 21, 2020 to Feb 5, 2021
Signals
2 dated events
- W•••••• A•••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $53.5M)Dec 20, 2025 · Left the SEC roster · derived
- W•••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 18, 2014 · 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