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

P•••••• L••••• A•••••••• L••

Former SEC-registered adviserCRD 118937SEC 801-61751IAPD
Latest filing Feb 28, 2019
First filing on the tape Nov 7, 2011 · 19 filings
RAUM
$114M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
97%
$110M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$114M as of Feb 28, 2019
Mar 1, 2012$65.0M then
HNW client RAUM$78.5M as of Feb 28, 2019
Feb 22, 2018$86.7M then
State-registered IARs (5.B.3)1 as of Feb 28, 2019
Mar 1, 20120 then
Employees (5.A)3 as of Feb 28, 2019
Feb 25, 20131 then
Private funds: no history
RAUM -3.6% over the last fiscal year+7.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 28, 2019; every figure names its basis
RAUM per advisor
$114MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
140derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$253,649derivedRAUM over accounts (5.F.2.f)
Discretionary
89%derivedof RAUM
Institutional
3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-3.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-2.1%derived
Compensation
percentage of assets, hourly, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody
$14.7M, 47 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$78.5M69%
  • Individuals$31.5M28%
  • Pension and profit-sharing plans$3.6M3.2%
Individual clients
110reported
HNW clients
30reported
Pension plan clients
3reported
Charitable clients
n/areported
Accounts
448reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$14.7M for 47 clientsreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • S•••••• W••••••• M•••••• · Managing Member/ Chief Compliance Officercontrol
      since 11/2017 · 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 · 422 to 448
      Aug 15, 2018 to Feb 28, 2019
    • HNW clients · 31 to 30
      Aug 15, 2018 to Feb 28, 2019
    • Individual clients · 112 to 110
      Aug 15, 2018 to Feb 28, 2019
    • Pension plan clients · unset to 3.0
      Aug 15, 2018 to Feb 28, 2019
    • Assets in custody · $27.6M to $14.7M
      Aug 15, 2018 to Feb 28, 2019
    • Discretionary RAUM · $108M to $101M
      Aug 15, 2018 to Feb 28, 2019
    • HNW RAUM · $86.7M to $78.5M
      Aug 15, 2018 to Feb 28, 2019
    • Individual RAUM · $31.2M to $31.5M
      Aug 15, 2018 to Feb 28, 2019
    • Non-discretionary RAUM · $9.4M to $12.9M
      Aug 15, 2018 to Feb 28, 2019
    • Pension RAUM · unset to 3619011.0
      Aug 15, 2018 to Feb 28, 2019
    • RAUM · $118M to $114M
      Aug 15, 2018 to Feb 28, 2019
    • Accounts · 413 to 422
      Nov 13, 2017 to Feb 22, 2018
    • Business name · P•••••• L••••• A••••••• to P•••••• L••••• A•••••••• L••
      Nov 13, 2017 to Feb 22, 2018
    • HNW clients · unset to 31.0
      Nov 13, 2017 to Feb 22, 2018
    • Individual clients · unset to 112.0
      Nov 13, 2017 to Feb 22, 2018
    • Assets in custody · $2 to $27.6M
      Nov 13, 2017 to Feb 22, 2018
    • Employees · 2 to 3
      Nov 13, 2017 to Feb 22, 2018
    • Insurance-licensed employees · 1 to 0
      Nov 13, 2017 to Feb 22, 2018
    • Legal name · S•••••• W••••••• M•••••• to P•••••• L••••• A•••••••• L••
      Nov 13, 2017 to Feb 22, 2018
    • Discretionary RAUM · $95.3M to $108M
      Nov 13, 2017 to Feb 22, 2018
    • HNW RAUM · unset to 86715811.0
      Nov 13, 2017 to Feb 22, 2018
    • Individual RAUM · unset to 31208861.0
      Nov 13, 2017 to Feb 22, 2018
    • Non-discretionary RAUM · $7.2M to $9.4M
      Nov 13, 2017 to Feb 22, 2018
    • RAUM · $102M to $118M
      Nov 13, 2017 to Feb 22, 2018
    • Succession · true to false
      Nov 13, 2017 to Feb 22, 2018
    • Advisory activities · 3 to 4
      Apr 10, 2017 to Nov 13, 2017
    • Assets in custody · unset to 2.0
      Apr 10, 2017 to Nov 13, 2017
    • Custody of client assets · false to true
      Apr 10, 2017 to Nov 13, 2017
    • Insurance-licensed employees · 0 to 1
      Apr 10, 2017 to Nov 13, 2017
    • Other offices · unset to 0.0
      Apr 10, 2017 to Nov 13, 2017
    • Organization form · Sole Proprietorship to Limited Liability Company
      Apr 10, 2017 to Nov 13, 2017
    • Succession · false to true
      Apr 10, 2017 to Nov 13, 2017
    • Accounts · 382 to 413
      Feb 26, 2016 to Feb 2, 2017
    • Discretionary RAUM · $83.4M to $95.3M
      Feb 26, 2016 to Feb 2, 2017
    • Non-discretionary RAUM · $7.6M to $7.2M
      Feb 26, 2016 to Feb 2, 2017
    • RAUM · $91.0M to $102M
      Feb 26, 2016 to Feb 2, 2017
    • Accounts · 341 to 382
      Feb 3, 2015 to Feb 26, 2016
    • Discretionary RAUM · $129M to $83.4M
      Feb 3, 2015 to Feb 26, 2016
    • Non-discretionary RAUM · $7.6M to $7.6M
      Feb 3, 2015 to Feb 26, 2016
    • RAUM · $137M to $91.0M
      Feb 3, 2015 to Feb 26, 2016
    Signals
    1 dated events
    • P•••••• L••••• A••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Nov 13, 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