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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

W••• A•••••••• I•••

Former SEC-registered adviserLakeland, FloridaCRD 125272SEC 801-119837IAPD
Latest filing Mar 10, 2023
First filing on the tape Mar 12, 2012 · 16 filings
RAUM
$208M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
88%
$183M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$208M as of Mar 10, 2023
Mar 12, 2012$132M then
HNW client RAUM$157M as of Mar 10, 2023
Mar 22, 2021$88.6M then
State-registered IARs (5.B.3)3 as of Mar 10, 2023
Mar 6, 20133 then
Employees (5.A)3 as of Mar 10, 2023
Mar 6, 20133 then
Private funds: no history
RAUM +12% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 10, 2023; every figure names its basis
RAUM per advisor
$69.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
144derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$785,745derivedHNW RAUM over HNW clients
Average account
$459,853derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.1%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$157M75%
  • Individuals$26.3M13%
  • Corporations and businesses$23.9M11%
  • Pension and profit-sharing plans$968,7780.5%
Individual clients
232reported
HNW clients
200reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
453reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
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
    • T••••• S••••• P•••••• · Chief Compliance Officercontrol
      since 05/2022 · owns less than 5%
    • W•••• H•••••• L•• · Presidentcontrol
      since 07/1995 · owns 75% or more
    Related persons
    Schedule D 7.A
    • C•••••• A••••• G••••• I•••
      investment companyn
    • W••• T•••• L••
      insurancen
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 437 to 453
      Sep 21, 2022 to Mar 10, 2023
    • Corporate clients · 15 to 19
      Sep 21, 2022 to Mar 10, 2023
    • HNW clients · 184 to 200
      Sep 21, 2022 to Mar 10, 2023
    • Individual clients · 235 to 232
      Sep 21, 2022 to Mar 10, 2023
    • Discretionary RAUM · $181M to $207M
      Sep 21, 2022 to Mar 10, 2023
    • HNW RAUM · $123M to $157M
      Sep 21, 2022 to Mar 10, 2023
    • Individual RAUM · $38.9M to $26.3M
      Sep 21, 2022 to Mar 10, 2023
    • Non-discretionary RAUM · $4.8M to $1.8M
      Sep 21, 2022 to Mar 10, 2023
    • Pension RAUM · $794,208 to $968,778
      Sep 21, 2022 to Mar 10, 2023
    • RAUM · $186M to $208M
      Sep 21, 2022 to Mar 10, 2023
    • Accounts · 400 to 437
      Nov 3, 2021 to Mar 15, 2022
    • Charity clients · 0.0 to unset
      Nov 3, 2021 to Mar 15, 2022
    • Corporate clients · 12 to 15
      Nov 3, 2021 to Mar 15, 2022
    • HNW clients · 199 to 184
      Nov 3, 2021 to Mar 15, 2022
    • Individual clients · 184 to 235
      Nov 3, 2021 to Mar 15, 2022
    • Pension plan clients · 5.0 to unset
      Nov 3, 2021 to Mar 15, 2022
    • Discretionary RAUM · $122M to $181M
      Nov 3, 2021 to Mar 15, 2022
    • HNW RAUM · $88.6M to $123M
      Nov 3, 2021 to Mar 15, 2022
    • Individual RAUM · $14.5M to $38.9M
      Nov 3, 2021 to Mar 15, 2022
    • Non-discretionary RAUM · $4.0M to $4.8M
      Nov 3, 2021 to Mar 15, 2022
    • Pension RAUM · $1.8M to $794,208
      Nov 3, 2021 to Mar 15, 2022
    • RAUM · $126M to $186M
      Nov 3, 2021 to Mar 15, 2022
    • Financial planning clients · 51-100 to 0
      Mar 22, 2021 to Sep 8, 2021
    • Accounts · 429 to 400
      Oct 21, 2020 to Mar 22, 2021
    • Corporate clients · 14 to 12
      Oct 21, 2020 to Mar 22, 2021
    • HNW clients · 223 to 199
      Oct 21, 2020 to Mar 22, 2021
    • Individual clients · 188 to 184
      Oct 21, 2020 to Mar 22, 2021
    • Pension plan clients · 4 to 5
      Oct 21, 2020 to Mar 22, 2021
    • Discretionary RAUM · $111M to $122M
      Oct 21, 2020 to Mar 22, 2021
    • HNW RAUM · $74.8M to $88.6M
      Oct 21, 2020 to Mar 22, 2021
    • Individual RAUM · $13.2M to $14.5M
      Oct 21, 2020 to Mar 22, 2021
    • Non-discretionary RAUM · $4.0M to $4.0M
      Oct 21, 2020 to Mar 22, 2021
    • Pension RAUM · $963,896 to $1.8M
      Oct 21, 2020 to Mar 22, 2021
    • RAUM · $115M to $126M
      Oct 21, 2020 to Mar 22, 2021
    • Accounts · 253 to 429
      Mar 24, 2014 to Oct 21, 2020
    • Advisory employees · 1 to 3
      Mar 24, 2014 to Oct 21, 2020
    • Advisory activities · 3 to 4
      Mar 24, 2014 to Oct 21, 2020
    • Charity clients · unset to 0.0
      Mar 24, 2014 to Oct 21, 2020
    • Corporate clients · unset to 14.0
      Mar 24, 2014 to Oct 21, 2020
    • HNW clients · unset to 223.0
      Mar 24, 2014 to Oct 21, 2020
    Signals
    6 dated events
    • T••••• A•••• D••••••• left W••• A•••••••• I••• for W•••••• A•••••••• L•• (registered 2023-02-07)
      Mar 10, 2023 · Advisor changed firm · fact
    • C••••••••• J•••• M••••••• left W••• A•••••••• I••• for W•••••• A•••••••• L•• (registered 2023-02-08)
      Mar 10, 2023 · Advisor changed firm · fact
    • H••••• L•• W••• left W••• A•••••••• I••• for W•••••• A•••••••• L•• (registered 2023-02-10)
      Mar 10, 2023 · Advisor changed firm · fact
    • W••• A•••••••• I•••'s advisors moved to W•••••• A•••••••• L•• (Lakeland, FL): 3 of 3 registered, on the same day
      Mar 10, 2023 · Firm absorbed (people side) · derived
    • Patrick Scott Tarra (Chief Compliance Officer) appeared on Schedule A of W••• A•••••••• I•••
      Jun 6, 2022 · Control person joined · fact
    • W••• A•••••••• I••• filed its initial SEC registration (Form ADV)
      Oct 21, 2020 · 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