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•••••••• I•••
Latest filing Jul 3, 2012
First filing on the tape Mar 23, 2012 · 9 filings
RAUM
$88.8M
reported, Item 5.F
Discretionary
30%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$88.8M as of Jul 3, 2012
Mar 23, 2012$88.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 3, 2012
Mar 23, 20120 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 3, 2012; 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
- $241,962derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 30%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, 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
- 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
- 367reported
- Financial planning clients
- 1-10reported
- 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
- J•••• L•••• L•••• to O•••• W•••••• I•••Sep 10, 2022 · Other
- D••••• J•••• K•••••• to O•••• W•••••• I•••Aug 20, 2019 · Other
- S•••••••• P•••••• V••• to O•••• W•••••• I•••Aug 20, 2019 · Other
- J••• E• A••••••• to O•••• W•••••• I•••Feb 16, 2018 · Other
- R•••••• K•••• W•••••• to P••••••••• P•••••••Nov 22, 2016 · Other
- R••• K•••• G••• to O•••• W•••••• I•••Mar 18, 2015 · Other
- C•••••• K•••• G••• to W••••••••• A••••••• P••••••• L••Mar 18, 2015 · Other
- R••••• M••• C••• to O•••• W•••••• I•••Feb 4, 2011 · Other
- D••••• J•••• K•••••• to O•••• W•••••• I•••Dec 31, 2009 · Other
- K•••••• A••• B••• to P••••••••• P•••••••Jul 20, 2009 · Other
- W•••••• F•••••• to C•••••••• F••••••••• I•••Jan 14, 2009 · Other
Joined, latest
- R••• K•••• G••• from L•• F•••••••• L••Sep 20, 2010 · Other
- D••••• J•••• K•••••• from O•••• W•••••• I•••Jan 29, 2010 · Other
- D•••• S••••• L•••• from C••••••••• W••••• M•••••••••Jan 28, 2010 · Other
- C•••••• K•••• G••• from O•••• W•••••• I•••Aug 14, 2008 · Other
- J•••• L•••• L•••• from W••••• C••• P•••••••Sep 17, 2003 · Other
- D••••• J•••• K•••••• from W••••• C••• P•••••••Sep 17, 2003 · Other
- S•••••••• P•••••• V••• from W••••• C••• P•••••••Sep 17, 2003 · Other
- K•••••• A••• B••• from W••••• C••• P•••••••Sep 17, 2003 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for O•••• W•••••• I•••Aug 20, 2019 · Westlake Village, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• J••••• L•••• · Chief Compliance Officer/Chief Executive Officercontrolsince 04/2003 · 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
- Advisory activities · 6 to 5Mar 23, 2012 to May 16, 2012
Signals
1 dated events
- J•••• L•••• L•••• left W••••••••• A•••••••• I••• for O•••• W•••••• I••• (registered 2015-02-24)Sep 10, 2022 · adv•••r firm change · 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