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

S•••• W•••• A•••••••• L••

Former SEC-registered adviserFort Myers, FloridaCRD 129972SEC 801-112303IAPD
Latest filing Feb 24, 2023
First filing on the tape Mar 31, 2012 · 23 filings
RAUM
$128M
reported, Item 5.F
Discretionary
72%
of RAUM
Private clients
93%
$119M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$128M as of Feb 24, 2023
Mar 31, 2012$41.3M then
HNW client RAUM$92.8M as of Feb 24, 2023
Mar 21, 2018$115M then
State-registered IARs (5.B.3)1 as of Feb 24, 2023
Mar 31, 20120 then
Employees (5.A)1 as of Feb 24, 2023
Mar 21, 20181 then
Private funds: no history
RAUM -21% over the last fiscal year-0.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 24, 2023; every figure names its basis
RAUM per advisor
$128MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
102derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$484,140derivedRAUM over accounts (5.F.2.f)
Discretionary
72%derivedof RAUM
Institutional
7.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-21%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.2%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, 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
  • 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$92.8M72%
  • Individuals$26.1M20%
  • Charitable organizations$9.4M7.3%
Individual clients
71reported
HNW clients
31reported
Pension plan clients
n/areported
Charitable clients
3reported
Accounts
265reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
    • W••••• A••••••• S•••• · Member/Chief Compliance Officercontrol
      since 01/2002 · 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 · 258 to 265
      Feb 28, 2022 to Feb 24, 2023
    • Charity clients · unset to 3.0
      Feb 28, 2022 to Feb 24, 2023
    • HNW clients · 39 to 31
      Feb 28, 2022 to Feb 24, 2023
    • Individual clients · 58 to 71
      Feb 28, 2022 to Feb 24, 2023
    • Financial planning clients · 51-100 to 0
      Feb 28, 2022 to Feb 24, 2023
    • Discretionary RAUM · $125M to $91.8M
      Feb 28, 2022 to Feb 24, 2023
    • HNW RAUM · $129M to $92.8M
      Feb 28, 2022 to Feb 24, 2023
    • Individual RAUM · $20.8M to $26.1M
      Feb 28, 2022 to Feb 24, 2023
    • Non-discretionary RAUM · $37.0M to $36.5M
      Feb 28, 2022 to Feb 24, 2023
    • RAUM · $161M to $128M
      Feb 28, 2022 to Feb 24, 2023
    • Accounts · 251 to 258
      Jan 14, 2022 to Feb 28, 2022
    • HNW clients · 34 to 39
      Jan 14, 2022 to Feb 28, 2022
    • Individual clients · 54 to 58
      Jan 14, 2022 to Feb 28, 2022
    • Discretionary RAUM · $104M to $125M
      Jan 14, 2022 to Feb 28, 2022
    • HNW RAUM · $104M to $129M
      Jan 14, 2022 to Feb 28, 2022
    • Individual RAUM · $15.9M to $20.8M
      Jan 14, 2022 to Feb 28, 2022
    • Non-discretionary RAUM · $27.3M to $37.0M
      Jan 14, 2022 to Feb 28, 2022
    • RAUM · $131M to $161M
      Jan 14, 2022 to Feb 28, 2022
    • Accounts · 245 to 251
      Oct 21, 2020 to Feb 2, 2021
    • HNW clients · 33 to 34
      Oct 21, 2020 to Feb 2, 2021
    • Individual clients · 57 to 54
      Oct 21, 2020 to Feb 2, 2021
    • Discretionary RAUM · $92.7M to $104M
      Oct 21, 2020 to Feb 2, 2021
    • HNW RAUM · $108M to $104M
      Oct 21, 2020 to Feb 2, 2021
    • Individual RAUM · $20.3M to $15.9M
      Oct 21, 2020 to Feb 2, 2021
    • Non-discretionary RAUM · $35.7M to $27.3M
      Oct 21, 2020 to Feb 2, 2021
    • RAUM · $128M to $131M
      Oct 21, 2020 to Feb 2, 2021
    • Advisory activities · 3 to 2
      Jun 16, 2020 to Oct 21, 2020
    • Advisory activities · 2 to 3
      Mar 5, 2020 to May 20, 2020
    • Accounts · 229 to 245
      Jan 9, 2020 to Mar 5, 2020
    • HNW clients · 25 to 33
      Jan 9, 2020 to Mar 5, 2020
    • Discretionary RAUM · $76.2M to $92.7M
      Jan 9, 2020 to Mar 5, 2020
    • HNW RAUM · $85.2M to $108M
      Jan 9, 2020 to Mar 5, 2020
    • Individual RAUM · $20.5M to $20.3M
      Jan 9, 2020 to Mar 5, 2020
    • Non-discretionary RAUM · $29.5M to $35.7M
      Jan 9, 2020 to Mar 5, 2020
    • RAUM · $106M to $128M
      Jan 9, 2020 to Mar 5, 2020
    • Accounts · 221 to 229
      Oct 17, 2018 to Feb 20, 2019
    • Charity clients · 1.0 to unset
      Oct 17, 2018 to Feb 20, 2019
    • HNW clients · 221 to 25
      Oct 17, 2018 to Feb 20, 2019
    • Individual clients · unset to 57.0
      Oct 17, 2018 to Feb 20, 2019
    • Financial planning clients · 101-250 to 51-100
      Oct 17, 2018 to Feb 20, 2019
    Signals
    2 dated events
    • A•••••• S•••• W•••• left S•••• W•••• A•••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2009-09-14)
      Aug 7, 2023 · Advisor changed firm · fact
    • S•••• W•••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      Dec 14, 2017 · 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