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
A•••• W••••• M••••••••• L••
Latest filing May 3, 2023
First filing on the tape Mar 21, 2012 · 32 filings
RAUM
$415M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$391M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$415M as of Mar 2, 2023
Mar 21, 2012$140M then
HNW client RAUM$294M as of Mar 2, 2023
Feb 5, 2018$249M then
State-registered IARs (5.B.3)4 as of Mar 2, 2023
Feb 11, 20132 then
Employees (5.A)5 as of Mar 2, 2023
Feb 11, 20134 then
Private funds: no history
RAUM -3.5% over the last fiscal year+7.7% a year over threeIARs 4 to 4
Practice profile
derived from the filing of May 3, 2023; every figure names its basis
- RAUM per advisor
- $104MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $419,180derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $6.7MreportedItem 5.I
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$294M71%
- Individuals$97.5M23%
- Pension and profit-sharing plans$24.4M5.9%
- Individual clients
- 164reported
- HNW clients
- 192reported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 991reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- W•••••• B•••• P•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 31, 2023 · Other
- D••••• S•••• P•••••• to E•••••• F•••••••• E••••••Dec 31, 2023 · RIA to RIA
- K•••• M••• B•••• to E•••••• F•••••••• E••••••Dec 31, 2023 · RIA to RIA
Joined, latest
- D••••• S•••• P•••••• from T• A••••••••• I•••Mar 17, 2006 · Other
- W•••••• B•••• P•••••• from C•••••••• I••••••••• R•••••••• I•••May 24, 2004 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for E•••••• F•••••••• E••••••Dec 31, 2023 · Oklahoma City, Ok
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• D•••••• S•••• · Membercontrolsince 01/2008 · owns 25% to 50%
- P••••••• W••••••• B•••• · Managing Member And Chief Compliance Officercontrolsince 01/1994 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Oklahoma City, Ok · principal | 0 | 0 | 0 | ||
| St Petersburg, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- St. Petersburg, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 948 to 991Mar 18, 2022 to Mar 2, 2023
- HNW clients · 152 to 192Mar 18, 2022 to Mar 2, 2023
- Individual clients · 155 to 164Mar 18, 2022 to Mar 2, 2023
- Discretionary RAUM · $430M to $415MMar 18, 2022 to Mar 2, 2023
- HNW RAUM · $301M to $294MMar 18, 2022 to Mar 2, 2023
- Individual RAUM · $106M to $97.5MMar 18, 2022 to Mar 2, 2023
- Pension RAUM · $24.2M to $24.4MMar 18, 2022 to Mar 2, 2023
- RAUM · $430M to $415MMar 18, 2022 to Mar 2, 2023
- Accounts · 1,401 to 948Mar 1, 2021 to Mar 18, 2022
- HNW clients · 135 to 152Mar 1, 2021 to Mar 18, 2022
- Individual clients · 137 to 155Mar 1, 2021 to Mar 18, 2022
- Pension plan clients · 9 to 10Mar 1, 2021 to Mar 18, 2022
- State-registered IARs · 3 to 4Mar 1, 2021 to Mar 18, 2022
- Discretionary RAUM · $390M to $430MMar 1, 2021 to Mar 18, 2022
- HNW RAUM · $307M to $301MMar 1, 2021 to Mar 18, 2022
- Individual RAUM · $66.2M to $106MMar 1, 2021 to Mar 18, 2022
- Pension RAUM · $17.1M to $24.2MMar 1, 2021 to Mar 18, 2022
- RAUM · $390M to $430MMar 1, 2021 to Mar 18, 2022
- Accounts · 1,368 to 1,401Jun 26, 2020 to Mar 1, 2021
- HNW clients · 185 to 135Jun 26, 2020 to Mar 1, 2021
- Individual clients · 60 to 137Jun 26, 2020 to Mar 1, 2021
- State-registered IARs · 4 to 3Jun 26, 2020 to Mar 1, 2021
- Discretionary RAUM · $333M to $390MJun 26, 2020 to Mar 1, 2021
- HNW RAUM · $268M to $307MJun 26, 2020 to Mar 1, 2021
- Individual RAUM · $48.3M to $66.2MJun 26, 2020 to Mar 1, 2021
- Pension RAUM · $16.7M to $17.1MJun 26, 2020 to Mar 1, 2021
- RAUM · $333M to $390MJun 26, 2020 to Mar 1, 2021
- Accounts · 1,022 to 1,368Mar 26, 2019 to Mar 10, 2020
- HNW clients · 183 to 185Mar 26, 2019 to Mar 10, 2020
- Individual clients · 50 to 60Mar 26, 2019 to Mar 10, 2020
- Pension plan clients · 7 to 9Mar 26, 2019 to Mar 10, 2020
- Discretionary RAUM · $300M to $333MMar 26, 2019 to Mar 10, 2020
- HNW RAUM · $253M to $268MMar 26, 2019 to Mar 10, 2020
- Individual RAUM · $38.4M to $48.3MMar 26, 2019 to Mar 10, 2020
- Non-discretionary RAUM · $4.9M to $0Mar 26, 2019 to Mar 10, 2020
- Pension RAUM · $13.9M to $16.7MMar 26, 2019 to Mar 10, 2020
- RAUM · $305M to $333MMar 26, 2019 to Mar 10, 2020
- Discretionary RAUM · $305M to $300MMar 18, 2019 to Mar 26, 2019
- Non-discretionary RAUM · $0 to $4.9MMar 18, 2019 to Mar 26, 2019
- Accounts · 233 to 1,022Mar 29, 2018 to Mar 18, 2019
Signals
4 dated events
- D••••• S•••• P•••••• left A•••• W••••• M••••••••• L•• for E•••••• F•••••••• E•••••• (registered 2023-09-08)Dec 31, 2023 · Advisor changed firm · fact
- K•••• M••• B•••• left A•••• W••••• M••••••••• L•• for E•••••• F•••••••• E•••••• (registered 2023-09-08)Dec 31, 2023 · Advisor changed firm · fact
- W•••••• B•••• P•••••• left A•••• W••••• M••••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2005-03-28)Dec 31, 2023 · Advisor changed firm · fact
- 2 advisors left A•••• W••••• M••••••••• L•• (Oklahoma City, OK) for E•••••• F•••••••• E•••••• on the same dayDec 31, 2023 · Team lift-out · derived
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