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
T••••• W••••• M•••••••••
Legal name T••••• W••••• M••••••••• L••
Latest filing Mar 31, 2015
First filing on the tape Mar 31, 2012 · 5 filings
RAUM
$154M
reported, Item 5.F
Discretionary
100%
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$154M as of Mar 31, 2015
Mar 31, 2012$96.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 31, 2015
Mar 31, 20120 then
Employees (5.A)4 as of Mar 31, 2015
Mar 27, 20133 then
Private funds: no history
RAUM +14% over the last fiscal year+17% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 31, 2015; every figure names its basis
- RAUM per advisor
- $51.3MderivedRAUM 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
- $151,943derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- 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
- 1,013reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Left, latest
- K•••• L••••• B••• to B••••••••• W••••• • F•••••••• M••••••••• L••Dec 31, 2015 · Other
- W•••• B•••• Z•••••• to B••••••••• W••••• • F•••••••• M••••••••• L••Dec 31, 2015 · Other
- D•••• H••••••• M••••••••• to S••••• W••••• M•••••••••May 29, 2015 · Other
- P•••• A••• L••••• to C•••• C•••• T•••• C••••••Mar 31, 2015 · Other
- P•••• A••• L••••• to E••••••••• W••••• A•••••••• I•••Dec 6, 2013 · Other
- D••••• T••••• S•••••• to A••••••• W•••••• L••Nov 26, 2013 · Other
- J••• R••••• A••••••••• to R••••••• W••••• M••••••••• L••Jan 5, 2009 · Other
- T••••••• N••••• T••• to R••••••• W••••• M••••••••• L••Dec 19, 2008 · Other
Joined, latest
- P•••• A••• L••••• from E••••••••• W••••• A•••••••• I•••Mar 24, 2014 · Other
- P•••• A••• L••••• from F•••• A•••••••Jan 24, 2011 · Other
- K•••• L••••• B••• from L•• F•••••••• L••Oct 8, 2010 · Other
- W•••• B•••• Z•••••• from M•••••••• A••••••• S•••••••• L••Jan 4, 2008 · Other
- T••••••• N••••• T••• from M•••••••• A••••••• S•••••••• L••Sep 10, 2004 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for B••••••••• W••••• • F•••••••• M••••••••• L••Dec 31, 2015 · Easton, Md
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Z••••••• W••••• B•••• · Chief Compliance Officer/Presidentcontrolsince 01/2008 · owns 75% or more
- B•••• K••••• L••••• · Director Of Operations/Senior Financial Advisorsince 01/2014 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Annapolis, MD
- Easton, MD
- Gaithersburg, MD
What changed
consecutive filings, newest first
- Accounts · 951 to 1,013Dec 9, 2014 to Mar 31, 2015
- Advisory employees · 5 to 3Dec 9, 2014 to Mar 31, 2015
- Employees · 6 to 4Dec 9, 2014 to Mar 31, 2015
- Financial planning clients · 101-250 to 51-100Dec 9, 2014 to Mar 31, 2015
- State-registered IARs · 4 to 3Dec 9, 2014 to Mar 31, 2015
- Discretionary RAUM · $135M to $154MDec 9, 2014 to Mar 31, 2015
- RAUM · $135M to $154MDec 9, 2014 to Mar 31, 2015
- Accounts · 914 to 951Mar 27, 2013 to Mar 26, 2014
- Advisory employees · 3 to 5Mar 27, 2013 to Mar 26, 2014
- Business name · T••••• W••••• M••••••••• L•• to T••••• W••••• M•••••••••Mar 27, 2013 to Mar 26, 2014
- Employees · 3 to 6Mar 27, 2013 to Mar 26, 2014
- State-registered IARs · 3 to 4Mar 27, 2013 to Mar 26, 2014
- Discretionary RAUM · $103M to $135MMar 27, 2013 to Mar 26, 2014
- RAUM · $103M to $135MMar 27, 2013 to Mar 26, 2014
- Accounts · 818 to 914Mar 31, 2012 to Mar 27, 2013
- Advisory employees · unset to 3.0Mar 31, 2012 to Mar 27, 2013
- Employees · unset to 3.0Mar 31, 2012 to Mar 27, 2013
- State-registered IARs · 0 to 3Mar 31, 2012 to Mar 27, 2013
- Discretionary RAUM · $81.6M to $103MMar 31, 2012 to Mar 27, 2013
- Non-discretionary RAUM · $15.1M to $0Mar 31, 2012 to Mar 27, 2013
- RAUM · $96.7M to $103MMar 31, 2012 to Mar 27, 2013
Signals
No event on the tape.
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