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

1•• W•••••••• A•••••••• L•••

Former SEC-registered adviserCRD 133225SEC 801-69608IAPD
Latest filing Jul 2, 2013
First filing on the tape Nov 9, 2011 · 10 filings
RAUM
$29.3M
reported, Item 5.F
Discretionary
0.0%
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
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$29.3M as of Mar 27, 2013
Mar 19, 2012$28.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 27, 2013
Mar 19, 20120 then
Employees (5.A): 5
Private funds: no history
RAUM +2.6% over the last fiscal yearIARs 0 to 5
Practice profile
derived from the filing of Jul 2, 2013; every figure names its basis
RAUM per advisor
$5.9MderivedRAUM 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
$562,516derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+2.6%derivedbetween 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, 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
  • is an insurance broker or agent (6.A.6)
  • 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
52reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M••••••• J•••• F•••••• · President/Ceo/Chief Compliance Officer/Managing Membercontrol
    since 10/2004 · owns less than 5%
  • D••••••• D•••••• J••••• · Shareholder - Class A And Class Bcontrol
    since 10/2004 · owns 25% to 50% of 1st W•••••••• Partners, LLC
  • M••••••• J•••• F•••••• · Shareholder - Class A And B/Managing Membercontrol
    since 10/2004 · owns 25% to 50% of 1st W•••••••• Parnters, LLC
  • R•••••••• W••••••• L•••• · Managing Member/Shareholdercontrol
    since 10/2004 · owns 25% to 50% of M••••••• G••••• L•••
Entity owners
  • 1•• W•••••••• P•••••••• L••• · Owner Of Class A And B Shares
    direct · owns 75% or more
  • M••••••• G••••• L••• · Owner Of Class A And B Shares
    direct · owns 10% to 25%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Lavallette, NJ
What changed
consecutive filings, newest first
  • Non-discretionary RAUM · $28.5M to $29.3M
    Dec 19, 2012 to Mar 27, 2013
  • RAUM · $28.5M to $29.3M
    Dec 19, 2012 to Mar 27, 2013
  • Advisory employees · unset to 3.0
    Jun 26, 2012 to Dec 19, 2012
  • BD registered reps · unset to 3.0
    Jun 26, 2012 to Dec 19, 2012
  • Employees · unset to 5.0
    Jun 26, 2012 to Dec 19, 2012
  • State-registered IARs · 0 to 5
    Jun 26, 2012 to Dec 19, 2012
  • HQ city · CUMMING to unset
    Mar 26, 2012 to Jun 26, 2012
  • HQ state · GA to unset
    Mar 26, 2012 to Jun 26, 2012
  • Accounts · 61 to 52
    Nov 9, 2011 to Mar 19, 2012
  • Insurance-licensed employees · unset to 0.0
    Nov 9, 2011 to Mar 19, 2012
  • Financial planning clients · 1-10 to 0
    Nov 9, 2011 to Mar 19, 2012
  • Non-discretionary RAUM · $28.0M to $28.5M
    Nov 9, 2011 to Mar 19, 2012
  • RAUM · $28.0M to $28.5M
    Nov 9, 2011 to Mar 19, 2012
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