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••••• M••••••••• L••
Latest filing Sep 1, 2015
First filing on the tape Mar 29, 2012 · 9 filings
RAUM
$1.3M
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
1
1 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$191M as of Mar 23, 2015
Mar 29, 2012$148M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 23, 2015
Mar 29, 20120 then
Employees (5.A)3 as of Mar 23, 2015
Apr 1, 20134 then
Private funds: no history
RAUM -99% over the last fiscal year-80% a year over threeIARs 2 to 0
Practice profile
derived from the filing of Sep 1, 2015; 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
- $178,706derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- 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
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
- 7reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- 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
- T••• W••••• P•••••••• to M•••••••• W••••• M••••••••• I•••Jun 17, 2014 · Other
Joined, latest
- T••• W••••• P•••••••• from K•• F•••••••• S•••••••• I••Aug 12, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••• S••••• L••••• · Managing Partner Chief Compliance Officercontrolsince 01/2005 · owns 75% or more
Related persons
Schedule D 7.A
- S••••••••• W••••• M••••••••• L••investment adviseryRAUM $1.3M
Advisers that list S••••••••• W••••• M••••••••• L•• as a related person
- 133859 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 263 to 7Mar 23, 2015 to Sep 1, 2015
- Advisory employees · 3 to 1Mar 23, 2015 to Sep 1, 2015
- Advisory activities · 2 to 1Mar 23, 2015 to Sep 1, 2015
- Employees · 3 to 1Mar 23, 2015 to Sep 1, 2015
- Financial planning clients · 26-50 to 0Mar 23, 2015 to Sep 1, 2015
- State-registered IARs · 1 to 0Mar 23, 2015 to Sep 1, 2015
- Discretionary RAUM · $183M to $1.3MMar 23, 2015 to Sep 1, 2015
- Non-discretionary RAUM · $8.7M to $0Mar 23, 2015 to Sep 1, 2015
- RAUM · $191M to $1.3MMar 23, 2015 to Sep 1, 2015
- Accounts · 170 to 263Sep 22, 2014 to Mar 23, 2015
- Discretionary RAUM · $153M to $183MSep 22, 2014 to Mar 23, 2015
- Non-discretionary RAUM · $6.5M to $8.7MSep 22, 2014 to Mar 23, 2015
- RAUM · $160M to $191MSep 22, 2014 to Mar 23, 2015
- Accounts · 174 to 170Mar 18, 2014 to Jun 25, 2014
- Advisory employees · 4 to 3Mar 18, 2014 to Jun 25, 2014
- BD registered reps · 1 to 0Mar 18, 2014 to Jun 25, 2014
- Employees · 4 to 3Mar 18, 2014 to Jun 25, 2014
- Insurance-licensed employees · 1 to 0Mar 18, 2014 to Jun 25, 2014
- State-registered IARs · 2 to 1Mar 18, 2014 to Jun 25, 2014
- Discretionary RAUM · $158M to $153MMar 18, 2014 to Jun 25, 2014
- Non-discretionary RAUM · $0 to $6.5MMar 18, 2014 to Jun 25, 2014
- RAUM · $158M to $160MMar 18, 2014 to Jun 25, 2014
- Accounts · 218 to 174Feb 5, 2014 to Mar 18, 2014
- Discretionary RAUM · $159M to $158MFeb 5, 2014 to Mar 18, 2014
- RAUM · $159M to $158MFeb 5, 2014 to Mar 18, 2014
- Accounts · 249 to 218Mar 29, 2012 to Apr 1, 2013
- Advisory employees · unset to 4.0Mar 29, 2012 to Apr 1, 2013
- BD registered reps · 0 to 1Mar 29, 2012 to Apr 1, 2013
- Employees · unset to 4.0Mar 29, 2012 to Apr 1, 2013
- Insurance-licensed employees · 0 to 1Mar 29, 2012 to Apr 1, 2013
- State-registered IARs · 0 to 2Mar 29, 2012 to Apr 1, 2013
- Discretionary RAUM · $148M to $159MMar 29, 2012 to Apr 1, 2013
- RAUM · $148M to $159MMar 29, 2012 to Apr 1, 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