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

R•••••• W••••• M••••••••• L••

Former SEC-registered adviserLas Vegas, NevadaCRD 134562SEC 801-111672IAPD
Latest filing Mar 7, 2023
First filing on the tape Jan 26, 2012 · 15 filings
RAUM
$190M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$190M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$190M as of Feb 13, 2022
Jan 19, 2018$121M then
HNW client RAUM$143M as of Feb 13, 2022
Jan 19, 2018$71.0M then
State-registered IARs (5.B.3)3 as of Feb 13, 2022
Jan 19, 20180 then
Employees (5.A)4 as of Feb 13, 2022
Jan 19, 20184 then
Private funds: no history
RAUM +21% over the last fiscal year+16% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 7, 2023; every figure names its basis
RAUM per advisor
$63.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
64derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$986,798derivedRAUM over accounts (5.F.2.f)
Discretionary
95%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
3.0derived1 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
+17%derived
Compensation
percentage of assets, hourly, fixed fees, subscriptionreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, publications, educational seminarsreportedItem 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)
  • 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$143M75%
  • Individuals$47.8M25%
Individual clients
105reported
HNW clients
88reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
193reported
Financial planning clients
101-250reported
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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • P•••••• G••••••• D•••• · Managing Member & Chief Compliance Officercontrol
      since 04/2005 · owns 75% or more
    • M•••••• J•••••• T••••• · Owner & Investment Adviser Representative
      since 01/2018 · owns less than 5%
    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 · 175 to 193
      Feb 25, 2021 to Feb 13, 2022
    • HNW clients · 49 to 88
      Feb 25, 2021 to Feb 13, 2022
    • Individual clients · 116 to 105
      Feb 25, 2021 to Feb 13, 2022
    • Pension plan clients · 10.0 to unset
      Feb 25, 2021 to Feb 13, 2022
    • Financial planning clients · 11-25 to 101-250
      Feb 25, 2021 to Feb 13, 2022
    • Discretionary RAUM · $145M to $180M
      Feb 25, 2021 to Feb 13, 2022
    • HNW RAUM · $85.5M to $143M
      Feb 25, 2021 to Feb 13, 2022
    • Individual RAUM · $53.3M to $47.8M
      Feb 25, 2021 to Feb 13, 2022
    • Non-discretionary RAUM · $11.7M to $10.3M
      Feb 25, 2021 to Feb 13, 2022
    • Pension RAUM · 18200000.0 to unset
      Feb 25, 2021 to Feb 13, 2022
    • RAUM · $157M to $190M
      Feb 25, 2021 to Feb 13, 2022
    • Accounts · 402 to 175
      Jun 22, 2020 to Feb 24, 2021
    • Advisory activities · 4 to 5
      Jun 22, 2020 to Feb 24, 2021
    • HNW clients · 43 to 49
      Jun 22, 2020 to Feb 24, 2021
    • Individual clients · 117 to 116
      Jun 22, 2020 to Feb 24, 2021
    • Pension plan clients · 9 to 10
      Jun 22, 2020 to Feb 24, 2021
    • Financial planning clients · 51-100 to 11-25
      Jun 22, 2020 to Feb 24, 2021
    • Other offices · 1 to 0
      Jun 22, 2020 to Feb 24, 2021
    • Discretionary RAUM · $132M to $145M
      Jun 22, 2020 to Feb 24, 2021
    • HNW RAUM · $75.0M to $85.5M
      Jun 22, 2020 to Feb 24, 2021
    • Individual RAUM · $54.0M to $53.3M
      Jun 22, 2020 to Feb 24, 2021
    • Non-discretionary RAUM · $10.0M to $11.7M
      Jun 22, 2020 to Feb 24, 2021
    • Pension RAUM · $13.0M to $18.2M
      Jun 22, 2020 to Feb 24, 2021
    • RAUM · $142M to $157M
      Jun 22, 2020 to Feb 24, 2021
    • Accounts · 177 to 402
      Jan 14, 2019 to Feb 20, 2020
    • HNW clients · 38 to 43
      Jan 14, 2019 to Feb 20, 2020
    • Individual clients · 133 to 117
      Jan 14, 2019 to Feb 20, 2020
    • Pension plan clients · 5 to 9
      Jan 14, 2019 to Feb 20, 2020
    • Pooled vehicle clients · 1.0 to unset
      Jan 14, 2019 to Feb 20, 2020
    • Financial planning clients · 26-50 to 51-100
      Jan 14, 2019 to Feb 20, 2020
    • Other offices · 2 to 1
      Jan 14, 2019 to Feb 20, 2020
    • Discretionary RAUM · $116M to $132M
      Jan 14, 2019 to Feb 20, 2020
    • HNW RAUM · $62.3M to $75.0M
      Jan 14, 2019 to Feb 20, 2020
    • Individual RAUM · $53.6M to $54.0M
      Jan 14, 2019 to Feb 20, 2020
    • Non-discretionary RAUM · $7.4M to $10.0M
      Jan 14, 2019 to Feb 20, 2020
    • Pension RAUM · $7.4M to $13.0M
      Jan 14, 2019 to Feb 20, 2020
    • Pooled vehicle RAUM · 300000.0 to unset
      Jan 14, 2019 to Feb 20, 2020
    • RAUM · $124M to $142M
      Jan 14, 2019 to Feb 20, 2020
    • Accounts · 421 to 177
      Jan 19, 2018 to Jan 14, 2019
    • Advisory employees · 4 to 3
      Jan 19, 2018 to Jan 14, 2019
    Signals
    5 dated events
    • J••••• T••••• M••••• left R•••••• W••••• M••••••••• L•• for A••••••• F••••••••• L••• (registered 2023-03-24)
      Mar 30, 2023 · Advisor changed firm · fact
    • G•••••• D•••• P••••• left R•••••• W••••• M••••••••• L•• for A••••••• F••••••••• L••• (registered 2023-03-24)
      Mar 30, 2023 · Advisor changed firm · fact
    • 2 advisors left R•••••• W••••• M••••••••• L•• (Las Vegas, NV) for A••••••• F••••••••• L••• on the same day
      Mar 30, 2023 · Team lift-out · derived
    • A•••• J• B•••••• left R•••••• W••••• M••••••••• L•• for M•••••• I••••••••• (registered 2022-11-01)
      Oct 3, 2022 · Advisor changed firm · fact
    • R•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Aug 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