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 Jun 26, 2020
First filing on the tape Mar 9, 2012 · 15 filings
RAUM
$263M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$261M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 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$263M as of Mar 25, 2020
Mar 9, 2012$92.2M then
HNW client RAUM$226M as of Mar 25, 2020
Mar 9, 2018$182M then
State-registered IARs (5.B.3)4 as of Mar 25, 2020
Mar 26, 20132 then
Employees (5.A)4 as of Mar 25, 2020
Mar 26, 20132 then
Private funds: no history
RAUM +26% over the last fiscal year+17% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Jun 26, 2020; every figure names its basis
- RAUM per advisor
- $65.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $425,399derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +39%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $84.2M, 140 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$226M86%
- Individuals$35.2M13%
- Charitable organizations$2.1M0.8%
- Individual clients
- 171reported
- HNW clients
- 71reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 619reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $84.2M for 140 clientsreported
- 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
- K••• W•••••• J•••• to F••••••• W••••• M••••••••• I•••Apr 8, 2020 · RIA to RIA
- M•••• E•••••••• T•••••••• to M••••• A•••••• L••Jan 14, 2020 · RIA to a state-registered adviser
Joined, latest
- K••• W•••••• J•••• from L•• F•••••••• L••Oct 23, 2018 · RIA to RIA
- M•••• E•••••••• T•••••••• from M••••• A•••••• L••Aug 1, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• J•••••• P•••• · Member/Principalcontrolsince 05/2005 · owns 50% to 75%
- J••••• K•••• W•••••• · Member/Principalcontrolsince 10/2018 · owns 10% to 25%
- L••••• S••••• M•••• · Member/Principal/Chief Compliance Officercontrolsince 01/2007 · owns 50% to 75%
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 619Mar 13, 2019 to Mar 25, 2020
- Advisory employees · 5 to 4Mar 13, 2019 to Mar 25, 2020
- HNW clients · 74 to 71Mar 13, 2019 to Mar 25, 2020
- Individual clients · 100 to 171Mar 13, 2019 to Mar 25, 2020
- Assets in custody · $97.8M to $84.2MMar 13, 2019 to Mar 25, 2020
- Employees · 5 to 4Mar 13, 2019 to Mar 25, 2020
- State-registered IARs · 5 to 4Mar 13, 2019 to Mar 25, 2020
- Discretionary RAUM · $208M to $263MMar 13, 2019 to Mar 25, 2020
- HNW RAUM · $187M to $226MMar 13, 2019 to Mar 25, 2020
- Individual RAUM · $19.5M to $35.2MMar 13, 2019 to Mar 25, 2020
- RAUM · $208M to $263MMar 13, 2019 to Mar 25, 2020
- Accounts · 345 to 175Apr 16, 2018 to Mar 13, 2019
- Advisory employees · 3 to 5Apr 16, 2018 to Mar 13, 2019
- Charity clients · 1.0 to unsetApr 16, 2018 to Mar 13, 2019
- HNW clients · 63 to 74Apr 16, 2018 to Mar 13, 2019
- Individual clients · 3 to 100Apr 16, 2018 to Mar 13, 2019
- Assets in custody · $165M to $97.8MApr 16, 2018 to Mar 13, 2019
- Employees · 3 to 5Apr 16, 2018 to Mar 13, 2019
- Financial planning clients · 51-100 to 101-250Apr 16, 2018 to Mar 13, 2019
- State-registered IARs · 3 to 5Apr 16, 2018 to Mar 13, 2019
- Discretionary RAUM · $185M to $208MApr 16, 2018 to Mar 13, 2019
- HNW RAUM · $182M to $187MApr 16, 2018 to Mar 13, 2019
- Individual RAUM · $921,700 to $19.5MApr 16, 2018 to Mar 13, 2019
- RAUM · $185M to $208MApr 16, 2018 to Mar 13, 2019
- Accounts · 325 to 345Mar 14, 2017 to Mar 9, 2018
- Charity clients · unset to 1.0Mar 14, 2017 to Mar 9, 2018
- Corporate clients · unset to 0.0Mar 14, 2017 to Mar 9, 2018
- HNW clients · unset to 63.0Mar 14, 2017 to Mar 9, 2018
- Individual clients · unset to 3.0Mar 14, 2017 to Mar 9, 2018
- Pension plan clients · unset to 0.0Mar 14, 2017 to Mar 9, 2018
- Pooled vehicle clients · unset to 0.0Mar 14, 2017 to Mar 9, 2018
- Assets in custody · unset to 165452300.0Mar 14, 2017 to Mar 9, 2018
- Custody of client assets · false to trueMar 14, 2017 to Mar 9, 2018
- Other offices · unset to 0.0Mar 14, 2017 to Mar 9, 2018
- Discretionary RAUM · $165M to $185MMar 14, 2017 to Mar 9, 2018
- HNW RAUM · unset to 181590000.0Mar 14, 2017 to Mar 9, 2018
- Individual RAUM · unset to 921700.0Mar 14, 2017 to Mar 9, 2018
- Pension RAUM · unset to 0.0Mar 14, 2017 to Mar 9, 2018
- Pooled vehicle RAUM · unset to 0.0Mar 14, 2017 to Mar 9, 2018
- RAUM · $165M to $185MMar 14, 2017 to Mar 9, 2018
Signals
1 dated events
- William Kyle Jones (Member/Principal) appeared on Schedule A of A••••••• W••••• M••••••••• L••Mar 13, 2019 · Control person joined · 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