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•••••• L••

Former SEC-registered adviserNew York, New YorkCRD 139733SEC 801-66473IAPD
Latest filing Nov 29, 2016
First filing on the tape Mar 28, 2012 · 11 filings
RAUM
$136M
reported, Item 5.F
Discretionary
50%
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
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$73.2M as of Apr 1, 2016
Mar 28, 2012$91.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2016
Mar 28, 20120 then
Employees (5.A)2 as of Apr 1, 2016
Mar 14, 20132 then
Private funds: no history
RAUM +63% over the last fiscal year+21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Nov 29, 2016; 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
$3.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
50%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
-13%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, 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
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
46reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • N••••• M••••• S•••••• · Ownercontrol
        since 06/2007 · owns 75% or more of A•••••• I••••••••• M••••••••• C••••••••• ••••••••
      • L••••••• S•••• D•••• · Chief Compliance Officer
        since 01/2016 · owns less than 5%
      Entity owners
      • A•••••• U• I• L•• · Managing Member
        direct · owns 75% or more
      • A•••••• U• C••••••••• · Owner
        indirect · owns 75% or more of A•••••• U• I• C•••••••••
      • A•••••• U• I• C••••••••• · Owner
        indirect · owns 75% or more of A•••••• U• I• L••
      • A•••••• C••••••••• •••••••• · Owner
        indirect · owns 75% or more of A•••••• U• C•••••••••
      • A•••••• I••••••••• M••••••••• C••••••••• •••••••• · Owner
        indirect · owns 75% or more of A•••••• C••••••••• ••••••••
      Related persons
      Schedule D 7.A
      Advisers that list A•••••• W•••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $67.0M to $67.8M
        Nov 28, 2016 to Nov 29, 2016
      • RAUM · $135M to $136M
        Nov 28, 2016 to Nov 29, 2016
      • Accounts · 44 to 46
        Apr 1, 2016 to Nov 28, 2016
      • Discretionary RAUM · $73.2M to $67.0M
        Apr 1, 2016 to Nov 28, 2016
      • Non-discretionary RAUM · $0 to $68.5M
        Apr 1, 2016 to Nov 28, 2016
      • RAUM · $73.2M to $135M
        Apr 1, 2016 to Nov 28, 2016
      • Business name · A•••••• W••••• to A•••••• W•••••• L••
        Nov 28, 2016 to Nov 28, 2016
      • Legal name · A•••••• W••••• to A•••••• W•••••• L••
        Nov 28, 2016 to Nov 28, 2016
      • Accounts · 50 to 44
        May 15, 2015 to Apr 1, 2016
      • Discretionary RAUM · $83.7M to $73.2M
        May 15, 2015 to Apr 1, 2016
      • RAUM · $83.7M to $73.2M
        May 15, 2015 to Apr 1, 2016
      • Accounts · 46 to 50
        Mar 26, 2014 to Mar 31, 2015
      • Business name · M••••• A•••• M••••••••• L•• to A•••••• W•••••
        Mar 26, 2014 to Mar 31, 2015
      • Legal name · M••••• A•••• M••••••••• L•• to A•••••• W•••••
        Mar 26, 2014 to Mar 31, 2015
      • Discretionary RAUM · $75.5M to $83.7M
        Mar 26, 2014 to Mar 31, 2015
      • RAUM · $75.5M to $83.7M
        Mar 26, 2014 to Mar 31, 2015
      • Related broker-dealer · false to true
        Mar 26, 2014 to Mar 31, 2015
      • Accounts · 54 to 46
        Mar 14, 2013 to Mar 26, 2014
      • Discretionary RAUM · $77.0M to $75.5M
        Mar 14, 2013 to Mar 26, 2014
      • RAUM · $77.0M to $75.5M
        Mar 14, 2013 to Mar 26, 2014
      • Accounts · 42 to 54
        Dec 10, 2012 to Mar 14, 2013
      • Advisory employees · 2 to 1
        Dec 10, 2012 to Mar 14, 2013
      • Discretionary RAUM · $91.7M to $77.0M
        Dec 10, 2012 to Mar 14, 2013
      • RAUM · $91.7M to $77.0M
        Dec 10, 2012 to Mar 14, 2013
      • Advisory employees · unset to 2.0
        Mar 28, 2012 to Dec 10, 2012
      • Employees · unset to 2.0
        Mar 28, 2012 to Dec 10, 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