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
L••••••••• W••••• A•••••••
Legal name L••••••••• W••••• A•••••••• L••
Latest filing Apr 1, 2013
First filing on the tape Nov 8, 2011 · 10 filings
RAUM
$70.0M
reported, Item 5.F
Discretionary
30%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$23.3M
derived; firm RAUM over IAPD count
Employees
3
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$70.0M as of Apr 1, 2013
Mar 28, 2012$158M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 3
Employees (5.A): 3
Private funds: no history
RAUM -56% over the last fiscal year
Practice profile
derived from the filing of Apr 1, 2013; every figure names its basis
- RAUM per advisor
- $35.0MderivedRAUM 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
- $833,333derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 30%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -56%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, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
- 84reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, commissionsreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• J••••••••Certified Financial Planner | Dallas, Tx | Apr 3, 2006 | 33 y | 1 |
| C•••••• A•••••••Certified Financial Planner | Dallas, Tx | May 12, 2015 | 27 y | 1 |
| T••••• M••• Y•••• | Dallas, Tx | May 20, 2017 | 43 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- P•••••• C• W••••••••• to S•••• H••• W••••• M••••••••• L••Jun 13, 2016 · Other
- W•••••• K••••• K••••• to B•••• G••••• W••••• A•••••••• L••Nov 23, 2011 · Other
- R••••• G••••• L••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 1, 2011 · Other
Joined, latest
- T••••• M••• Y•••• from M••••••• I••••••••• N•••••• I•••May 20, 2017 · Other
- C•••••• A••••••• from T•••••••• A••••••• G••••• I•••May 12, 2015 · Other
- P•••••• C• W••••••••• from N••••••••• M••••• I••••••••• S•••••••••Jun 3, 2014 · Other
- W•••••• K••••• K••••• from A••••••• E•••••••• I•••Jun 24, 2011 · Other
- R••••• G••••• L••• from P•••••• W••••• M••••••••• I•••Dec 16, 2008 · Other
- E••• J•••••••• from C•••••• S••••• • C••• I•••Apr 3, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••••• E••• · President & Chief Compliance Officercontrolsince 01/2011 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 58 to 84Mar 23, 2013 to Apr 1, 2013
- Advisory employees · 1 to 3Feb 28, 2013 to Mar 23, 2013
- State-registered IARs · 2 to 3Feb 28, 2013 to Mar 23, 2013
- BD registered reps · 1 to 0Feb 22, 2013 to Feb 28, 2013
- Employees · 2 to 3Feb 22, 2013 to Feb 28, 2013
- Insurance-licensed employees · 1 to 0Feb 22, 2013 to Feb 28, 2013
- Accounts · 45 to 58Apr 4, 2012 to Jan 17, 2013
- Advisory employees · unset to 1.0Apr 4, 2012 to Jan 17, 2013
- BD registered reps · unset to 1.0Apr 4, 2012 to Jan 17, 2013
- Employees · unset to 2.0Apr 4, 2012 to Jan 17, 2013
- State-registered IARs · unset to 2.0Apr 4, 2012 to Jan 17, 2013
- Discretionary RAUM · $13.8M to $21.0MApr 4, 2012 to Jan 17, 2013
- Non-discretionary RAUM · $144M to $49.0MApr 4, 2012 to Jan 17, 2013
- RAUM · $158M to $70.0MApr 4, 2012 to Jan 17, 2013
- Business name · L••••••••• W••••• A•••••••• L•• to L••••••••• W••••• A•••••••Mar 28, 2012 to Apr 3, 2012
- Accounts · 95 to 45Nov 8, 2011 to Mar 28, 2012
- Insurance-licensed employees · unset to 1.0Nov 8, 2011 to Mar 28, 2012
- Discretionary RAUM · $17.0M to $13.8MNov 8, 2011 to Mar 28, 2012
- Non-discretionary RAUM · $113M to $144MNov 8, 2011 to Mar 28, 2012
- RAUM · $130M to $158MNov 8, 2011 to Mar 28, 2012
Signals
1 dated events
- T••••• M••• Y•••• no longer holds an investment adviser registration (last listed at L••••••••• W••••• A••••••• on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- 7HARVESTINVESTMENTS.COMreportedpublic record, Form ADV, Sep 18, 2026
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
- $23.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026