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

E•••••••• W••••• C••••••••• L••

Former SEC-registered adviserPittsburgh, PennsylvaniaCRD 141529SEC 801-122885IAPD
Latest filing Mar 17, 2022
First filing on the tape Nov 16, 2021 · 2 filings
RAUM
$177M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$177M 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
2 filings and snapshots on the tape
RAUM$177M as of Mar 17, 2022
Nov 16, 2021$150M then
HNW client RAUM$156M as of Mar 17, 2022
Nov 16, 2021$125M then
State-registered IARs (5.B.3)3 as of Mar 17, 2022
Nov 16, 20213 then
Employees (5.A)4 as of Mar 17, 2022
Nov 16, 20214 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 17, 2022; every figure names its basis
RAUM per advisor
$59.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
61derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$371,595derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
0.3%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
unknownderivedbetween 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$156M88%
  • Individuals$21.0M12%
  • Charitable organizations$469,0370.3%
Individual clients
103reported
HNW clients
81reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
477reported
Financial planning clients
0reported
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
Left, latest
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
    • G••••••• F••••••••• V••••• · President And Chief Compliance Officercontrol
      since 08/2006 · owns 10% to 25%
    • V••••• L••••• E• · Owner/Trusteecontrol
      since 12/2007 · owns F of L•••• E• V•••• L••••• T•••• D•• 1•••••••••
    Entity owners
    • L•••• E• V•••• L••••• T•••• D•• 1••••••••• · Owner
      direct · owns 50% to 75%
    Related persons
    Schedule D 7.A
    • F•••••••• V• G••••••
      y
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 485 to 477
      Nov 16, 2021 to Mar 17, 2022
    • HNW clients · 85 to 81
      Nov 16, 2021 to Mar 17, 2022
    • Individual clients · 106 to 103
      Nov 16, 2021 to Mar 17, 2022
    • Discretionary RAUM · $150M to $168M
      Nov 16, 2021 to Mar 17, 2022
    • HNW RAUM · $125M to $156M
      Nov 16, 2021 to Mar 17, 2022
    • Individual RAUM · $25.3M to $21.0M
      Nov 16, 2021 to Mar 17, 2022
    • Non-discretionary RAUM · $97,102 to $8.8M
      Nov 16, 2021 to Mar 17, 2022
    • RAUM · $150M to $177M
      Nov 16, 2021 to Mar 17, 2022
    Signals
    5 dated events
    • J•••• D•••• S••••• left E•••••••• W••••• C••••••••• L•• for M•••••• (registered 2022-10-03)
      Oct 17, 2022 · Advisor changed firm · fact
    • F•••••••• V••••• G•••••• left E•••••••• W••••• C••••••••• L•• for M•••••• (registered 2022-10-03)
      Oct 17, 2022 · Advisor changed firm · fact
    • L•••• E• V•••• left E•••••••• W••••• C••••••••• L•• for M•••••• (registered 2022-10-03)
      Oct 17, 2022 · Advisor changed firm · fact
    • E•••••••• W••••• C••••••••• L••'s advisors moved to M•••••• (Pittsburgh, PA): 3 of 3 registered, on the same day
      Oct 17, 2022 · Firm absorbed (people side) · derived
    • E•••••••• W••••• C••••••••• L•• filed its initial SEC registration (Form ADV)
      Nov 16, 2021 · 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