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•••••••••

Former SEC-registered adviserCRD 142044SEC 801-80706IAPD
Legal name A••••••• A•••• M••••••••• I••••••••• C••••
Latest filing Mar 13, 2018
First filing on the tape Dec 2, 2014 · 6 filings
RAUM
$4.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$4.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$4.0M as of Mar 13, 2018
Feb 27, 2015$4.0M then
HNW client RAUM: $2.0M
State-registered IARs (5.B.3)1 as of Mar 13, 2018
Feb 27, 20151 then
Employees (5.A)1 as of Mar 13, 2018
Feb 27, 20151 then
Private funds: no history
RAUM +33% over the last fiscal year+0.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 13, 2018; every figure names its basis
RAUM per advisor
$4.0MderivedRAUM 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
$285,714derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+33%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$2.0M50%
  • High-net-worth individuals$2.0M50%
Individual clients
7reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
14reported
Financial planning clients
1-10reported
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
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
    • K•••••• Y••• · President/Chief Compliance Officercontrol
      since 01/2001 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Advisers that list A••••••• W••••• M••••••••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 15 to 14
      Jan 13, 2017 to Mar 13, 2018
    • Individual clients · unset to 7.0
      Jan 13, 2017 to Mar 13, 2018
    • Other offices · unset to 0.0
      Jan 13, 2017 to Mar 13, 2018
    • Discretionary RAUM · $3.0M to $4.0M
      Jan 13, 2017 to Mar 13, 2018
    • HNW RAUM · unset to 2000000.0
      Jan 13, 2017 to Mar 13, 2018
    • Individual RAUM · unset to 2000000.0
      Jan 13, 2017 to Mar 13, 2018
    • RAUM · $3.0M to $4.0M
      Jan 13, 2017 to Mar 13, 2018
    • Accounts · 12 to 15
      Feb 11, 2016 to Jan 13, 2017
    • Discretionary RAUM · $4.0M to $3.0M
      Feb 11, 2016 to Jan 13, 2017
    • RAUM · $4.0M to $3.0M
      Feb 11, 2016 to Jan 13, 2017
    • Accounts · 21 to 12
      Feb 27, 2015 to Feb 11, 2016
    • Accounts · 19 to 21
      Dec 12, 2014 to Feb 27, 2015
    • Discretionary RAUM · $5.0M to $4.0M
      Dec 12, 2014 to Feb 27, 2015
    • RAUM · $5.0M to $4.0M
      Dec 12, 2014 to Feb 27, 2015
    Signals
    1 dated events
    • A••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)
      Dec 2, 2014 · 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