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
C•••••••• W••••• M•••••••••
Legal name C•••••••• W••••• M••••••••• I•••••••• S•••••••• I•••
Latest filing Sep 10, 2018
First filing on the tape Dec 9, 2011 · 23 filings
RAUM
$58.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$58.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$59.6M as of Mar 29, 2018
Mar 13, 2012$154M then
HNW client RAUM: $20.4M
State-registered IARs (5.B.3)1 as of Mar 29, 2018
Apr 1, 20132 then
Employees (5.A)2 as of Mar 29, 2018
Apr 1, 20132 then
Private funds: no history
RAUM -69% over the last fiscal year-32% a year over threeIARs 4 to 2
Practice profile
derived from the filing of Sep 10, 2018; every figure names its basis
- RAUM per advisor
- $29.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $729,479derivedHNW RAUM over HNW clients
- Average account
- $545,276derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -69%derivedbetween the last two annual amendments
- Advisor growth, one year
- -75%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- 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
- 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
- Individuals$37.9M65%
- High-net-worth individuals$20.4M35%
- Individual clients
- 15reported
- HNW clients
- 28reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 107reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
- M••• A••••• M•••••••• to M• C•••••• A•••••••Aug 15, 2017 · Other
- S•••••• P••• N•••••••• to B••• R••• M••••••••• L••Jul 6, 2009 · Other
- D••••• D•••• N•••••••• to B••• R••• M••••••••• L••Jul 6, 2009 · Other
Joined, latest
- M••• A••••• M•••••••• from V••••••••• F•••••••• A•••••••• I•••Jan 2, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• R•••••• A•••• · President/Chief Compliance Officercontrolsince 05/2000 · owns 75% or more
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
- State-registered IARs · 1 to 2Sep 7, 2018 to Sep 10, 2018
- Advisory activities · 2 to 1Aug 6, 2018 to Aug 30, 2018
- Employees · 2 to 3Aug 6, 2018 to Aug 30, 2018
- Discretionary RAUM · $59.6M to $58.3MAug 6, 2018 to Aug 30, 2018
- Individual RAUM · $39.1M to $37.9MAug 6, 2018 to Aug 30, 2018
- RAUM · $59.6M to $58.3MAug 6, 2018 to Aug 30, 2018
- Accounts · 301 to 107Mar 31, 2017 to Mar 29, 2018
- Advisory employees · 3 to 2Mar 31, 2017 to Mar 29, 2018
- Advisory activities · 3 to 2Mar 31, 2017 to Mar 29, 2018
- BD registered reps · 2 to 1Mar 31, 2017 to Mar 29, 2018
- HNW clients · unset to 28.0Mar 31, 2017 to Mar 29, 2018
- Individual clients · unset to 15.0Mar 31, 2017 to Mar 29, 2018
- Commission compensation · true to falseMar 31, 2017 to Mar 29, 2018
- Employees · 4 to 2Mar 31, 2017 to Mar 29, 2018
- State-registered IARs · 4 to 1Mar 31, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Mar 31, 2017 to Mar 29, 2018
- Discretionary RAUM · $190M to $59.6MMar 31, 2017 to Mar 29, 2018
- HNW RAUM · unset to 20425409.0Mar 31, 2017 to Mar 29, 2018
- Individual RAUM · unset to 39126707.0Mar 31, 2017 to Mar 29, 2018
- RAUM · $190M to $59.6MMar 31, 2017 to Mar 29, 2018
- Accounts · 232 to 301Aug 15, 2016 to Mar 31, 2017
- Advisory activities · 4 to 3Aug 15, 2016 to Mar 31, 2017
- Financial planning clients · 0 to unsetAug 15, 2016 to Mar 31, 2017
- State-registered IARs · 3 to 4Aug 15, 2016 to Mar 31, 2017
- Discretionary RAUM · $182M to $190MAug 15, 2016 to Mar 31, 2017
- RAUM · $182M to $190MAug 15, 2016 to Mar 31, 2017
- Accounts · 243 to 232Jul 13, 2015 to Mar 30, 2016
- Advisory employees · 2 to 3Jul 13, 2015 to Mar 30, 2016
- Employees · 3 to 4Jul 13, 2015 to Mar 30, 2016
- State-registered IARs · 2 to 3Jul 13, 2015 to Mar 30, 2016
- Discretionary RAUM · $186M to $182MJul 13, 2015 to Mar 30, 2016
- RAUM · $186M to $182MJul 13, 2015 to Mar 30, 2016
- Related broker-dealer · true to falseJul 13, 2015 to Mar 30, 2016
- Accounts · 227 to 243Mar 18, 2014 to Mar 23, 2015
- Insurance-licensed employees · 2 to 0Mar 18, 2014 to Mar 23, 2015
- Discretionary RAUM · $181M to $186MMar 18, 2014 to Mar 23, 2015
- RAUM · $181M to $186MMar 18, 2014 to Mar 23, 2015
- Accounts · 199 to 227Jun 19, 2013 to Mar 18, 2014
- Employees · 2 to 3Jun 19, 2013 to Mar 18, 2014
- Discretionary RAUM · $161M to $181MJun 19, 2013 to Mar 18, 2014
Signals
1 dated events
- C•••••••• W••••• M••••••••• reported RAUM $59.6M, down 69% from $190.5M (2017-03-31 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
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