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
F••••• W••••• A•••••••
Legal name F••••• W••••• M••••••••• L••
Latest filing Jul 23, 2025
First filing on the tape Dec 4, 2024 · 5 filings
SEC status approved since Jan 6, 2025
RAUM
$120M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$120M 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
5 filings and snapshots on the tape
RAUM$120M as of Jul 23, 2025
May 1, 2025$120M then
HNW client RAUM$108M as of Jul 23, 2025
May 1, 2025$108M then
State-registered IARs (5.B.3)2 as of Jul 23, 2025
May 1, 20251 then
Employees (5.A)3 as of Jul 23, 2025
May 1, 20253 then
Private funds: no history
Practice profile
derived from the filing of Jul 23, 2025; every figure names its basis
- RAUM per advisor
- $59.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM 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
- 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 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$108M91%
- Individuals$11.2M9.4%
- Individual clients
- 24reported
- HNW clients
- 48reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 72reported
- Financial planning clients
- 51-100reported
- 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
- C••• D••••• L••••••••• to S•• A••••••• N••••••• L••Jan 30, 2015 · Other
Joined, latest
- C••• D••••• L••••••••• from A••••• W••••• M•••••••••Feb 5, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• D••••••• W•••••• · Presidentcontrolsince 02/2006 · owns 75% or more
- H•••••• J••••• · Chief Compliance Officersince 11/2024 · owns less than 5%
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
- Financial planning clients · 51-100 to 51-100Jun 6, 2025 to Jul 23, 2025
- State-registered IARs · 1 to 2Jun 6, 2025 to Jul 23, 2025
- Accounts · 75 to 72Dec 4, 2024 to May 1, 2025
- Advisory employees · 3 to 2Dec 4, 2024 to May 1, 2025
- HNW clients · 44 to 48Dec 4, 2024 to May 1, 2025
- Individual clients · 30 to 24Dec 4, 2024 to May 1, 2025
- Employees · 4 to 3Dec 4, 2024 to May 1, 2025
- State-registered IARs · 3 to 1Dec 4, 2024 to May 1, 2025
- Discretionary RAUM · $115M to $120MDec 4, 2024 to May 1, 2025
- HNW RAUM · $102M to $108MDec 4, 2024 to May 1, 2025
- Individual RAUM · $12.5M to $11.2MDec 4, 2024 to May 1, 2025
- RAUM · $115M to $120MDec 4, 2024 to May 1, 2025
Signals
2 dated events
- F••••• W••••• A••••••• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $119.5M)Apr 1, 2026 · Left the SEC roster · derived
- F••••• W••••• A••••••• filed its initial SEC registration (Form ADV)Dec 4, 2024 · 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