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••••••• A•••••••• L••
Latest filing May 24, 2017
First filing on the tape Mar 13, 2012 · 8 filings
RAUM
$226M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
43
24 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$226M as of Mar 30, 2017
Mar 25, 2013$18.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2017
Mar 25, 201317 then
Employees (5.A)43 as of Mar 30, 2017
Mar 25, 201340 then
Private funds: no history
RAUM +363% over the last fiscal year+115% a year over threeIARs 0 to 1
Practice profile
derived from the filing of May 24, 2017; every figure names its basis
- RAUM per advisor
- $226MderivedRAUM 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
- $17.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 43.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +363%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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, pension consulting, selection of other advisers, otherreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
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
- 13reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- K••• G••••• S•••• to W•••• F•••• A•••••••Dec 31, 2017 · Other
- E••• W••••• B••••• to C•••••••Dec 31, 2017 · Other
- H•••• B••••••••• S•••••• to C•••••••Dec 31, 2017 · Other
- M••••• D•••• to C•••••••Dec 31, 2017 · Other
- S•••• W•••••• L••••• to C•••••••Dec 31, 2017 · Other
- J•••• J••••• W••••• to W•••••• J•••• J•Dec 31, 2017 · Other
- S••••• L•••• P•••• to C•••••••Dec 31, 2017 · Other
- B•••• J••• F•••• to C•••••••Dec 31, 2017 · Other
- R••••• C•••• B••••••• to C•••••••Dec 31, 2017 · Other
- M•••••• A•••••• V••••• to C•••••••Dec 31, 2017 · Other
- R••••• F•••• P••••••••• to C•••••••Dec 31, 2017 · Other
- R••••• S•••• L•••• to C•••••••Dec 31, 2017 · Other
- S•••••• H••••• S••••• to C•••••••Dec 31, 2017 · Other
- J•••• E••••• G••••• to C•••••••Dec 31, 2017 · Other
- P•••• J••••• G•••••• to A•• C•••••• A•••••••Apr 6, 2009 · Other
Joined, latest
- K••• G••••• S•••• from M•• S••••••••• L••Jul 7, 2016 · Other
- R••••• C•••• B••••••• from W•••• F•••• A•••••••Aug 11, 2014 · Other
- B•••• J••• F•••• from W•••• F•••• A•••••••Jun 3, 2013 · Other
- S•••• W•••••• L••••• from W•••• F•••• A•••••••Sep 18, 2012 · Other
- S•••••• H••••• S••••• from W•••• F•••• A•••••••Apr 30, 2008 · Other
- R••••• F•••• P••••••••• from W•••• F•••• A•••••••Sep 5, 2007 · Other
- M••••• D•••• from W•••• F•••• A•••••••Apr 13, 2007 · Other
- J•••• J••••• W••••• from W•••• F•••• A•••••••Apr 13, 2007 · Other
- P•••• J••••• G•••••• from W•••• F•••• A•••••••Apr 13, 2007 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J•••••• S••••• A•••• from W•••• F•••• A•••••••Apr 13, 2007 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- R••••• S•••• L•••• from W•••• F•••• A•••••••Apr 13, 2007 · Other
- J•••• E••••• G••••• from W•••• F•••• A•••••••Apr 13, 2007 · Other
- E••• W••••• B••••• from W•••• F•••• A•••••••Apr 12, 2007 · Other
- S••••• L•••• P•••• from W•••• F•••• A•••••••Apr 12, 2007 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••• F•••• A•••••••Aug 7, 2017 · Tampa, Fl
- 9 joined from W•••• F•••• A•••••••Jun 12, 2017 · Tampa, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• E•••• W••••• · Managing Membercontrolsince 08/1998 · owns 10% to 25%
- B••••• C••••••• S•••• · Executive Managing Partnercontrolsince 03/2012 · owns less than 5%
- G•••••• B••••• · Chief Compliance Officercontrolsince 04/2012 · owns less than 5%
- R•••••• R••••• E••••• · Managing Membercontrolsince 08/1998 · owns 50% to 75%
- S•••••• S••••••• H••••• · Managing Membercontrolsince 11/2007 · owns 10% to 25%
Related persons
Schedule D 7.A
- C•••••••investment advisernRAUM $1237B
- C••••••• Financial Advisorsbroker-dealernRAUM $116B
- World Investment Advisors, LLCinvestment advisernRAUM $72B
Offices
Schedule D 1.F, the 25 largest
- Hollywood, FL
What changed
consecutive filings, newest first
- Related adviser · false to trueMar 30, 2017 to May 24, 2017
- Related broker-dealer · false to trueMar 30, 2017 to May 24, 2017
- Accounts · 4 to 13Mar 30, 2016 to Mar 30, 2017
- BD registered reps · 29 to 30Mar 30, 2016 to Mar 30, 2017
- Employees · 45 to 43Mar 30, 2016 to Mar 30, 2017
- State-registered IARs · 0 to 1Mar 30, 2016 to Mar 30, 2017
- Discretionary RAUM · $48.8M to $226MMar 30, 2016 to Mar 30, 2017
- RAUM · $48.8M to $226MMar 30, 2016 to Mar 30, 2017
- Accounts · 2 to 4Mar 30, 2015 to Mar 30, 2016
- BD registered reps · 27 to 29Mar 30, 2015 to Mar 30, 2016
- Employees · 47 to 45Mar 30, 2015 to Mar 30, 2016
- State-registered IARs · 21 to 0Mar 30, 2015 to Mar 30, 2016
- Discretionary RAUM · $23.6M to $48.8MMar 30, 2015 to Mar 30, 2016
- RAUM · $23.6M to $48.8MMar 30, 2015 to Mar 30, 2016
- Advisory employees · 23 to 24Mar 31, 2014 to Mar 30, 2015
- Employees · 42 to 47Mar 31, 2014 to Mar 30, 2015
- Discretionary RAUM · $22.7M to $23.6MMar 31, 2014 to Mar 30, 2015
- RAUM · $22.7M to $23.6MMar 31, 2014 to Mar 30, 2015
- Advisory employees · 22 to 23Mar 25, 2013 to Mar 31, 2014
- BD registered reps · 25 to 27Mar 25, 2013 to Mar 31, 2014
- Employees · 40 to 42Mar 25, 2013 to Mar 31, 2014
- Insurance-licensed employees · 21 to 0Mar 25, 2013 to Mar 31, 2014
- State-registered IARs · 17 to 21Mar 25, 2013 to Mar 31, 2014
- Discretionary RAUM · $18.2M to $22.7MMar 25, 2013 to Mar 31, 2014
- RAUM · $18.2M to $22.7MMar 25, 2013 to Mar 31, 2014
- Accounts · unset to 2.0Apr 30, 2012 to Mar 25, 2013
- Advisory employees · unset to 22.0Apr 30, 2012 to Mar 25, 2013
- BD registered reps · unset to 25.0Apr 30, 2012 to Mar 25, 2013
- Employees · unset to 40.0Apr 30, 2012 to Mar 25, 2013
- Insurance-licensed employees · 15 to 21Apr 30, 2012 to Mar 25, 2013
- State-registered IARs · unset to 17.0Apr 30, 2012 to Mar 25, 2013
- Discretionary RAUM · unset to 18242159.0Apr 30, 2012 to Mar 25, 2013
- Non-discretionary RAUM · unset to 0.0Apr 30, 2012 to Mar 25, 2013
- RAUM · unset to 18242159.0Apr 30, 2012 to Mar 25, 2013
Signals
No event on the tape.
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