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 adviserBonita Springs, FloridaCRD 145098SEC 801-68341IAPD
Legal name A•••••••• W••••• M••••••••• L••
Latest filing Feb 19, 2020
First filing on the tape Mar 26, 2012 · 13 filings
RAUM
$132M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$132M 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
13 filings and snapshots on the tape
RAUM$132M as of Feb 19, 2020
Mar 26, 2012$93.9M then
HNW client RAUM$117M as of Feb 19, 2020
Mar 24, 2018$94.3M then
State-registered IARs (5.B.3)0 as of Feb 19, 2020
Mar 26, 20120 then
Employees (5.A)3 as of Feb 19, 2020
Mar 18, 20134 then
Private funds: no history
RAUM +11% over the last fiscal year+6.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 19, 2020; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.3MderivedHNW RAUM over HNW clients
Average account
$2.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+1.5%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
$72.7M, 62 clientsreportedItem 9.A
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$117M89%
  • Individuals$14.5M11%
Individual clients
44reported
HNW clients
22reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
66reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$72.7M for 62 clientsreported
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
    • C•••••••• D••••• P• · Senior Vice Presidentcontrol
      since 10/2007 · owns less than 5%
    • M•••••• D••••• A••••• · Managing Member, Chief Compliance Officercontrol
      since 07/2007 · owns 5% to 10%
    • S•••••••• F•••••••• · Membercontrol
      since 07/2007 · 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
    • Accounts · 166 to 66
      Nov 15, 2019 to Feb 19, 2020
    • Individual clients · 43 to 44
      Nov 15, 2019 to Feb 19, 2020
    • Assets in custody · $68.3M to $72.7M
      Nov 15, 2019 to Feb 19, 2020
    • Discretionary RAUM · $118M to $132M
      Nov 15, 2019 to Feb 19, 2020
    • HNW RAUM · $105M to $117M
      Nov 15, 2019 to Feb 19, 2020
    • Individual RAUM · $13.0M to $14.5M
      Nov 15, 2019 to Feb 19, 2020
    • RAUM · $118M to $132M
      Nov 15, 2019 to Feb 19, 2020
    • Assets in custody · $0 to $68.3M
      Mar 26, 2019 to Nov 15, 2019
    • Custody of client assets · false to true
      Mar 26, 2019 to Nov 15, 2019
    • Accounts · 154 to 166
      May 14, 2018 to Mar 26, 2019
    • Assets in custody · $76.5M to $0
      May 14, 2018 to Mar 26, 2019
    • Custody of client assets · true to false
      May 14, 2018 to Mar 26, 2019
    • Employees · 4 to 3
      May 14, 2018 to Mar 26, 2019
    • Financial planning clients · 0 to unset
      May 14, 2018 to Mar 26, 2019
    • State-registered IARs · 2 to 0
      May 14, 2018 to Mar 26, 2019
    • Discretionary RAUM · $110M to $118M
      May 14, 2018 to Mar 26, 2019
    • HNW RAUM · $94.3M to $105M
      May 14, 2018 to Mar 26, 2019
    • Individual RAUM · $15.9M to $13.0M
      May 14, 2018 to Mar 26, 2019
    • RAUM · $110M to $118M
      May 14, 2018 to Mar 26, 2019
    • Assets in custody · unset to 76465209.0
      Mar 24, 2018 to May 14, 2018
    • Custody of client assets · false to true
      Mar 24, 2018 to May 14, 2018
    • HNW clients · unset to 22.0
      Jan 12, 2018 to Mar 24, 2018
    • Individual clients · unset to 43.0
      Jan 12, 2018 to Mar 24, 2018
    • Discretionary RAUM · $111M to $110M
      Jan 12, 2018 to Mar 24, 2018
    • HNW RAUM · unset to 94258427.0
      Jan 12, 2018 to Mar 24, 2018
    • Individual RAUM · unset to 15860073.0
      Jan 12, 2018 to Mar 24, 2018
    • RAUM · $111M to $110M
      Jan 12, 2018 to Mar 24, 2018
    • Other offices · unset to 0.0
      Mar 14, 2017 to Jan 12, 2018
    • Accounts · 153 to 154
      Mar 16, 2016 to Mar 14, 2017
    • Advisory activities · 2 to 1
      Mar 16, 2016 to Mar 14, 2017
    • Financial planning clients · unset to 0
      Mar 16, 2016 to Mar 14, 2017
    • Discretionary RAUM · $97.7M to $111M
      Mar 16, 2016 to Mar 14, 2017
    • RAUM · $97.7M to $111M
      Mar 16, 2016 to Mar 14, 2017
    • Accounts · 144 to 153
      Feb 18, 2015 to Mar 16, 2016
    • Advisory activities · 3 to 2
      Feb 18, 2015 to Mar 16, 2016
    • Discretionary RAUM · $96.1M to $97.7M
      Feb 18, 2015 to Mar 16, 2016
    • RAUM · $96.1M to $97.7M
      Feb 18, 2015 to Mar 16, 2016
    • Accounts · 145 to 144
      Mar 6, 2014 to Feb 18, 2015
    • Discretionary RAUM · $91.4M to $96.1M
      Mar 6, 2014 to Feb 18, 2015
    • RAUM · $91.4M to $96.1M
      Mar 6, 2014 to Feb 18, 2015
    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