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
P••••••• W••••• P•••••••
Legal name P••••••• W••••• P•••••••• I•••
Latest filing Dec 15, 2017
First filing on the tape Apr 11, 2012 · 46 filings
RAUM
$524M
reported, Item 5.F
Discretionary
96%
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
28
23 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$524M as of Mar 31, 2017
Apr 11, 2012$140M then
HNW client RAUM: no history
State-registered IARs (5.B.3)24 as of Mar 31, 2017
Apr 11, 20120 then
Employees (5.A)29 as of Mar 31, 2017
Apr 1, 201320 then
Private funds: no history
RAUM +56% over the last fiscal year+36% a year over threeIARs 18 to 24
Practice profile
derived from the filing of Dec 15, 2017; every figure names its basis
- RAUM per advisor
- $21.8MderivedRAUM 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
- $218,208derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 12.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +56%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 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
- 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
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
- 2,400reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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•••••• K• J••••• to H••••• R••••Mar 28, 2018 · Other
- D••• J••••• B•••••••• to H••••• R••••Mar 12, 2018 · Other
- D•••• A• G•••••• to S••••••• W••••• M••••••••• I•••Jan 26, 2018 · Other
- D•••••• M•••••• S•••••• to I••• W••••• M••••••••• L••Jan 11, 2018 · Other
- D•••• R••••• H•••••••• to M••••• A•••••••• L••Jan 11, 2018 · Other
- M••• D•••••• H••••• to M••••• A•••••••• L••Jan 11, 2018 · Other
- R••••• L•••• D•••• to M••••• A•••••••• L••Jan 10, 2018 · Other
- A•••••••• J•••• C•••• to M••••• A•••••••• L••Jan 10, 2018 · Other
- J••••••• G••• M•••••• to V•••• F•••••••• A•••••••• I•••Jan 8, 2018 · Other
- T•••• A•••• Z•••• to W•••••••Dec 31, 2017 · Other
- T••••• F•••••• A••••• to P••••••• P•••••• W•••••• L••Dec 31, 2017 · Other
- J••• M••••• P•••••• to C•••••• W••••• M•••••••••Dec 31, 2017 · Other
- S••••• J••• G••••••• K••••• to W•••••••Dec 31, 2017 · Other
- R••• A•••• F•••••• to C••••••••• F••••••••• L••Dec 12, 2017 · Other
- J•••• C• P••••• to C••••••••• F••••••••• L••Dec 11, 2017 · Other
Joined, latest
- D••• J••••• B•••••••• from M••••• S••••••Oct 6, 2017 · Other
- T•••• A•••• Z•••• from W•••• F•••• A•••••••May 22, 2017 · Other
- S••••• J••• G••••••• K••••• from W•••• F•••• A•••••••May 19, 2017 · Other
- K•••••• K• J••••• from M••••• S••••••Jan 10, 2017 · Other
- D•••• A• G•••••• from M••••• S••••••Dec 16, 2016 · Other
- D•••••• M•••••• S•••••• from C•••••• W••••• M•••••••••Oct 20, 2016 · Other
- R••••• W•••••• F•••••• from C••••••••• I••••••••• L••Sep 23, 2016 · Other
- J••• M•••••• H•••••• from M••••• S••••••Aug 11, 2016 · Other
- W•••••• J••• R••• from T•• C•••••••• G••••• L••Aug 5, 2016 · Other
- R••• A••••• B••••••• from M••••• S••••••Aug 5, 2016 · Other
- N••••••• A•••••• B••••••• from M••••• S••••••Aug 5, 2016 · Other
- A•••••• B••••••• J• from M••••• S••••••Aug 5, 2016 · Other
- J••• J••••• C••••••• from C••••••••• I••••••••• L••Jun 14, 2016 · Other
- C•••••• B•••••• C••••••• from Q••••••••• I••••••••• D•••••••• L••Jun 14, 2016 · Other
- T••• M• M••••••• from C••••••••• F••••••••• L••Jun 10, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for M••••• A•••••••• L••Jan 10, 2018 · Tampa, Fl · Firm absorbed
- 2 left for W•••••••Dec 31, 2017 · Tampa, Fl
- 2 left for C••••••••• F••••••••• L••Dec 11, 2017 · Tampa, Fl
- 3 left for W•••••••Nov 13, 2017 · Tampa, Fl
- 4 left for I•••••• C•••••• A•••••••Jul 31, 2017 · Tampa, Fl
- 2 left for V•••••• W••• C•••••• M•••••••••Apr 1, 2016 · Tampa, Fl
- 2 left for D••••• W••••• A•••••••Nov 19, 2015 · Tampa, Fl
- 2 left for J• W• C••• A•••••••• I•••Feb 13, 2015 · Tampa, Fl
- 2 joined from C••••••••• I••••••••• L••Aug 4, 2017 · Naples, Fl
- 2 joined from W•••• F•••• A•••••••May 23, 2017 · Scranton, Pa
- 3 joined from M••••• S••••••Jun 30, 2016 · B••• Bell, Pa
- 2 joined from Q••••••••• I••••••••• D•••••••• L••Mar 23, 2016 · Naples, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• D••••• L•••••• · Chief Compliance Officer, Chief Executive Officer, Chief Financial Officer, Chief Operations Officer, Chief Legal Officercontrolsince 12/2005 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Miami, FL1 employees
What changed
consecutive filings, newest first
- Other offices · unset to 1.0Sep 29, 2017 to Dec 15, 2017
- Advisory employees · 24 to 23Aug 21, 2017 to Sep 29, 2017
- Employees · 29 to 28Aug 21, 2017 to Sep 29, 2017
- Business name · C•••••• W••••• I••••••••• to P••••••• W••••• P•••••••Jul 26, 2017 to Aug 9, 2017
- Business name · P••••••• W••••• P•••••••• I••• to C•••••• W••••• I•••••••••Jul 24, 2017 to Jul 24, 2017
- Accounts · 2,200 to 2,400Mar 9, 2017 to Mar 31, 2017
- Advisory activities · 1 to 2Mar 9, 2017 to Mar 31, 2017
- Financial planning clients · 0 to 51-100Mar 9, 2017 to Mar 31, 2017
- Discretionary RAUM · $332M to $504MMar 9, 2017 to Mar 31, 2017
- Non-discretionary RAUM · $3.4M to $20.0MMar 9, 2017 to Mar 31, 2017
- RAUM · $335M to $524MMar 9, 2017 to Mar 31, 2017
- Advisory employees · 25 to 24Aug 29, 2016 to Aug 30, 2016
- Employees · 30 to 29Aug 29, 2016 to Aug 30, 2016
- State-registered IARs · 25 to 24Aug 29, 2016 to Aug 30, 2016
- Advisory employees · 20 to 25Aug 15, 2016 to Aug 29, 2016
- State-registered IARs · 20 to 25Aug 15, 2016 to Aug 29, 2016
- Advisory employees · 19 to 20Jun 2, 2016 to Aug 15, 2016
- Employees · 29 to 30Jun 2, 2016 to Aug 15, 2016
- State-registered IARs · 18 to 20Jun 2, 2016 to Aug 15, 2016
- Accounts · 1,946 to 2,200Jan 12, 2016 to Mar 30, 2016
- Discretionary RAUM · $393M to $332MJan 12, 2016 to Mar 30, 2016
- Non-discretionary RAUM · $689,000 to $3.4MJan 12, 2016 to Mar 30, 2016
- RAUM · $394M to $335MJan 12, 2016 to Mar 30, 2016
- Advisory employees · 20 to 19Mar 17, 2015 to Mar 19, 2015
- BD registered reps · 11 to 10Mar 17, 2015 to Mar 19, 2015
- Employees · 30 to 29Mar 17, 2015 to Mar 19, 2015
- State-registered IARs · 19 to 18Mar 17, 2015 to Mar 19, 2015
- Discretionary RAUM · $394M to $393MMar 12, 2015 to Mar 17, 2015
- Non-discretionary RAUM · $0 to $689,000Mar 12, 2015 to Mar 17, 2015
- Accounts · 900 to 1,946Feb 11, 2015 to Mar 11, 2015
- Advisory employees · 16 to 20Feb 11, 2015 to Mar 11, 2015
- BD registered reps · 12 to 11Feb 11, 2015 to Mar 11, 2015
- Employees · 20 to 30Feb 11, 2015 to Mar 11, 2015
- State-registered IARs · 14 to 19Feb 11, 2015 to Mar 11, 2015
- Discretionary RAUM · $208M to $394MFeb 11, 2015 to Mar 11, 2015
- RAUM · $208M to $394MFeb 11, 2015 to Mar 11, 2015
- Accounts · 1,000 to 900Dec 10, 2012 to Apr 1, 2013
- Advisory employees · 14 to 16Dec 10, 2012 to Apr 1, 2013
- Accounts · 800 to 1,000Apr 11, 2012 to Dec 10, 2012
- Advisory employees · unset to 14.0Apr 11, 2012 to Dec 10, 2012
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