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••••• S••••••••• L•••
Latest filing Dec 7, 2023
First filing on the tape Feb 7, 2012 · 36 filings
RAUM
$456M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$456M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$456M as of Mar 22, 2023
Mar 30, 2012$79.2M then
HNW client RAUM$319M as of Mar 22, 2023
Feb 19, 2018$166M then
State-registered IARs (5.B.3)9 as of Mar 22, 2023
Mar 30, 20120 then
Employees (5.A)10 as of Mar 22, 2023
Feb 26, 20156 then
Private funds: no history
RAUM -14% over the last fiscal year+12% a year over threeIARs 8 to 9offices 0 to 1
Practice profile
derived from the filing of Dec 7, 2023; every figure names its basis
- RAUM per advisor
- $50.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $303,996derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $200M, 148 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$319M70%
- Individuals$137M30%
- Corporations and businesses$466,6240.1%
- Individual clients
- 282reported
- HNW clients
- 146reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,501reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $200M for 148 clientsreported
- 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
- M••••••• L•••• A•• to M••••• G••••• A••••••• I•••Mar 19, 2024 · RIA to RIA
- E••• R••• S••••••• J•••• to M••••• G••••• A••••••• I•••Mar 19, 2024 · RIA to RIA
- S•••• W••••• S••••• to M••••• G••••• A••••••• I•••Mar 6, 2024 · RIA to RIA
- I•• M••••••• A•••••• to M••••• G••••• A••••••• I•••Feb 23, 2024 · RIA to RIA
- J••••••• G•••••• K••• to M••••• G••••• A••••••• I•••Feb 6, 2024 · RIA to RIA
- M•••••• M• M•••••• to M••••• G••••• A••••••• I•••Feb 6, 2024 · RIA to RIA
- D••••• N••• B•••••••• to S•••••••• W••••• O••••• L••Feb 12, 2020 · RIA to a state-registered adviser
- E••••• J•••• A•••• to E•••• • Y•••• I••••••••• A••••••• L••Apr 18, 2018 · Other
- M•••••• W•••••• C••••••• to A•••••• P••••••• P•••••••• I•••Apr 1, 2013 · Other
- J••• L•••• K••••••• to W••••••••• F••••••••Oct 1, 2010 · Other
Joined, latest
- I•• M••••••• A•••••• from M••••• M•••• M••••••••• L••Oct 16, 2020 · Other
- S•••• W••••• S••••• from M••••• M•••• M••••••••• L••Oct 16, 2020 · Other
- D••••• N••• B•••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••May 2, 2019 · Affiliated broker-dealer or bank to independent RIA
- J••••••• G•••••• K••• from B••• S••••••••• L••Mar 21, 2018 · Other
- M•••••• W•••••• C••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 7, 2008 · Other
- M••••••• L•••• A•• from H••••••••• G••••• E••••• • R••••••••• S•••••••••Jul 1, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for M••••• G••••• A••••••• I•••Feb 23, 2024 · Jacksonville, Fl · Firm absorbed
- 2 left for M••••• G••••• A••••••• I•••Feb 6, 2024 · Jacksonville, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••• M•••••••• L•••• · Chief Compliance Officer/Managing Partner/Chief Operating Officercontrolsince 03/2008 · owns less than 5%
- C•••••• J•••••••• N••• · Managing Partner/Chief Investment Officercontrolsince 03/2008 · owns less than 5%
- A••••••• I••• M••••••• · Partnersince 03/2021 · owns less than 5%
- R••••••••• K••••• L••• · Vp Client Relationssince 04/2014 · owns less than 5%
- S•••••• S••••• W••••• · Partnersince 03/2021 · owns less than 5%
Entity owners
- M••••• G••••• A••••••• I••• · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Jacksonville, Fl · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,450 to 1,501Jan 11, 2023 to Mar 22, 2023
- Advisory employees · 7 to 8Jan 11, 2023 to Mar 22, 2023
- HNW clients · 167 to 146Jan 11, 2023 to Mar 22, 2023
- Individual clients · 232 to 282Jan 11, 2023 to Mar 22, 2023
- Assets in custody · $132M to $200MJan 11, 2023 to Mar 22, 2023
- State-registered IARs · 8 to 9Jan 11, 2023 to Mar 22, 2023
- Discretionary RAUM · $521M to $446MJan 11, 2023 to Mar 22, 2023
- HNW RAUM · $411M to $319MJan 11, 2023 to Mar 22, 2023
- Individual RAUM · $117M to $137MJan 11, 2023 to Mar 22, 2023
- Non-discretionary RAUM · $8.9M to $10.3MJan 11, 2023 to Mar 22, 2023
- RAUM · $530M to $456MJan 11, 2023 to Mar 22, 2023
- Other offices · 0 to 1Apr 1, 2022 to Jun 22, 2022
- Accounts · 1,264 to 1,450Jul 8, 2021 to Mar 29, 2022
- HNW clients · 169 to 167Jul 8, 2021 to Mar 29, 2022
- Individual clients · 192 to 232Jul 8, 2021 to Mar 29, 2022
- Assets in custody · $252M to $132MJul 8, 2021 to Mar 29, 2022
- Discretionary RAUM · $450M to $521MJul 8, 2021 to Mar 29, 2022
- HNW RAUM · $381M to $411MJul 8, 2021 to Mar 29, 2022
- Individual RAUM · $84.9M to $117MJul 8, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $17.6M to $8.9MJul 8, 2021 to Mar 29, 2022
- RAUM · $468M to $530MJul 8, 2021 to Mar 29, 2022
- Accounts · 1,025 to 1,264Jan 5, 2021 to Mar 16, 2021
- HNW clients · 128 to 169Jan 5, 2021 to Mar 16, 2021
- Individual clients · 151 to 192Jan 5, 2021 to Mar 16, 2021
- Assets in custody · $284M to $252MJan 5, 2021 to Mar 16, 2021
- Insurance-licensed employees · 2 to 0Jan 5, 2021 to Mar 16, 2021
- Financial planning clients · 101-250 to 251-500Jan 5, 2021 to Mar 16, 2021
- Discretionary RAUM · $309M to $450MJan 5, 2021 to Mar 16, 2021
- HNW RAUM · $244M to $381MJan 5, 2021 to Mar 16, 2021
- Individual RAUM · $75.5M to $84.9MJan 5, 2021 to Mar 16, 2021
- Non-discretionary RAUM · $11.9M to $17.6MJan 5, 2021 to Mar 16, 2021
- RAUM · $321M to $468MJan 5, 2021 to Mar 16, 2021
- Related adviser · true to falseJan 5, 2021 to Mar 16, 2021
- Advisory employees · 5 to 7May 23, 2020 to Nov 5, 2020
- Employees · 8 to 10May 23, 2020 to Nov 5, 2020
- Insurance-licensed employees · 0 to 2May 23, 2020 to Nov 5, 2020
- State-registered IARs · 6 to 8May 23, 2020 to Nov 5, 2020
- Related adviser · false to trueMay 23, 2020 to Nov 5, 2020
- Accounts · 296 to 1,025Jul 3, 2019 to Mar 25, 2020
- Advisory activities · 2 to 3Jul 3, 2019 to Mar 25, 2020
Signals
10 dated events
- M••••••• L•••• A•• left P•••••• W••••• S••••••••• L••• for M••••• G••••• A••••••• I••• (registered 2023-12-06)Mar 19, 2024 · Advisor changed firm · fact
- E••• R••• S••••••• J•••• left P•••••• W••••• S••••••••• L••• for M••••• G••••• A••••••• I••• (registered 2023-12-06)Mar 19, 2024 · Advisor changed firm · fact
- S•••• W••••• S••••• left P•••••• W••••• S••••••••• L••• for M••••• G••••• A••••••• I••• (registered 2023-12-06)Mar 6, 2024 · Advisor changed firm · fact
- P•••••• W••••• S••••••••• L•••'s advisors moved to M••••• G••••• A••••••• I••• (Jacksonville, FL): 4 of 4 registered, within 25 daysFeb 23, 2024 · Firm absorbed (people side) · derived
- I•• M••••••• A•••••• left P•••••• W••••• S••••••••• L••• for M••••• G••••• A••••••• I••• (registered 2023-12-06)Feb 23, 2024 · Advisor changed firm · fact
- M•••••• M• M•••••• left P•••••• W••••• S••••••••• L••• for M••••• G••••• A••••••• I••• (registered 2023-12-06)Feb 6, 2024 · Advisor changed firm · fact
- 2 advisors left P•••••• W••••• S••••••••• L••• (Jacksonville, FL) for M••••• G••••• A••••••• I••• on the same dayFeb 6, 2024 · Team lift-out · derived
- J••••••• G•••••• K••• left P•••••• W••••• S••••••••• L••• for M••••• G••••• A••••••• I••• (registered 2023-12-06)Feb 6, 2024 · Advisor changed firm · fact
- P•••••• W••••• S••••••••• L••• reported RAUM $467.7M, up 46% from $320.8M (2021-01-05 to 2021-03-16)Mar 16, 2021 · RAUM change · derived
- P•••••• W••••• S••••••••• L••• filed its initial SEC registration (Form ADV)Apr 15, 2014 · 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