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•••••••
Legal name C•••••• A•••••••• L••
Latest filing Dec 26, 2019
First filing on the tape Feb 17, 2012 · 22 filings
RAUM
$4.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$4.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$4.0M as of Mar 27, 2018
Feb 21, 2012$18.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 27, 2018
Mar 27, 20130 then
Employees (5.A)1 as of Mar 27, 2018
Mar 27, 20130 then
Private funds: no history
RAUM +0.0% over the last fiscal year-16% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Dec 26, 2019; every figure names its basis
- RAUM per advisor
- $4.0MderivedRAUM 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
- $32,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- 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
- Individuals$4.0M100%
- Individual clients
- 125reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 125reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- 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
- D••• W•••••• G•••• to M••••••••• P••••••• G••••• L••Jun 15, 2020 · RIA to a state-registered adviser
- M••• R•••••• C••••••••• to F•••••••• A••••••• G•••• L•••••Jul 27, 2009 · Other
Joined, latest
- D••• W•••••• G•••• from N••••••••• S••••••••• L••May 18, 2010 · Other
- M••• R•••••• C••••••••• from B••••••••• C•••••• M••••••••• L••Sep 25, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• D•••• W•••••• · Managing Member & Chief Compliance Officercontrolsince 06/2009 · 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 · 157 to 125Mar 31, 2017 to Mar 27, 2018
- Individual clients · unset to 125.0Mar 31, 2017 to Mar 27, 2018
- HQ city · unset to CARYMar 31, 2017 to Mar 27, 2018
- HQ state · unset to NCMar 31, 2017 to Mar 27, 2018
- Other offices · unset to 0.0Mar 31, 2017 to Mar 27, 2018
- Individual RAUM · unset to 4000000.0Mar 31, 2017 to Mar 27, 2018
- Wrap assets (manager) · unset to 0.0Mar 31, 2017 to Mar 27, 2018
- Wrap assets (sponsor) · unset to 0.0Mar 31, 2017 to Mar 27, 2018
- Accounts · 168 to 157Jan 5, 2017 to Mar 31, 2017
- Discretionary RAUM · $5.2M to $4.0MJan 5, 2017 to Mar 31, 2017
- RAUM · $5.2M to $4.0MJan 5, 2017 to Mar 31, 2017
- Accounts · 190 to 168Apr 23, 2015 to Mar 28, 2016
- Discretionary RAUM · $6.7M to $5.2MApr 23, 2015 to Mar 28, 2016
- RAUM · $6.7M to $5.2MApr 23, 2015 to Mar 28, 2016
- Accounts · 350 to 190Dec 1, 2014 to Mar 17, 2015
- Discretionary RAUM · $9.5M to $6.7MDec 1, 2014 to Mar 17, 2015
- RAUM · $9.5M to $6.7MDec 1, 2014 to Mar 17, 2015
- Financial planning clients · 0 to 1-10Jun 12, 2014 to Aug 27, 2014
- Accounts · 450 to 350Feb 19, 2014 to Mar 3, 2014
- Discretionary RAUM · $13.7M to $9.5MFeb 19, 2014 to Mar 3, 2014
- RAUM · $13.7M to $9.5MFeb 19, 2014 to Mar 3, 2014
- Advisory employees · 0 to 1Mar 27, 2013 to Sep 13, 2013
- Employees · 0 to 1Mar 27, 2013 to Sep 13, 2013
- State-registered IARs · 0 to 1Mar 27, 2013 to Sep 13, 2013
- Accounts · 398 to 450Sep 28, 2012 to Mar 27, 2013
- Advisory employees · unset to 0.0Sep 28, 2012 to Mar 27, 2013
- Employees · unset to 0.0Sep 28, 2012 to Mar 27, 2013
- Financial planning clients · 251-500 to 0Sep 28, 2012 to Mar 27, 2013
- State-registered IARs · unset to 0.0Sep 28, 2012 to Mar 27, 2013
- Discretionary RAUM · $16.6M to $13.7MSep 28, 2012 to Mar 27, 2013
- RAUM · $16.6M to $13.7MSep 28, 2012 to Mar 27, 2013
- Accounts · 502 to 398Feb 21, 2012 to Sep 28, 2012
- Discretionary RAUM · $18.6M to $16.6MFeb 21, 2012 to Sep 28, 2012
- RAUM · $18.6M to $16.6MFeb 21, 2012 to Sep 28, 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