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

D•• F•••••••• C••••••••• L••

Former SEC-registered adviserCRD 149395SEC 801-69893IAPD
Latest filing Mar 12, 2012
First filing on the tape Nov 30, 2011 · 9 filings
RAUM
$22.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$22.7M
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$22.7M as of Mar 12, 2012
Nov 30, 2011$24.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 12, 2012
Nov 30, 20110 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 12, 2012; every figure names its basis
RAUM per advisor
$22.7MderivedRAUM 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
$210,131derivedRAUM 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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$26.4M, 144 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)
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
108reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$26.4M for 144 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
B••••••• Y••• W••••Ocean View, DeJun 19, 201341 y2
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • W••••• B•••••••• Y••• · Sole Member/Chief Compliance Officer/Presidentcontrol
      since 01/2009 · 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 · 100 to 144
      Jan 31, 2012 to Feb 7, 2012
    • Assets in custody · $27.0M to $26.4M
      Jan 31, 2012 to Feb 7, 2012
    • Discretionary RAUM · $24.0M to $22.7M
      Jan 31, 2012 to Feb 7, 2012
    • Non-discretionary RAUM · $0 to $3.7M
      Jan 31, 2012 to Feb 7, 2012
    • RAUM · $24.0M to $26.4M
      Jan 31, 2012 to Feb 7, 2012
    • Accounts · 144 to 108
      Feb 7, 2012 to Feb 7, 2012
    • Non-discretionary RAUM · $3.7M to $0
      Feb 7, 2012 to Feb 7, 2012
    • RAUM · $26.4M to $22.7M
      Feb 7, 2012 to Feb 7, 2012
    • Assets in custody · unset to 27000000.0
      Nov 30, 2011 to Jan 31, 2012
    • Custody of client assets · false to true
      Nov 30, 2011 to Jan 31, 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.
    How to reach
    public business contact points only, each with its source
    Website
    DWFINANCIALC•••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
    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
    $22.7Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026