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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
C••••••••• W••••• M•••••••••
Latest filing Mar 15, 2012
First filing on the tape Dec 12, 2011 · 3 filings
RAUM
$17.7M
reported, Item 5.F
Discretionary
100%
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$17.7M as of Mar 15, 2012
Dec 12, 2011$17.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
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 15, 2012; 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $91,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 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, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- 195reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
- J••••••• S•••• Q•••• to C••••• I••••••••• A••••••• L••Oct 31, 2018 · Other
- M•••• P•••• L•• to C••••••••• W•••••• L••Oct 31, 2018 · Other
- T••• W• T••••• to C••••••••• W•••••• L••Oct 31, 2018 · Other
- S•••• J•••••• C••••••• to C••••••• C•••••• M••••••••• L••Jan 12, 2018 · Other
- S•••• E•••••••• T••••• to W•••• F•••• A•••••••Dec 27, 2016 · Other
- M•••••• R••••• H•••••• to B•••••••• A•••• M••••••••• L••May 9, 2016 · Other
- P•••••• R••••• C••••••• to C••••••• A••••••• G••••Jul 28, 2011 · Other
Joined, latest
- M•••• P•••• L•• from C•••••••• F•••••••• G•••• A•••••••May 23, 2018 · Other
- T••• W• T••••• from C•••••••• F•••••••• G•••• A•••••••Aug 22, 2017 · Other
- J••••••• S•••• Q•••• from C•••••••• F•••••••• G•••• A•••••••Apr 1, 2015 · Other
- S•••• E•••••••• T••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 24, 2014 · Other
- M•••••• R••••• H•••••• from C••• B•••••••• S•••••••• I•••May 14, 2014 · Other
- P•••••• R••••• C••••••• from C••••••• A••••••• G••••Jul 17, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C••••••••• W•••••• L••Oct 31, 2018 · Birmingham, Al
- 2 joined from C•••••••• F•••••••• G•••• A•••••••May 4, 2023 · Birmingham, Al
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••••• J••• P•••• · President, Chief Compliance Officer, Managing Membercontrolsince 07/2011 · 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 · 167 to 195Dec 12, 2011 to Feb 2, 2012
- Insurance-licensed employees · unset to 0.0Dec 12, 2011 to Feb 2, 2012
- Discretionary RAUM · $17.3M to $17.7MDec 12, 2011 to Feb 2, 2012
- RAUM · $17.3M to $17.7MDec 12, 2011 to Feb 2, 2012
Signals
1 dated events
- 2 advisors left C•••••••• F•••••••• G•••• A••••••• (Birmingham, AL) for C••••••••• W••••• M••••••••• within 11 daysMay 4, 2023 · Team lift-out · derived
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