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
W•• A••••••• L••
Latest filing Feb 12, 2024
First filing on the tape Jan 16, 2020 · 6 filings
RAUM
$102M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$102M as of Feb 12, 2024
Jan 26, 2021$93.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 12, 2024
Jan 26, 20211 then
Employees (5.A)1 as of Feb 12, 2024
Jan 26, 20211 then
Private funds: no history
RAUM +24% over the last fiscal year+3.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 12, 2024; every figure names its basis
- RAUM per advisor
- $102MderivedRAUM 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
- $102MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%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
- +24%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, fixed fees, otherreportedItem 5.E
- Advisory activities
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$102M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••••• S•••••• E••••• · Managing Member And Chief Compliance Officercontrolsince 07/2009 · owns 75% or more
- P•••••••• M•••• A•••••••• · Secretarysince 11/2017 · owns less than 5%
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
- Pension plan clients · unset to 1.0Jan 30, 2023 to Feb 12, 2024
- Discretionary RAUM · $82.3M to $102MJan 30, 2023 to Feb 12, 2024
- Pension RAUM · $82.3M to $102MJan 30, 2023 to Feb 12, 2024
- RAUM · $82.3M to $102MJan 30, 2023 to Feb 12, 2024
- Accounts · 25 to 1Jan 18, 2022 to Jan 30, 2023
- Pension plan clients · 1.0 to unsetJan 18, 2022 to Jan 30, 2023
- Discretionary RAUM · $108M to $82.3MJan 18, 2022 to Jan 30, 2023
- Non-discretionary RAUM · $234M to $0Jan 18, 2022 to Jan 30, 2023
- Pension RAUM · $108M to $82.3MJan 18, 2022 to Jan 30, 2023
- RAUM · $342M to $82.3MJan 18, 2022 to Jan 30, 2023
- Accounts · 1 to 25Jan 26, 2021 to Jan 18, 2022
- Pension plan clients · unset to 1.0Jan 26, 2021 to Jan 18, 2022
- Discretionary RAUM · $93.1M to $108MJan 26, 2021 to Jan 18, 2022
- Non-discretionary RAUM · $0 to $234MJan 26, 2021 to Jan 18, 2022
- Pension RAUM · $93.1M to $108MJan 26, 2021 to Jan 18, 2022
- RAUM · $93.1M to $342MJan 26, 2021 to Jan 18, 2022
- Financial planning clients · unset to 0Feb 19, 2020 to Jan 26, 2021
- Discretionary RAUM · $74.7M to $93.1MFeb 19, 2020 to Jan 26, 2021
- Pension RAUM · $74.7M to $93.1MFeb 19, 2020 to Jan 26, 2021
- RAUM · $74.7M to $93.1MFeb 19, 2020 to Jan 26, 2021
Signals
3 dated events
- W•• A••••••• L•• reported RAUM $82.3M, down 76% from $341.9M (2022-01-18 to 2023-01-30)Jan 30, 2023 · RAUM change · derived
- W•• A••••••• L•• reported RAUM $341.9M, up 267% from $93.1M (2021-01-26 to 2022-01-18)Jan 18, 2022 · RAUM change · derived
- W•• A••••••• L•• filed its initial SEC registration (Form ADV)Jan 16, 2020 · 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