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
D••• W••••• A•••••••
Legal name D••••••••• L••
Latest filing Oct 29, 2025
First filing on the tape Jan 11, 2012 · 35 filings
SEC status approved since Nov 18, 2009
RAUM
$338M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$321M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$338M as of Oct 29, 2025
Jan 11, 2012$147M then
HNW client RAUM$296M as of Oct 29, 2025
Jan 8, 2018$164M then
State-registered IARs (5.B.3)3 as of Oct 29, 2025
Jan 11, 20120 then
Employees (5.A)5 as of Oct 29, 2025
Jan 9, 20134 then
Private funds: no history
RAUM +23% over the last fiscal year-1.8% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Oct 29, 2025; every figure names its basis
- RAUM per advisor
- $113MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $667,448derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publications, educational seminarsreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$296M87%
- Individuals$25.1M7.4%
- Charitable organizations$13.2M3.9%
- Corporations and businesses$3.1M0.9%
- Pension and profit-sharing plans$960,7160.3%
- Individual clients
- 68reported
- HNW clients
- 84reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 507reported
- Financial planning clients
- 101-250reported
- 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
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 days6 left over 36 months
Left, latest
- F••• C••••••• D••• to W••••• E••••••••• A••••••• S•••••••• L••Jan 5, 2026 · RIA to affiliated broker-dealer or bank
- L••••• P••• J••• W•••••• to W••••• E••••••••• A••••••• S•••••••• L••Jan 5, 2026 · RIA to affiliated broker-dealer or bank
- A•••• S•••••• to W••••• E••••••••• A••••••• S•••••••• L••Jan 5, 2026 · RIA to affiliated broker-dealer or bank
- D•••• T••••• S•••••• to E•••• S••••••••• L••Apr 9, 2025 · RIA to affiliated broker-dealer or bank
- Z••••• P•••••• to A••••• W••••• A•••••••Oct 10, 2023 · RIA to a newly registered adviser
- M•••••• K•••• T•••• to A••••• W••••• A•••••••Oct 10, 2023 · RIA to a newly registered adviser
Joined, latest
- D•••• T••••• S•••••• from E•••• S••••••••• L••Oct 16, 2023 · Affiliated broker-dealer or bank to independent RIA
- Z••••• P•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Nov 19, 2009 · Other
- F••• C••••••• D••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Nov 18, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for W••••• E••••••••• A••••••• S•••••••• L••Jan 5, 2026 · Baton Rouge, La · Firm absorbed
- 2 left for A••••• W••••• A•••••••Oct 10, 2023 · Great Falls, Va
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• F•••• C••••••• · Managing Membercontrolsince 07/1997 · owns 75% or more
- F••• A••••••••• R••• · Chief Compliance Officersince 10/2023 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Baton Rouge, La · principal | 0 | 0 | 3 | ||
| Great Falls, Va | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 490 to 507Jan 8, 2025 to Oct 29, 2025
- Advisory employees · 4 to 3Jan 8, 2025 to Oct 29, 2025
- HNW clients · 81 to 84Jan 8, 2025 to Oct 29, 2025
- Individual clients · 63 to 68Jan 8, 2025 to Oct 29, 2025
- State-registered IARs · 4 to 3Jan 8, 2025 to Oct 29, 2025
- Discretionary RAUM · $299M to $338MJan 8, 2025 to Oct 29, 2025
- HNW RAUM · $263M to $296MJan 8, 2025 to Oct 29, 2025
- Individual RAUM · $20.4M to $25.1MJan 8, 2025 to Oct 29, 2025
- Pension RAUM · $856,206 to $960,716Jan 8, 2025 to Oct 29, 2025
- RAUM · $299M to $338MJan 8, 2025 to Oct 29, 2025
- Accounts · 541 to 490Jul 17, 2024 to Jan 8, 2025
- HNW clients · 96 to 81Jul 17, 2024 to Jan 8, 2025
- Financial planning clients · 101-250 to 101-250Jul 17, 2024 to Jan 8, 2025
- Discretionary RAUM · $276M to $299MJul 17, 2024 to Jan 8, 2025
- HNW RAUM · $244M to $263MJul 17, 2024 to Jan 8, 2025
- Individual RAUM · $20.4M to $20.4MJul 17, 2024 to Jan 8, 2025
- Pension RAUM · $767,927 to $856,206Jul 17, 2024 to Jan 8, 2025
- RAUM · $276M to $299MJul 17, 2024 to Jan 8, 2025
- Advisory employees · 2 to 4Feb 27, 2024 to Jul 17, 2024
- State-registered IARs · 2 to 4Feb 27, 2024 to Jul 17, 2024
- Accounts · 759 to 541Nov 6, 2023 to Jan 18, 2024
- Advisory employees · 1 to 2Nov 6, 2023 to Jan 18, 2024
- HNW clients · 114 to 96Nov 6, 2023 to Jan 18, 2024
- Individual clients · 80 to 63Nov 6, 2023 to Jan 18, 2024
- Employees · 4 to 5Nov 6, 2023 to Jan 18, 2024
- State-registered IARs · 1 to 2Nov 6, 2023 to Jan 18, 2024
- Discretionary RAUM · $387M to $276MNov 6, 2023 to Jan 18, 2024
- HNW RAUM · $337M to $244MNov 6, 2023 to Jan 18, 2024
- Individual RAUM · $26.4M to $20.4MNov 6, 2023 to Jan 18, 2024
- Pension RAUM · $13.2M to $767,927Nov 6, 2023 to Jan 18, 2024
- RAUM · $387M to $276MNov 6, 2023 to Jan 18, 2024
- Accounts · 677 to 759Apr 20, 2023 to Oct 11, 2023
- Advisory employees · 3 to 1Apr 20, 2023 to Oct 11, 2023
- Advisory activities · 2 to 4Apr 20, 2023 to Oct 11, 2023
- HNW clients · 115 to 114Apr 20, 2023 to Oct 11, 2023
- Individual clients · 66 to 80Apr 20, 2023 to Oct 11, 2023
- Employees · 6 to 4Apr 20, 2023 to Oct 11, 2023
- State-registered IARs · 3 to 1Apr 20, 2023 to Oct 11, 2023
- Discretionary RAUM · $353M to $387MApr 20, 2023 to Oct 11, 2023
- HNW RAUM · $313M to $337MApr 20, 2023 to Oct 11, 2023
Signals
10 dated events
- D••• W••••• A••••••• no longer on the SEC adviser roster (last listed 2026-02-02, RAUM $338.4M)Mar 2, 2026 · Left the SEC roster · derived
- L••••• P••• J••• W•••••• left D••• W••••• A••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2026-01-02)Jan 5, 2026 · Advisor changed firm · fact
- A•••• S•••••• left D••• W••••• A••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2026-01-02)Jan 5, 2026 · Advisor changed firm · fact
- F••• C••••••• D••• left D••• W••••• A••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2026-01-02)Jan 5, 2026 · Advisor changed firm · fact
- D••• W••••• A•••••••'s advisors moved to W••••• E••••••••• A••••••• S•••••••• L•• (Baton Rouge, LA): 3 of 3 registered, on the same dayJan 5, 2026 · Firm absorbed (people side) · derived
- D•••• T••••• S•••••• left D••• W••••• A••••••• for E•••• S••••••••• L•• (registered 2025-08-05)Apr 9, 2025 · Advisor changed firm · fact
- D••• W••••• A••••••• reported RAUM $275.8M, down 29% from $386.6M (2023-11-06 to 2024-01-18)Jan 18, 2024 · RAUM change · derived
- Z••••• P•••••• left D••• W••••• A••••••• for A••••• W••••• A••••••• (registered 2023-11-09)Oct 10, 2023 · Advisor changed firm · fact
- M•••••• K•••• T•••• left D••• W••••• A••••••• for A••••• W••••• A••••••• (registered 2023-11-09)Oct 10, 2023 · Advisor changed firm · fact
- 2 advisors left D••• W••••• A••••••• (Great Falls, VA) for A••••• W••••• A••••••• on the same dayOct 10, 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