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

A•••• W•••••

Former SEC-registered adviserMiramar Beach, FloridaCRD 153640SEC 801-80638IAPD
Legal name A•••• W••••• M••••••••• L••
Latest filing Dec 1, 2021
First filing on the tape Nov 18, 2014 · 22 filings
RAUM
$360M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$352M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 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$360M as of Mar 31, 2021
Mar 3, 2015$110M then
HNW client RAUM$251M as of Mar 31, 2021
Mar 21, 2018$145M then
State-registered IARs (5.B.3)6 as of Mar 31, 2021
Mar 3, 20154 then
Employees (5.A)6 as of Mar 31, 2021
Mar 3, 20154 then
Private funds: no history
RAUM +15% over the last fiscal year+18% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Dec 1, 2021; every figure names its basis
RAUM per advisor
$60.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
57derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$361,867derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+20%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.4%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody
$308M, 287 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)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$251M70%
  • Individuals$101M28%
  • Corporations and businesses$7.0M1.9%
  • Charitable organizations$1.2M0.3%
Individual clients
214reported
HNW clients
125reported
Pension plan clients
n/areported
Charitable clients
2reported
Accounts
995reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$308M for 287 clientsreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••••• M•••••••• R••• · Managing Member / Principal/Chief Compliance Officercontrol
        since 03/2010 · owns 50% to 75%
      • M•••••••• P•••• G••••• · Managing Member / Director Of Business Developmentcontrol
        since 03/2010 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • A••••• K• M•••••••
        n
      • B•••••• S• S••••
        insurancen
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 972 to 995
        Aug 19, 2020 to Mar 31, 2021
      • HNW clients · 116 to 125
        Aug 19, 2020 to Mar 31, 2021
      • Individual clients · 212 to 214
        Aug 19, 2020 to Mar 31, 2021
      • Assets in custody · $91.4M to $308M
        Aug 19, 2020 to Mar 31, 2021
      • Employees · 8 to 6
        Aug 19, 2020 to Mar 31, 2021
      • Financial planning clients · 101-250 to 1-10
        Aug 19, 2020 to Mar 31, 2021
      • State-registered IARs · 5 to 6
        Aug 19, 2020 to Mar 31, 2021
      • Discretionary RAUM · $314M to $360M
        Aug 19, 2020 to Mar 31, 2021
      • HNW RAUM · $224M to $251M
        Aug 19, 2020 to Mar 31, 2021
      • Individual RAUM · $82.9M to $101M
        Aug 19, 2020 to Mar 31, 2021
      • RAUM · $314M to $360M
        Aug 19, 2020 to Mar 31, 2021
      • Business name · A•••• W••••• M••••••••• L•• to A•••• W•••••
        Jun 26, 2020 to Aug 19, 2020
      • Accounts · 874 to 972
        Apr 4, 2019 to Mar 30, 2020
      • Advisory employees · 5 to 6
        Apr 4, 2019 to Mar 30, 2020
      • Corporate clients · unset to 1.0
        Apr 4, 2019 to Mar 30, 2020
      • HNW clients · 89 to 116
        Apr 4, 2019 to Mar 30, 2020
      • Individual clients · 198 to 212
        Apr 4, 2019 to Mar 30, 2020
      • Assets in custody · $2.7M to $91.4M
        Apr 4, 2019 to Mar 30, 2020
      • Employees · 6 to 8
        Apr 4, 2019 to Mar 30, 2020
      • Discretionary RAUM · $226M to $314M
        Apr 4, 2019 to Mar 30, 2020
      • HNW RAUM · $161M to $224M
        Apr 4, 2019 to Mar 30, 2020
      • Individual RAUM · $59.1M to $82.9M
        Apr 4, 2019 to Mar 30, 2020
      • RAUM · $226M to $314M
        Apr 4, 2019 to Mar 30, 2020
      • Accounts · 803 to 874
        Mar 21, 2018 to Mar 27, 2019
      • Advisory employees · 3 to 5
        Mar 21, 2018 to Mar 27, 2019
      • Charity clients · 1 to 2
        Mar 21, 2018 to Mar 27, 2019
      • HNW clients · 75 to 89
        Mar 21, 2018 to Mar 27, 2019
      • Individual clients · 182 to 198
        Mar 21, 2018 to Mar 27, 2019
      • Assets in custody · unset to 2667106.0
        Mar 21, 2018 to Mar 27, 2019
      • Custody of client assets · false to true
        Mar 21, 2018 to Mar 27, 2019
      • State-registered IARs · 4 to 5
        Mar 21, 2018 to Mar 27, 2019
      • Discretionary RAUM · $218M to $226M
        Mar 21, 2018 to Mar 27, 2019
      • HNW RAUM · $145M to $161M
        Mar 21, 2018 to Mar 27, 2019
      • Individual RAUM · $72.5M to $59.1M
        Mar 21, 2018 to Mar 27, 2019
      • RAUM · $218M to $226M
        Mar 21, 2018 to Mar 27, 2019
      • Related insurance company · false to true
        Mar 21, 2018 to Mar 27, 2019
      • Accounts · 714 to 803
        Nov 29, 2017 to Mar 21, 2018
      • Charity clients · unset to 1.0
        Nov 29, 2017 to Mar 21, 2018
      • HNW clients · unset to 75.0
        Nov 29, 2017 to Mar 21, 2018
      • Individual clients · unset to 182.0
        Nov 29, 2017 to Mar 21, 2018
      Signals
      6 dated events
      • P•••••• R••• M••••••• left A•••• W••••• for M•••••• (registered 2022-03-01)
        Mar 23, 2022 · Advisor changed firm · fact
      • B•••••• S• S•••• left A•••• W••••• for S•••• F•••••••• L•• (registered 2025-12-08)
        Mar 23, 2022 · Advisor changed firm · fact
      • L•••• W•••••• M•••••• left A•••• W••••• for M•••••• (registered 2022-03-04)
        Mar 23, 2022 · Advisor changed firm · fact
      • A••••• K•••••• M••••••• left A•••• W••••• for M•••••• (registered 2022-03-01)
        Mar 23, 2022 · Advisor changed firm · fact
      • A•••• W•••••'s advisors moved to M•••••• (Miramar Beach, FL): 3 of 4 registered, on the same day
        Mar 23, 2022 · Firm absorbed (people side) · derived
      • A•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Nov 18, 2014 · 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