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••• A•••• A•••••••• L••
Latest filing Sep 8, 2023
First filing on the tape Apr 3, 2013 · 18 filings
RAUM
$115M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
94%
$108M 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
18 filings and snapshots on the tape
RAUM$103M as of Jan 19, 2023
Feb 27, 2014$66.4M then
HNW client RAUM$90.8M as of Jan 19, 2023
Jan 26, 2018$79.5M then
State-registered IARs (5.B.3)1 as of Jan 19, 2023
Feb 27, 20140 then
Employees (5.A)1 as of Jan 19, 2023
Feb 27, 20141 then
Private funds: no history
RAUM -15% over the last fiscal year-0.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 8, 2023; every figure names its basis
- RAUM per advisor
- $115MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 5.9%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
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$102M89%
- Charitable organizations$6.8M5.9%
- Individuals$5.6M4.9%
- Individual clients
- 12reported
- HNW clients
- 31reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 94reported
- 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
- G••••••• W•••••• D••• to S••••• S•••• W••••• M•••••••••Dec 31, 2023 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• G•••••••• W•••••• · President, Managing Member, Chief Compliance Officercontrolsince 02/2011 · owns 75% or more
- N•••••• L•••• · Membersince 02/2011 · 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 |
|---|---|---|---|---|---|
| New York, Ny | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Individual clients · 13 to 12Jan 19, 2023 to Sep 8, 2023
- Discretionary RAUM · $98.6M to $113MJan 19, 2023 to Sep 8, 2023
- HNW RAUM · $90.8M to $102MJan 19, 2023 to Sep 8, 2023
- Individual RAUM · $5.9M to $5.6MJan 19, 2023 to Sep 8, 2023
- Non-discretionary RAUM · $4.1M to $2.0MJan 19, 2023 to Sep 8, 2023
- RAUM · $103M to $115MJan 19, 2023 to Sep 8, 2023
- Accounts · 96 to 94Jan 25, 2022 to Jan 19, 2023
- Charity clients · 2 to 1Jan 25, 2022 to Jan 19, 2023
- Discretionary RAUM · $133M to $98.6MJan 25, 2022 to Jan 19, 2023
- HNW RAUM · $105M to $90.8MJan 25, 2022 to Jan 19, 2023
- Individual RAUM · $5.9M to $5.9MJan 25, 2022 to Jan 19, 2023
- Non-discretionary RAUM · $2.6M to $4.1MJan 25, 2022 to Jan 19, 2023
- RAUM · $136M to $103MJan 25, 2022 to Jan 19, 2023
- Accounts · 101 to 96Aug 23, 2021 to Jan 25, 2022
- State-registered IARs · 0 to 1Aug 23, 2021 to Jan 25, 2022
- Discretionary RAUM · $131M to $133MAug 23, 2021 to Jan 25, 2022
- HNW RAUM · $112M to $105MAug 23, 2021 to Jan 25, 2022
- Individual RAUM · $3.7M to $5.9MAug 23, 2021 to Jan 25, 2022
- Non-discretionary RAUM · $8.7M to $2.6MAug 23, 2021 to Jan 25, 2022
- RAUM · $140M to $136MAug 23, 2021 to Jan 25, 2022
- Discretionary RAUM · $121M to $131MJan 28, 2021 to Aug 23, 2021
- HNW RAUM · $106M to $112MJan 28, 2021 to Aug 23, 2021
- Individual RAUM · $2.9M to $3.7MJan 28, 2021 to Aug 23, 2021
- Non-discretionary RAUM · $8.1M to $8.7MJan 28, 2021 to Aug 23, 2021
- RAUM · $129M to $140MJan 28, 2021 to Aug 23, 2021
- HNW clients · 30 to 31May 7, 2020 to Jan 28, 2021
- Individual clients · 14 to 13May 7, 2020 to Jan 28, 2021
- Other offices · 1 to 0May 7, 2020 to Jan 28, 2021
- Discretionary RAUM · $107M to $121MMay 7, 2020 to Jan 28, 2021
- HNW RAUM · $92.4M to $106MMay 7, 2020 to Jan 28, 2021
- Individual RAUM · $5.8M to $2.9MMay 7, 2020 to Jan 28, 2021
- Non-discretionary RAUM · $10.1M to $8.1MMay 7, 2020 to Jan 28, 2021
- RAUM · $117M to $129MMay 7, 2020 to Jan 28, 2021
- Accounts · 99 to 101Feb 2, 2019 to Feb 7, 2020
- HNW clients · 29 to 30Feb 2, 2019 to Feb 7, 2020
- Individual clients · 15 to 14Feb 2, 2019 to Feb 7, 2020
- Discretionary RAUM · $89.5M to $107MFeb 2, 2019 to Feb 7, 2020
- HNW RAUM · $78.0M to $92.4MFeb 2, 2019 to Feb 7, 2020
- Individual RAUM · $4.9M to $5.8MFeb 2, 2019 to Feb 7, 2020
- Non-discretionary RAUM · $8.9M to $10.1MFeb 2, 2019 to Feb 7, 2020
Signals
2 dated events
- G••••••• W•••••• D••• left D••• A•••• A•••••••• L•• for S••••• S•••• W••••• M••••••••• (registered 2024-01-10)Dec 31, 2023 · Advisor changed firm · fact
- D••• A•••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 3, 2013 · 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