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.

SEC-registered adviser

Advisors Preferred LLC

Asset manager (funds and pooled vehicles)Rockville, MarylandCRD 157980SEC 801-72430websiteIAPD
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 34 filings
SEC status approved since Jun 6, 2011
RAUM
$1.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$844M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$1.7B as of Mar 30, 2026
Mar 30, 2012$126M then
HNW client RAUM: $5.3M
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 28, 20130 then
Employees (5.A)9 as of Mar 30, 2026
Mar 28, 20137 then
Private funds: no history
RAUM -0.3% over the last fiscal year-1.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
RAUM per advisor
$844MderivedRAUM 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
$76.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-0.3%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$1.7B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
22reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=8.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Benjamin Troy WarwickRockville, Md Nov 1, 202434 y6
Angela Williams HollandRockville, MdJan 16, 202518 y3
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Catherine Mary Ayers-Rigsby · Ceocontrol
    since 04/2011 · owns less than 5%
  • Lynnette Angela Holland · Ccocontrol
    since 03/2022 · owns less than 5%
  • Peter David Brown · Membercontrol
    since 11/2023 · owns F of Dgbm Holdings, LLC
  • Claiborne Christopher Dewey · Trusteecontrol
    since 08/2018 · owns 75% or more of Christopher C. Dewey Trust
  • David Dirk Goldwasser · Membercontrol
    since 08/2019 · owns 50% to 75% of Normandy Shores, LLC
  • Harry Mark Goldwasser · Membercontrol
    since 08/2019 · owns 50% to 75% of Normandy Shores, LLC
Entity owners
  • Advisors Preferred Holding, LLC · Owner Of Advisors Preferred, LLC
    direct · owns 75% or more
  • Christopher C. Dewey Trust · Member
    indirect · owns F of Dgbm Holdings, LLC
  • Dgbm Holdings, LLC · Owner
    indirect · owns 75% or more of Advisors Preferred Holding, LLC
  • Normandy Shores, LLC · Member
    indirect · owns F of Dgbm Holdings, LLC
  • Strong Mountain Capital, Inc. · Member
    indirect · owns 50% to 75% of Dgbm Holdings, LLC
Related persons
Schedule D 7.A
Advisers that list Advisors Preferred LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Rockville, Md · principal200
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Discretionary RAUM · $1.7B to $1.7B
    Mar 25, 2025 to Mar 30, 2026
  • RAUM · $1.7B to $1.7B
    Mar 25, 2025 to Mar 30, 2026
  • Accounts · 20 to 22
    Apr 29, 2024 to Mar 25, 2025
  • Financial planning clients · 0 to 0
    Apr 29, 2024 to Mar 25, 2025
  • Discretionary RAUM · $1.6B to $1.7B
    Apr 29, 2024 to Mar 25, 2025
  • RAUM · $1.6B to $1.7B
    Apr 29, 2024 to Mar 25, 2025
  • Accounts · 19 to 20
    Mar 30, 2023 to Mar 29, 2024
  • Discretionary RAUM · $1.8B to $1.6B
    Mar 30, 2023 to Mar 29, 2024
  • RAUM · $1.8B to $1.6B
    Mar 30, 2023 to Mar 29, 2024
  • Accounts · 21 to 19
    Aug 8, 2022 to Mar 30, 2023
  • Discretionary RAUM · $3.5B to $1.8B
    Aug 8, 2022 to Mar 30, 2023
  • RAUM · $3.5B to $1.8B
    Aug 8, 2022 to Mar 30, 2023
  • Advisory employees · 5 to 6
    Oct 18, 2021 to Mar 30, 2022
  • BD registered reps · 9 to 8
    Oct 18, 2021 to Mar 30, 2022
  • Employees · 10 to 9
    Oct 18, 2021 to Mar 30, 2022
  • Discretionary RAUM · $3.2B to $3.5B
    Oct 18, 2021 to Mar 30, 2022
  • RAUM · $3.2B to $3.5B
    Oct 18, 2021 to Mar 30, 2022
  • Accounts · 52 to 21
    Mar 30, 2021 to Oct 18, 2021
  • Advisory activities · 5 to 1
    Mar 30, 2021 to Oct 18, 2021
  • BD registered reps · 10 to 9
    Mar 30, 2021 to Oct 18, 2021
  • HNW clients · 8.0 to unset
    Mar 30, 2021 to Oct 18, 2021
  • Individual clients · 27.0 to unset
    Mar 30, 2021 to Oct 18, 2021
  • Insurance-licensed employees · 2 to 1
    Mar 30, 2021 to Oct 18, 2021
  • State-registered IARs · 2 to 1
    Mar 30, 2021 to Oct 18, 2021
  • Discretionary RAUM · $2.5B to $3.2B
    Mar 30, 2021 to Oct 18, 2021
  • HNW RAUM · 5300000.0 to unset
    Mar 30, 2021 to Oct 18, 2021
  • Individual RAUM · 4500000.0 to unset
    Mar 30, 2021 to Oct 18, 2021
  • RAUM · $2.5B to $3.2B
    Mar 30, 2021 to Oct 18, 2021
  • Wrap assets (manager) · 9800000.0 to unset
    Mar 30, 2021 to Oct 18, 2021
  • Wrap assets (sponsor) · 9800000.0 to unset
    Mar 30, 2021 to Oct 18, 2021
  • Other offices · 1 to 0
    Oct 18, 2021 to Oct 18, 2021
  • Accounts · 109 to 52
    Dec 9, 2020 to Mar 30, 2021
  • HNW clients · unset to 8.0
    Dec 9, 2020 to Mar 30, 2021
  • Individual clients · 94 to 27
    Dec 9, 2020 to Mar 30, 2021
  • Discretionary RAUM · $1.4B to $2.5B
    Dec 9, 2020 to Mar 30, 2021
  • HNW RAUM · unset to 5300000.0
    Dec 9, 2020 to Mar 30, 2021
  • Individual RAUM · $23.0M to $4.5M
    Dec 9, 2020 to Mar 30, 2021
  • RAUM · $1.4B to $2.5B
    Dec 9, 2020 to Mar 30, 2021
  • Wrap assets (manager) · $21.0M to $9.8M
    Dec 9, 2020 to Mar 30, 2021
  • Wrap assets (sponsor) · $21.0M to $9.8M
    Dec 9, 2020 to Mar 30, 2021
Signals
13 dated events
  • Advisors Preferred Llc reported RAUM $1.8B, down 50% from $3.5B (2022-08-08 to 2023-03-30)
    Mar 30, 2023 · RAUM change · derived
  • Anne Isabelle Ayers-Rigsby (Cco) no longer on Schedule A of Advisors Preferred Llc (listed 2021-10-18, absent 2022-03-30)
    Mar 30, 2022 · Control person left · inference
  • Advisors Preferred Llc reported RAUM $3.2B, up 29% from $2.5B (2021-03-30 to 2021-10-18)
    Oct 18, 2021 · RAUM change · derived
  • Advisors Preferred Llc reported RAUM $2.5B, up 76% from $1.4B (2020-12-09 to 2021-03-30)
    Mar 30, 2021 · RAUM change · derived
  • Anne Isabelle Ayers-Rigsby (Cco) appeared on Schedule A of Advisors Preferred Llc
    Dec 9, 2020 · Control person joined · fact
  • Michael Robert Fox (Cco/Cfo) no longer on Schedule A of Advisors Preferred Llc (listed 2020-10-21, absent 2020-12-09)
    Dec 9, 2020 · Control person left · inference
  • Advisors Preferred Llc reported RAUM $1.4B, up 83% from $776.0M (2020-06-29 to 2020-10-21)
    Oct 21, 2020 · RAUM change · derived
  • Advisors Preferred Llc reported RAUM $776.0M, up 39% from $560.0M (2019-10-11 to 2020-03-30)
    Mar 30, 2020 · RAUM change · derived
  • Peter David Brown (Owner) appeared on Schedule A of Advisors Preferred Llc
    Oct 11, 2019 · Control person joined · fact
  • Claiborne Christopher Dewey (Owner) appeared on Schedule A of Advisors Preferred Llc
    Oct 11, 2019 · Control person joined · fact
  • Harry Mark Goldwasser (Owner) appeared on Schedule A of Advisors Preferred Llc
    Oct 11, 2019 · Control person joined · fact
  • David Dirk Goldwasser (Owner) appeared on Schedule A of Advisors Preferred Llc
    Oct 11, 2019 · Control person joined · fact
  • Franz Winklbauer (Shareholder) no longer on Schedule A of Advisors Preferred Llc (listed 2019-06-28, absent 2019-10-11)
    Oct 11, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
Website
ADVISORSPREFERRED.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
866-842-3356reportedpublic record, Form ADV, Mar 30, 2026
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
Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
RAUM per advisor
$844Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026