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
N•••••• W••••• S••••••••• I•••
Latest filing Aug 3, 2021
First filing on the tape Nov 8, 2011 · 44 filings
RAUM
$342M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
100%
$342M 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
44 filings and snapshots on the tape
RAUM$342M as of Mar 24, 2021
Mar 30, 2012$144M then
HNW client RAUM$292M as of Mar 24, 2021
Mar 29, 2018$215M then
State-registered IARs (5.B.3)3 as of Mar 24, 2021
Mar 30, 20120 then
Employees (5.A)5 as of Mar 24, 2021
Mar 27, 20131 then
Private funds: no history
RAUM +16% over the last fiscal year+9.9% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Aug 3, 2021; every figure names its basis
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 78derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $617,293derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 0.0%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
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $140M, 208 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$292M85%
- Individuals$50.0M15%
- Individual clients
- 156reported
- HNW clients
- 78reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 554reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $140M for 208 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
- D•••• A••••• S••••••• to A•••• C•••• I••••••••• L••Dec 31, 2021 · Other
- M••••• J•••••• K•••••• to B••••• P••••• A•••••••• L••Dec 31, 2021 · RIA to RIA
- B•••••• P•••••• B•••• to G••••••••• W••••• M•••••••••May 1, 2017 · Other
- A•••••• J••••• D•••••••• to N•••• W••••• M••••••••• I•••Jul 11, 2014 · Other
- L••• L••• L•••••••• to L•••••••• F•••••••• G••••• I••Jan 23, 2013 · Other
- J•••• E•••• L•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Feb 15, 2012 · Other
Joined, latest
- M••••• J•••••• K•••••• from E••••• J••••Nov 20, 2017 · Affiliated broker-dealer or bank to independent RIA
- B•••••• P•••••• B•••• from A•••• C•••• I••••••••• L••Apr 19, 2017 · Other
- L••• L••• L•••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Feb 8, 2012 · Other
- D•••• A••••• S••••••• from C••••••• P••••••• I••••••••• A•••••••• L••Dec 19, 2011 · Other
- A•••••• J••••• D•••••••• from N•••••• A•••••••• L••Dec 19, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• D••••• A••••• · Principal And Chief Compliance Officercontrolsince 10/2011 · owns 75% or more
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
- Accounts · 530 to 554Jun 10, 2020 to Mar 24, 2021
- HNW clients · 53 to 78Jun 10, 2020 to Mar 24, 2021
- Individual clients · 170 to 156Jun 10, 2020 to Mar 24, 2021
- Assets in custody · $139M to $140MJun 10, 2020 to Mar 24, 2021
- Employees · 4 to 5Jun 10, 2020 to Mar 24, 2021
- Discretionary RAUM · $261M to $304MJun 10, 2020 to Mar 24, 2021
- HNW RAUM · $221M to $292MJun 10, 2020 to Mar 24, 2021
- Individual RAUM · $70.8M to $50.0MJun 10, 2020 to Mar 24, 2021
- Non-discretionary RAUM · $33.6M to $38.2MJun 10, 2020 to Mar 24, 2021
- Pension RAUM · 2966695.0 to unsetJun 10, 2020 to Mar 24, 2021
- RAUM · $295M to $342MJun 10, 2020 to Mar 24, 2021
- Related insurance company · false to trueJun 10, 2020 to Mar 24, 2021
- Accounts · 501 to 530Oct 14, 2019 to Mar 19, 2020
- Advisory employees · 2 to 3Oct 14, 2019 to Mar 19, 2020
- HNW clients · 24 to 53Oct 14, 2019 to Mar 19, 2020
- Individual clients · 197 to 170Oct 14, 2019 to Mar 19, 2020
- Assets in custody · $72.9M to $139MOct 14, 2019 to Mar 19, 2020
- State-registered IARs · 2 to 3Oct 14, 2019 to Mar 19, 2020
- Discretionary RAUM · $218M to $261MOct 14, 2019 to Mar 19, 2020
- HNW RAUM · $94.7M to $221MOct 14, 2019 to Mar 19, 2020
- Individual RAUM · $152M to $70.8MOct 14, 2019 to Mar 19, 2020
- Non-discretionary RAUM · $30.6M to $33.6MOct 14, 2019 to Mar 19, 2020
- Pension RAUM · $2.2M to $3.0MOct 14, 2019 to Mar 19, 2020
- RAUM · $249M to $295MOct 14, 2019 to Mar 19, 2020
- Accounts · 503 to 501Sep 14, 2018 to Mar 15, 2019
- Advisory activities · 3 to 1Sep 14, 2018 to Mar 15, 2019
- HNW clients · 59 to 24Sep 14, 2018 to Mar 15, 2019
- Individual clients · 157 to 197Sep 14, 2018 to Mar 15, 2019
- Assets in custody · $154M to $72.9MSep 14, 2018 to Mar 15, 2019
- Discretionary RAUM · $195M to $218MSep 14, 2018 to Mar 15, 2019
- HNW RAUM · $215M to $94.7MSep 14, 2018 to Mar 15, 2019
- Individual RAUM · $41.5M to $152MSep 14, 2018 to Mar 15, 2019
- Non-discretionary RAUM · $63.0M to $30.6MSep 14, 2018 to Mar 15, 2019
- Pension RAUM · $1.3M to $2.2MSep 14, 2018 to Mar 15, 2019
- RAUM · $258M to $249MSep 14, 2018 to Mar 15, 2019
- Assets in custody · unset to 154132923.0Mar 29, 2018 to Apr 11, 2018
- Custody of client assets · false to trueMar 29, 2018 to Apr 11, 2018
- Accounts · 492 to 503Jan 17, 2018 to Mar 29, 2018
- HNW clients · 60 to 59Jan 17, 2018 to Mar 29, 2018
- Individual clients · 163 to 157Jan 17, 2018 to Mar 29, 2018
Signals
1 dated events
- Marie Christina Walsh (Chief Compliance Officer) no longer on Schedule A of N•••••• W••••• S••••••••• I••• (listed 2020-06-10, absent 2021-03-24)Mar 24, 2021 · 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.
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