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
P•••••••• A••••••• W••••• M••••••••• L••
Legal name R••••••• A•••• M••••••••• L••
Latest filing Jan 25, 2018
First filing on the tape Dec 15, 2011 · 21 filings
RAUM
$5.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$4.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$5.4M as of Jan 25, 2018
Mar 30, 2012$0 then
HNW client RAUM: $4.8M
State-registered IARs (5.B.3)0 as of Jan 25, 2018
Apr 1, 20131 then
Employees (5.A)4 as of Jan 25, 2018
Apr 1, 20133 then
Private funds1 as of Mar 24, 2017
Mar 28, 20142 then
RAUM -15% over the last fiscal year-13% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Jan 25, 2018; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $254,211derivedHNW RAUM over HNW clients
- Average account
- $247,091derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, 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)
- 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$4.8M89%
- Pooled investment vehicles$600,00011%
- Individuals$6,0000.1%
- Individual clients
- n/areported
- HNW clients
- 19reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 22reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A• T••• I••••••••• L••no longer reported | Private Equity Fund | $1.1M | 7 | Oct 18, 2013 |
| P• 1••• B•••••••• L•• | Real Estate Fund | $601,000 | 5 | Mar 28, 2014 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• A•••• J•••• · Managing Member / Chief Executive Officercontrolsince 01/2013 · owns 25% to 50%
- S••••••• J••• A•• · Managing Member / Chief Compliance Officersince 09/2011 · owns 10% to 25%
- S•••• A•••• · Membersince 12/2017 · owns 10% to 25%
- W••••••• T•••••• E••••• · Portfolio Managersince 09/2017 · owns less than 5%
- Y••••••••• D•••••• K•••• · Membersince 12/2017 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list P•••••••• A••••••• W••••• M••••••••• L•• as a related person
- 171916 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 25 to 22Jan 19, 2018 to Jan 25, 2018
- Advisory employees · 2 to 1Jan 19, 2018 to Jan 25, 2018
- HNW clients · 20 to 19Jan 19, 2018 to Jan 25, 2018
- Individual clients · 4.0 to unsetJan 19, 2018 to Jan 25, 2018
- Discretionary RAUM · $9.6M to $5.4MJan 19, 2018 to Jan 25, 2018
- HNW RAUM · $9.0M to $4.8MJan 19, 2018 to Jan 25, 2018
- Individual RAUM · $18,270 to $6,000Jan 19, 2018 to Jan 25, 2018
- Pooled vehicle RAUM · $601,122 to $600,000Jan 19, 2018 to Jan 25, 2018
- RAUM · $9.6M to $5.4MJan 19, 2018 to Jan 25, 2018
- Related adviser · true to falseJan 19, 2018 to Jan 25, 2018
- BD registered reps · 1 to 0Dec 12, 2017 to Jan 19, 2018
- Insurance-licensed employees · 1 to 0Dec 12, 2017 to Jan 19, 2018
- HQ city · P•••••••• to HAMILTONDec 12, 2017 to Jan 19, 2018
- State-registered IARs · 1 to 0Dec 12, 2017 to Jan 19, 2018
- Insurance-licensed employees · 0 to 1Nov 6, 2017 to Dec 12, 2017
- Legal name · P•••••••• A••••••• W••••• M••••••••• L•• to R••••••• A•••• M••••••••• L••Nov 6, 2017 to Dec 12, 2017
- Related broker-dealer · true to falseNov 6, 2017 to Dec 12, 2017
- Accounts · 10 to 25Mar 24, 2017 to Oct 23, 2017
- Charity clients · unset to 0.0Mar 24, 2017 to Oct 23, 2017
- Corporate clients · unset to 0.0Mar 24, 2017 to Oct 23, 2017
- HNW clients · unset to 20.0Mar 24, 2017 to Oct 23, 2017
- Individual clients · unset to 4.0Mar 24, 2017 to Oct 23, 2017
- Pension plan clients · unset to 0.0Mar 24, 2017 to Oct 23, 2017
- Pooled vehicle clients · unset to 1.0Mar 24, 2017 to Oct 23, 2017
- Other offices · unset to 1.0Mar 24, 2017 to Oct 23, 2017
- Private funds · 1 to unsetMar 24, 2017 to Oct 23, 2017
- Discretionary RAUM · $6.4M to $9.6MMar 24, 2017 to Oct 23, 2017
- HNW RAUM · unset to 8974792.0Mar 24, 2017 to Oct 23, 2017
- Individual RAUM · unset to 18270.0Mar 24, 2017 to Oct 23, 2017
- Pension RAUM · unset to 0.0Mar 24, 2017 to Oct 23, 2017
- Pooled vehicle RAUM · unset to 601122.0Mar 24, 2017 to Oct 23, 2017
- RAUM · $6.4M to $9.6MMar 24, 2017 to Oct 23, 2017
- Accounts · 16 to 10Dec 6, 2016 to Mar 24, 2017
- Discretionary RAUM · $6.5M to $6.4MDec 6, 2016 to Mar 24, 2017
- RAUM · $6.5M to $6.4MDec 6, 2016 to Mar 24, 2017
- HQ city · KINGSTON to P••••••••Mar 29, 2016 to Dec 6, 2016
- Accounts · 21 to 16Mar 6, 2015 to Mar 29, 2016
- Advisory employees · 1 to 2Mar 6, 2015 to Mar 29, 2016
- Employees · 3 to 4Mar 6, 2015 to Mar 29, 2016
- Insurance-licensed employees · 1 to 0Mar 6, 2015 to Mar 29, 2016
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- P•••••••• A••••••• W••••• M••••••••• L•• · Private Equityshared crd · organization
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
Across the graphs
P•••••••• A••••••• W••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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