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
B•••••••• W••••• M••••••••• L••
Latest filing Aug 19, 2025
First filing on the tape Sep 29, 2016 · 20 filings
SEC status approved since Oct 26, 2016
RAUM
$430M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
86%
$370M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$430M as of Aug 19, 2025
Jan 23, 2017$152M then
HNW client RAUM$318M as of Aug 19, 2025
Mar 16, 2018$212M then
State-registered IARs (5.B.3)2 as of Aug 19, 2025
Jan 23, 20170 then
Employees (5.A)4 as of Aug 19, 2025
Jan 23, 20173 then
Private funds: no history
RAUM +19% over the last fiscal year+6.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 19, 2025; every figure names its basis
- RAUM per advisor
- $215MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 135derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $560,618derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $406MreportedItem 5.I
- Custody
- $31.1M, 17 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$318M74%
- Individuals$52.6M12%
- Charitable organizations$28.6M6.7%
- Pension and profit-sharing plans$22.3M5.2%
- Corporations and businesses$8.7M2.0%
- Individual clients
- 169reported
- HNW clients
- 101reported
- Pension plan clients
- 8reported
- Charitable clients
- 7reported
- Accounts
- 767reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $31.1M for 17 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
- T••••• J••••• B•••• to M••••• G••••• A••••••• I•••Sep 10, 2025 · RIA to RIA
Joined, latest
- T••••• J••••• B•••• from G•••••••• W••••• M••••••••• L••Nov 14, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• T•••••• J••••• · Partner And Chief Compliance Officercontrolsince 08/2016 · owns less than 5%
- S••••• R••••••• W• · Partner And Managing Membercontrolsince 08/2016 · owns less than 5%
Entity owners
- M••••• G••••• A••••••• I••• · Parent Companydirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Old Lyme, Ct · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Naples, FL2 employees
What changed
consecutive filings, newest first
- Assets in custody · $27.6M to $31.1MMar 25, 2025 to Aug 19, 2025
- Accounts · 770 to 767Sep 18, 2024 to Mar 25, 2025
- Charity clients · 5 to 7Sep 18, 2024 to Mar 25, 2025
- HNW clients · 96 to 101Sep 18, 2024 to Mar 25, 2025
- Individual clients · 176 to 169Sep 18, 2024 to Mar 25, 2025
- Pension plan clients · 5 to 8Sep 18, 2024 to Mar 25, 2025
- Assets in custody · $27.0M to $27.6MSep 18, 2024 to Mar 25, 2025
- Financial planning clients · 251-500 to 251-500Sep 18, 2024 to Mar 25, 2025
- Discretionary RAUM · $347M to $406MSep 18, 2024 to Mar 25, 2025
- HNW RAUM · $259M to $318MSep 18, 2024 to Mar 25, 2025
- Individual RAUM · $54.4M to $52.6MSep 18, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $15.3M to $24.1MSep 18, 2024 to Mar 25, 2025
- Pension RAUM · $15.3M to $22.3MSep 18, 2024 to Mar 25, 2025
- RAUM · $362M to $430MSep 18, 2024 to Mar 25, 2025
- Accounts · 278 to 770Oct 30, 2023 to Mar 20, 2024
- Corporate clients · 5 to 6Oct 30, 2023 to Mar 20, 2024
- HNW clients · 88 to 96Oct 30, 2023 to Mar 20, 2024
- Individual clients · 177 to 176Oct 30, 2023 to Mar 20, 2024
- Pension plan clients · unset to 5.0Oct 30, 2023 to Mar 20, 2024
- Assets in custody · $2.7M to $27.0MOct 30, 2023 to Mar 20, 2024
- Discretionary RAUM · $299M to $347MOct 30, 2023 to Mar 20, 2024
- HNW RAUM · $225M to $259MOct 30, 2023 to Mar 20, 2024
- Individual RAUM · $54.9M to $54.4MOct 30, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $42.1M to $15.3MOct 30, 2023 to Mar 20, 2024
- Pension RAUM · $42.1M to $15.3MOct 30, 2023 to Mar 20, 2024
- RAUM · $341M to $362MOct 30, 2023 to Mar 20, 2024
- Accounts · 270 to 278Mar 14, 2022 to Mar 23, 2023
- Corporate clients · unset to 5.0Mar 14, 2022 to Mar 23, 2023
- HNW clients · 73 to 88Mar 14, 2022 to Mar 23, 2023
- Individual clients · 185 to 177Mar 14, 2022 to Mar 23, 2023
- Assets in custody · $3.4M to $2.7MMar 14, 2022 to Mar 23, 2023
- Financial planning clients · 101-250 to 251-500Mar 14, 2022 to Mar 23, 2023
- Discretionary RAUM · $301M to $299MMar 14, 2022 to Mar 23, 2023
- HNW RAUM · $216M to $225MMar 14, 2022 to Mar 23, 2023
- Individual RAUM · $65.0M to $54.9MMar 14, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $53.5M to $42.1MMar 14, 2022 to Mar 23, 2023
- Pension RAUM · $53.5M to $42.1MMar 14, 2022 to Mar 23, 2023
- RAUM · $355M to $341MMar 14, 2022 to Mar 23, 2023
- Accounts · 249 to 270Mar 30, 2021 to Mar 8, 2022
- HNW clients · 81 to 73Mar 30, 2021 to Mar 8, 2022
Signals
3 dated events
- B•••••••• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $430.0M)Dec 20, 2025 · Left the SEC roster · derived
- T••••• J••••• B•••• left B•••••••• W••••• M••••••••• L•• for M••••• G••••• A••••••• I••• (registered 2024-09-16)Sep 10, 2025 · Advisor changed firm · fact
- B•••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 29, 2016 · 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