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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

I•• W••••• M••••••••• I•••

Former SEC-registered adviserWest Warwick, Rhode IslandCRD 164557SEC 801-116706IAPD
Latest filing Mar 18, 2021
First filing on the tape Apr 29, 2019 · 10 filings
RAUM
$150M
reported, Item 5.F
Discretionary
52%
of RAUM
Private clients
50%
$75.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$150M as of Mar 18, 2021
Mar 19, 2020$142M then
HNW client RAUM$33.6M as of Mar 18, 2021
Mar 19, 2020$34.5M then
State-registered IARs (5.B.3)6 as of Mar 18, 2021
Mar 19, 20206 then
Employees (5.A)8 as of Mar 18, 2021
Mar 19, 20208 then
Private funds: no history
RAUM +5.5% over the last fiscal yearIARs 6 to 6
Practice profile
derived from the filing of Mar 18, 2021; every figure names its basis
RAUM per advisor
$25.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
46derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$242,496derivedRAUM over accounts (5.F.2.f)
Discretionary
52%derivedof RAUM
Institutional
48%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+5.5%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 individuals, pension consulting, educational seminarsreportedItem 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
  • Pension and profit-sharing plans$72.7M48%
  • Individuals$41.4M28%
  • High-net-worth individuals$33.6M22%
  • Corporations and businesses$2.1M1.4%
Individual clients
254reported
HNW clients
23reported
Pension plan clients
47reported
Charitable clients
n/areported
Accounts
618reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • I••••••••• B•••• M• · President, Membercontrol
      since 06/2012 · owns 75% or more
    • S•••••• T•••• H••••• · Chief Compliance Officer
      since 08/2019 · owns less than 5%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 600 to 618
      Jul 8, 2020 to Mar 18, 2021
    • Advisory activities · 3 to 4
      Jul 8, 2020 to Mar 18, 2021
    • BD registered reps · 2 to 1
      Jul 8, 2020 to Mar 18, 2021
    • HNW clients · 26 to 23
      Jul 8, 2020 to Mar 18, 2021
    • Individual clients · 253 to 254
      Jul 8, 2020 to Mar 18, 2021
    • Pension plan clients · 41 to 47
      Jul 8, 2020 to Mar 18, 2021
    • Insurance-licensed employees · 0 to 5
      Jul 8, 2020 to Mar 18, 2021
    • Discretionary RAUM · $78.2M to $78.6M
      Jul 8, 2020 to Mar 18, 2021
    • HNW RAUM · $34.5M to $33.6M
      Jul 8, 2020 to Mar 18, 2021
    • Individual RAUM · $40.6M to $41.4M
      Jul 8, 2020 to Mar 18, 2021
    • Non-discretionary RAUM · $63.9M to $71.3M
      Jul 8, 2020 to Mar 18, 2021
    • Pension RAUM · $65.2M to $72.7M
      Jul 8, 2020 to Mar 18, 2021
    • RAUM · $142M to $150M
      Jul 8, 2020 to Mar 18, 2021
    • Related adviser · false to true
      Jul 8, 2020 to Mar 18, 2021
    • Accounts · 563 to 600
      Dec 13, 2019 to Mar 19, 2020
    • BD registered reps · 1 to 2
      Dec 13, 2019 to Mar 19, 2020
    • Individual clients · 217 to 253
      Dec 13, 2019 to Mar 19, 2020
    • Pension plan clients · 42 to 41
      Dec 13, 2019 to Mar 19, 2020
    • Discretionary RAUM · $71.2M to $78.2M
      Dec 13, 2019 to Mar 19, 2020
    • HNW RAUM · $34.7M to $34.5M
      Dec 13, 2019 to Mar 19, 2020
    • Individual RAUM · $34.1M to $40.6M
      Dec 13, 2019 to Mar 19, 2020
    • Non-discretionary RAUM · $59.8M to $63.9M
      Dec 13, 2019 to Mar 19, 2020
    • Pension RAUM · $60.9M to $65.2M
      Dec 13, 2019 to Mar 19, 2020
    • RAUM · $131M to $142M
      Dec 13, 2019 to Mar 19, 2020
    • HQ city · WARWICK to WEST WARWICK
      Sep 24, 2019 to Nov 21, 2019
    Signals
    1 dated events
    • I•• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
      Apr 29, 2019 · 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