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
I•• W••••• • P•••••• C••••• A•••••••
Legal name I•• W••••• P•• L••
Latest filing Mar 31, 2023
First filing on the tape Jul 19, 2013 · 21 filings
RAUM
$420M
reported, Item 5.F
Discretionary
26%
of RAUM
Private clients
97%
$409M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$420M as of Mar 31, 2023
Mar 26, 2014$31.9M then
HNW client RAUM$399M as of Mar 31, 2023
Mar 31, 2018$209M then
State-registered IARs (5.B.3)5 as of Mar 31, 2023
Mar 26, 20140 then
Employees (5.A)8 as of Mar 31, 2023
Mar 26, 20145 then
Private funds: no history
RAUM -22% over the last fiscal year+14% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 31, 2023; every figure names its basis
- RAUM per advisor
- $84.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.7MderivedHNW RAUM over HNW clients
- Average account
- $446,187derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 26%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.7%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $50.7M, 50 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)
- 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$399M95%
- Individuals$9.4M2.2%
- Corporations and businesses$8.6M2.1%
- Pension and profit-sharing plans$2.9M0.7%
- Individual clients
- 19reported
- HNW clients
- 60reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 942reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $50.7M for 50 clientsreported
- Compensation
- fixedreported
- 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
- J•••• W•••• S••••• to M••••• G•••• I••••••••• A•••••••• L••Mar 31, 2023 · RIA to RIA
- J••• E••••••• to M••••• G•••• I••••••••• A•••••••• L••Mar 31, 2023 · RIA to RIA
- E••••• H••••••• K•••• to M••••• G•••• I••••••••• A•••••••• L••Dec 31, 2022 · RIA to RIA
- C•••••••• M•••• A••••• to F•• M••••• F•••••••• P•••••••Dec 31, 2022 · RIA to a state-registered adviser
- B••••• N••••• M••••• to M••••••Nov 17, 2022 · RIA to affiliated broker-dealer or bank
- J••• W••••• S•••••• to O•••••• P•••••••• L•Aug 5, 2014 · Other
Joined, latest
- E••••• H••••••• K•••• from J••• M••••• S••••••••• L••Mar 24, 2022 · Wirehouse to independent RIA
- J•••• W•••• S••••• from F•••• A••••• A••••••• S•••••••• I•••Jan 14, 2017 · Other
- J••• W••••• S•••••• from M••••• S•••••• I••••••••• A••••••• I•••Mar 10, 2014 · Other
- J••• E••••••• from O•••• F•• I•••Mar 7, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M••••• G•••• I••••••••• A•••••••• L••Mar 31, 2023 · Denver, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••••••• J••• · Ownercontrolsince 03/2022 · owns 5% to 10%
- M•••••• K••••• M•••••• · Principal & Managercontrolsince 06/2014 · owns 10% to 25%
- W•••••••• C••••••• A•••••••• · Owner, Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
- W•••••••• C••••••• A•••••••• · Ownercontrolsince 06/2013 · owns 50% to 75% of I•• W••••• I•••••••• L••
Entity owners
- I•• W••••• I•••••••• L•• · Ownerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- E••• Fundsinvestment adviserpooled vehicle sponsornRAUM $166M
- I•• W••••• M••••••••• L••investment adviserpooled vehicle sponsoryRAUM $4.3B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 962 to 942Mar 31, 2022 to Mar 31, 2023
- Charity clients · unset to 0.0Mar 31, 2022 to Mar 31, 2023
- HNW clients · 65 to 60Mar 31, 2022 to Mar 31, 2023
- Individual clients · 17 to 19Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 1.0 to unsetMar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $240M to $108MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $516M to $399MMar 31, 2022 to Mar 31, 2023
- Individual RAUM · $9.0M to $9.4MMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $298M to $312MMar 31, 2022 to Mar 31, 2023
- Pension RAUM · $3.3M to $2.9MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · 88686.0 to unsetMar 31, 2022 to Mar 31, 2023
- RAUM · $538M to $420MMar 31, 2022 to Mar 31, 2023
- Accounts · 799 to 962Mar 31, 2021 to Mar 31, 2022
- HNW clients · 63 to 65Mar 31, 2021 to Mar 31, 2022
- Individual clients · 14 to 17Mar 31, 2021 to Mar 31, 2022
- Employees · 16 to 8Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $171M to $240MMar 31, 2021 to Mar 31, 2022
- HNW RAUM · $452M to $516MMar 31, 2021 to Mar 31, 2022
- Individual RAUM · $4.8M to $9.0MMar 31, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $299M to $298MMar 31, 2021 to Mar 31, 2022
- Pension RAUM · $4.2M to $3.3MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $36,311 to $88,686Mar 31, 2021 to Mar 31, 2022
- RAUM · $470M to $538MMar 31, 2021 to Mar 31, 2022
- Accounts · 80 to 799Jun 30, 2020 to Mar 31, 2021
- Advisory employees · 7 to 5Jun 30, 2020 to Mar 31, 2021
- Charity clients · 0.0 to unsetJun 30, 2020 to Mar 31, 2021
- HNW clients · 62 to 63Jun 30, 2020 to Mar 31, 2021
- Individual clients · 16 to 14Jun 30, 2020 to Mar 31, 2021
- State-registered IARs · 7 to 5Jun 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $162M to $171MJun 30, 2020 to Mar 31, 2021
- HNW RAUM · $280M to $452MJun 30, 2020 to Mar 31, 2021
- Individual RAUM · $3.7M to $4.8MJun 30, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $123M to $299MJun 30, 2020 to Mar 31, 2021
- Pension RAUM · $1.3M to $4.2MJun 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $284,997 to $36,311Jun 30, 2020 to Mar 31, 2021
- RAUM · $285M to $470MJun 30, 2020 to Mar 31, 2021
- HNW clients · 54 to 62Mar 30, 2019 to Apr 1, 2020
- Individual clients · 18 to 16Mar 30, 2019 to Apr 1, 2020
- Pooled vehicle clients · 7 to 1Mar 30, 2019 to Apr 1, 2020
- Assets in custody · $72.3M to $50.7MMar 30, 2019 to Apr 1, 2020
Signals
12 dated events
- J•••• W•••• S••••• left I•• W••••• • P•••••• C••••• A••••••• for M••••• G•••• I••••••••• A•••••••• L•• (registered 2023-03-31)Mar 31, 2023 · Advisor changed firm · fact
- J••• E••••••• left I•• W••••• • P•••••• C••••• A••••••• for M••••• G•••• I••••••••• A•••••••• L•• (registered 2023-03-31)Mar 31, 2023 · Advisor changed firm · fact
- 2 advisors left I•• W••••• • P•••••• C••••• A••••••• (Denver, CO) for M••••• G•••• I••••••••• A•••••••• L•• on the same dayMar 31, 2023 · Team lift-out · derived
- E••••• H••••••• K•••• left I•• W••••• • P•••••• C••••• A••••••• for M••••• G•••• I••••••••• A•••••••• L•• (registered 2023-03-31)Dec 31, 2022 · Advisor changed firm · fact
- C•••••••• M•••• A••••• left I•• W••••• • P•••••• C••••• A••••••• for F•• M••••• F•••••••• P••••••• (registered 2025-05-11)Dec 31, 2022 · Advisor changed firm · fact
- B••••• N••••• M••••• left I•• W••••• • P•••••• C••••• A••••••• for Mariner (registered 2023-02-06)Nov 17, 2022 · Advisor changed firm · fact
- Jon Christopher Hunter (Chief Compliance Officer) no longer on Schedule A of I•• W••••• • P•••••• C••••• A••••••• (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Edwin Darryl Larue (Chief Operating Officer) no longer on Schedule A of I•• W••••• • P•••••• C••••• A••••••• (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- I•• W••••• • P•••••• C••••• A••••••• reported RAUM $469.9M, up 65% from $285.1M (2020-06-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Jon Christopher Hunter (Chief Compliance Officer) appeared on Schedule A of I•• W••••• • P•••••• C••••• A•••••••Apr 1, 2020 · Control person joined · fact
- Edwin Darryl Larue (Chief Operating Officer) appeared on Schedule A of I•• W••••• • P•••••• C••••• A•••••••Apr 1, 2020 · Control person joined · fact
- I•• W••••• • P•••••• C••••• A••••••• filed its initial SEC registration (Form ADV)Jul 19, 2013 · ria f•••• adv filing · 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