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

T•• W••••• M••••••••• A••••••• L••

Former SEC-registered adviserSan Jose, CaliforniaCRD 169026SEC 801-113125IAPD
Latest filing Apr 2, 2018
First filing on the tape Oct 7, 2013 · 3 filings
RAUM
$99.2M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
73%
$72.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$99.2M as of Apr 2, 2018
Oct 7, 2013$0 then
HNW client RAUM: $54.4M
State-registered IARs (5.B.3)4 as of Apr 2, 2018
Oct 7, 20133 then
Employees (5.A)4 as of Apr 2, 2018
Oct 7, 20133 then
Private funds: no history
Practice profile
derived from the filing of Apr 2, 2018; every figure names its basis
RAUM per advisor
$24.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
22derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$476,767derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publications, educational seminarsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$54.4M55%
  • Individuals$17.7M18%
  • Corporations and businesses$12.6M13%
  • Charitable organizations$10.9M11%
  • Pension and profit-sharing plans$3.6M3.6%
Individual clients
61reported
HNW clients
26reported
Pension plan clients
4reported
Charitable clients
3reported
Accounts
208reported
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
    • C••••••• M••••••• R•• · Chief Financial Officercontrol
      since 07/2013 · owns less than 5%
    • D•••• D••••••• D••••• · Chief Compliance Officercontrol
      since 10/2015 · owns less than 5%
    • P••••• A••••••••• B•••••• · Chief Executive Officercontrol
      since 07/2013 · owns less than 5%
    • R•••••••• E•• · Shareholdercontrol
      since 01/2009 · owns 50% to 75% of A•••••• L••••• W••• L••
    • R•••••••• E•• · Trusteecontrol
      since 01/2009 · owns 25% to 50% of Child And Grandchildren'S Trusts
    Entity owners
    • L••••• W••• H••••••• I••• · Sole Member
      direct · owns 75% or more
    • A•••••• L••••• W••• L•• · Shareholder
      indirect · owns 50% to 75% of L••••• W••• H••••••• I•••
    Related persons
    Schedule D 7.A
    Advisers that list T•• W••••• M••••••••• A••••••• L•• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Mt. Pleasant, SC2 employees
    What changed
    consecutive filings, newest first
    • Accounts · 149 to 208
      Jan 6, 2014 to Apr 2, 2018
    • Advisory activities · 4 to 5
      Jan 6, 2014 to Apr 2, 2018
    • BD registered reps · 1 to 2
      Jan 6, 2014 to Apr 2, 2018
    • Charity clients · unset to 3.0
      Jan 6, 2014 to Apr 2, 2018
    • Corporate clients · unset to 2.0
      Jan 6, 2014 to Apr 2, 2018
    • HNW clients · unset to 26.0
      Jan 6, 2014 to Apr 2, 2018
    • Individual clients · unset to 61.0
      Jan 6, 2014 to Apr 2, 2018
    • Pension plan clients · unset to 4.0
      Jan 6, 2014 to Apr 2, 2018
    • Pooled vehicle clients · unset to 0.0
      Jan 6, 2014 to Apr 2, 2018
    • Insurance-licensed employees · 1 to 2
      Jan 6, 2014 to Apr 2, 2018
    • Financial planning clients · 0 to 1-10
      Jan 6, 2014 to Apr 2, 2018
    • HQ city · CHARLESTON to SAN JOSE
      Jan 6, 2014 to Apr 2, 2018
    • HQ state · SC to CA
      Jan 6, 2014 to Apr 2, 2018
    • Other offices · unset to 1.0
      Jan 6, 2014 to Apr 2, 2018
    • HNW RAUM · unset to 54392429.0
      Jan 6, 2014 to Apr 2, 2018
    • Individual RAUM · unset to 17738664.0
      Jan 6, 2014 to Apr 2, 2018
    • Non-discretionary RAUM · $65.1M to $99.2M
      Jan 6, 2014 to Apr 2, 2018
    • Pension RAUM · unset to 3568602.0
      Jan 6, 2014 to Apr 2, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Jan 6, 2014 to Apr 2, 2018
    • RAUM · $65.1M to $99.2M
      Jan 6, 2014 to Apr 2, 2018
    • Related insurance company · false to true
      Jan 6, 2014 to Apr 2, 2018
    • Accounts · 0 to 149
      Oct 7, 2013 to Jan 6, 2014
    • Advisory employees · 3 to 4
      Oct 7, 2013 to Jan 6, 2014
    • Advisory activities · 5 to 4
      Oct 7, 2013 to Jan 6, 2014
    • BD registered reps · 2 to 1
      Oct 7, 2013 to Jan 6, 2014
    • Employees · 3 to 4
      Oct 7, 2013 to Jan 6, 2014
    • Insurance-licensed employees · 2 to 1
      Oct 7, 2013 to Jan 6, 2014
    • State-registered IARs · 3 to 4
      Oct 7, 2013 to Jan 6, 2014
    • Non-discretionary RAUM · $0 to $65.1M
      Oct 7, 2013 to Jan 6, 2014
    • RAUM · $0 to $65.1M
      Oct 7, 2013 to Jan 6, 2014
    Signals
    1 dated events
    • T•• W••••• M••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
      Oct 7, 2013 · 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