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Former SEC-registered adviser

R••••• W• D••••• A•• A•••••••••

Former SEC-registered adviserBelleair Beach, FloridaCRD 170471SEC 801-80082IAPD
Legal name D•••••• R••••• W•
Latest filing Jun 11, 2015
First filing on the tape Jul 7, 2014 · 5 filings
RAUM
$3.0B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$3.0B as of Jun 11, 2015
Jul 7, 2014$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jun 11, 2015
Jul 7, 20141 then
Employees (5.A)1 as of Jun 11, 2015
Jul 7, 20141 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 11, 2015; every figure names its basis
RAUM per advisor
$3.0BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$62.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
48reported
Financial planning clients
n/areported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• R••••• · Ownercontrol
        since 01/2000 · owns 75% or more
      • L••••••• A•••• · Chief Compliance Officer
        since 10/2013 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HQ city · PALO ALTO to BELLEAIR BEACH
        Mar 4, 2015 to Jun 11, 2015
      • HQ state · CA to FL
        Mar 4, 2015 to Jun 11, 2015
      • Accounts · 53 to 48
        Feb 6, 2015 to Mar 4, 2015
      • Discretionary RAUM · $0 to $2.9B
        Feb 6, 2015 to Mar 4, 2015
      • Non-discretionary RAUM · $1.3B to $83.1M
        Feb 6, 2015 to Mar 4, 2015
      • RAUM · $1.3B to $3.0B
        Feb 6, 2015 to Mar 4, 2015
      Signals
      1 dated events
      • R••••• W• D••••• A•• A••••••••• filed its initial SEC registration (Form ADV)
        Jul 7, 2014 · 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