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

F••• F•••••••• S•••••••

Former SEC-registered adviserCRD 170654SEC 801-101536IAPD
Legal name C••••••••• L••
Latest filing Sep 3, 2021
First filing on the tape Jul 15, 2015 · 11 filings
RAUM
$3.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$3.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$3.4M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$3.4M as of Mar 29, 2021
Mar 17, 2017$670,500 then
HNW client RAUM$3.1M as of Mar 25, 2020
Mar 6, 2019$3.0M then
State-registered IARs (5.B.3)1 as of Mar 29, 2021
Mar 28, 20160 then
Employees (5.A)2 as of Mar 29, 2021
Mar 28, 20162 then
Private funds: no history
RAUM +8.9% over the last fiscal year+4.0% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Sep 3, 2021; every figure names its basis
RAUM per advisor
$3.4MderivedRAUM 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
$281,417derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.9%derivedbetween 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 individualsreportedItem 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
  • Individuals$3.4M100%
Individual clients
12reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
12reported
Financial planning clients
0reported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
T••••• W•••••• S••••Certified Financial PlannerPeachtree City, GaSep 9, 201518 y1
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • S••••• W••••••• L•••• · Manager/Chief Compliance Officercontrol
      since 01/2014 · owns less than 5%
    • S••••• W••••••• L•••• · President/Director/Treasurercontrol
      since 01/2014 · owns 25% to 50% of C••••••••• C•••••••••
    Entity owners
    • C••••••••• C••••••••• · Managing Member
      direct · owns 75% or more
    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
    • Accounts · 22 to 12
      Oct 29, 2020 to Mar 29, 2021
    • Individual clients · 11 to 12
      Oct 29, 2020 to Mar 29, 2021
    • Financial planning clients · 1-10 to 0
      Oct 29, 2020 to Mar 29, 2021
    • Discretionary RAUM · $3.1M to $3.4M
      Oct 29, 2020 to Mar 29, 2021
    • HNW RAUM · 734333.0 to unset
      Oct 29, 2020 to Mar 29, 2021
    • Individual RAUM · $2.3M to $3.4M
      Oct 29, 2020 to Mar 29, 2021
    • RAUM · $3.1M to $3.4M
      Oct 29, 2020 to Mar 29, 2021
    • Accounts · 20 to 22
      Mar 25, 2020 to Oct 29, 2020
    • Advisory activities · 4 to 2
      Mar 25, 2020 to Oct 29, 2020
    • HNW clients · 12.0 to unset
      Mar 25, 2020 to Oct 29, 2020
    • Individual clients · unset to 11.0
      Mar 25, 2020 to Oct 29, 2020
    • HQ city · HENDERSON to unset
      Mar 25, 2020 to Oct 29, 2020
    • HQ state · NV to unset
      Mar 25, 2020 to Oct 29, 2020
    • State-registered IARs · 0 to 1
      Mar 25, 2020 to Oct 29, 2020
    • Discretionary RAUM · $3.1M to $3.1M
      Mar 25, 2020 to Oct 29, 2020
    • HNW RAUM · $3.1M to $734,333
      Mar 25, 2020 to Oct 29, 2020
    • Individual RAUM · unset to 2325390.0
      Mar 25, 2020 to Oct 29, 2020
    • RAUM · $3.1M to $3.1M
      Mar 25, 2020 to Oct 29, 2020
    • Accounts · 10 to 20
      Mar 6, 2019 to Mar 25, 2020
    • HNW clients · 10 to 12
      Mar 6, 2019 to Mar 25, 2020
    • Discretionary RAUM · $3.0M to $3.1M
      Mar 6, 2019 to Mar 25, 2020
    • HNW RAUM · $3.0M to $3.1M
      Mar 6, 2019 to Mar 25, 2020
    • RAUM · $3.0M to $3.1M
      Mar 6, 2019 to Mar 25, 2020
    • Accounts · 9 to 10
      Mar 22, 2018 to Mar 6, 2019
    • HNW clients · unset to 10.0
      Mar 22, 2018 to Mar 6, 2019
    • Individual clients · 9.0 to unset
      Mar 22, 2018 to Mar 6, 2019
    • HNW RAUM · unset to 3000000.0
      Mar 22, 2018 to Mar 6, 2019
    • Individual RAUM · 3000000.0 to unset
      Mar 22, 2018 to Mar 6, 2019
    • Accounts · 2 to 9
      Mar 17, 2017 to Mar 22, 2018
    • Individual clients · unset to 9.0
      Mar 17, 2017 to Mar 22, 2018
    • Other offices · unset to 0.0
      Mar 17, 2017 to Mar 22, 2018
    • Discretionary RAUM · $670,500 to $3.0M
      Mar 17, 2017 to Mar 22, 2018
    • Individual RAUM · unset to 3000000.0
      Mar 17, 2017 to Mar 22, 2018
    • RAUM · $670,500 to $3.0M
      Mar 17, 2017 to Mar 22, 2018
    • Accounts · unset to 2.0
      Mar 28, 2016 to Mar 17, 2017
    • Financial planning clients · 0 to 1-10
      Mar 28, 2016 to Mar 17, 2017
    • Discretionary RAUM · unset to 670500.0
      Mar 28, 2016 to Mar 17, 2017
    • Non-discretionary RAUM · unset to 0.0
      Mar 28, 2016 to Mar 17, 2017
    • RAUM · unset to 670500.0
      Mar 28, 2016 to Mar 17, 2017
    • Business name · C••••••••• L•• to F••• F•••••••• S•••••••
      Jul 15, 2015 to Jul 27, 2015
    Signals
    1 dated events
    • C••••••••• L•• filed its initial SEC registration (Form ADV)
      Jul 15, 2015 · 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.
    How to reach
    public business contact points only, each with its source
    Website
    fapaadvisors.comreportedpublic record, Form ADV, Sep 19, 2026
    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
    $3.4Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026