DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

W•••••••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $750 of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-06-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $750
Advisors: 0
RAUM change, 1 year: -100%
Private clients: 100%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-06-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

-100.0%
RAUM, one year
RAUM $70.2M to $750 (-100.0%) on the Form ADV filed 17 Jun 2026, while advisors on the filing held at 1 and offices fell 1 to 0.
Assets holding up while advisors and offices fall means the departures have not yet shown in the assets; the next filing will.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 172380 · SEC 801-80109 · 33 filingsShow

CRD 172380SEC 801-80109Legal name W••••••• L••First filing on the tape Jul 15, 2014, latest Jun 17, 2026SEC status approved since Aug 1, 2014IAPD

RAUM

$750

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

100%

$750 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

33 filings and snapshots on the tape

RAUM -98% a year over three years · the tape starts Jul 15, 2014

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$750 as of Jun 17, 2026

Sep 3, 2015$24,604 then

HNW client RAUM: no history

State-registered IARs (5.B.3)1 as of Jun 17, 2026

Sep 3, 20151 then

Employees (5.A)1 as of Jun 17, 2026

Sep 3, 20151 then

Private funds: no history

RAUM -100% over the last fiscal year-98% a year over threeIARs 1 to 1offices 1 to 0

Practice profile

derived from the filing of Jun 17, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $750derivedRAUM 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: $250derivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%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 office incl. principal (1.F.5)
RAUM growth, one year: -9.7%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 5.G
Wrap fee program: participatesreportedItem 5.I
Ownership: controlled by a public reporting companyderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

controlled by a public reporting company (10.A)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% individuals

The breakdown by client type, and the client counts1 client typesShow

Individuals$750100%

Individual clients: 3reported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $750 managedreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; a related broker-dealer; no related bank; 100% of advisors also broker-dealer representativesderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M••••• B••••• B•••••• · Ccocontrol
since 09/2017 · owns less than 5%
M••••••••• O•••••• M•••••• · Activecontrol
since 01/2015 · owns 50% to 75% of S•••••• I••

Entity owners

S•••••• I•• · Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

K••••••• G••••••••• L••
broker-dealern

Offices

Schedule D 1.F, the 25 largest

Austin, TX1 employee

What changed

consecutive filings, newest first

Accounts · 2,416 to 3
Aug 29, 2025 to Jun 17, 2026
Individual clients · 2,416 to 3
Aug 29, 2025 to Jun 17, 2026
HQ city · AUSTIN to
Aug 29, 2025 to Jun 17, 2026
HQ state · TX to
Aug 29, 2025 to Jun 17, 2026
Other offices · 1 to 0
Aug 29, 2025 to Jun 17, 2026

Full history · 80 changes

Discretionary RAUM · $68.8M to $0
Aug 29, 2025 to Jun 17, 2026
Individual RAUM · $68.8M to $750
Aug 29, 2025 to Jun 17, 2026
Non-discretionary RAUM · $0 to $750
Aug 29, 2025 to Jun 17, 2026
RAUM · $68.8M to $750
Aug 29, 2025 to Jun 17, 2026
Related adviser · true to false
Aug 29, 2025 to Jun 17, 2026
Wrap assets (manager) · $0 to $750
Aug 29, 2025 to Jun 17, 2026
Accounts · 3,134 to 2,416
Apr 29, 2025 to Aug 29, 2025
Individual clients · 3,720 to 2,416
Apr 29, 2025 to Aug 29, 2025
Assets in custody · 74136701.0 to unset
Apr 29, 2025 to Aug 29, 2025
Custody of client assets · true to false
Apr 29, 2025 to Aug 29, 2025
Financial planning clients · 0 to 0
Apr 29, 2025 to Aug 29, 2025
Discretionary RAUM · $63.4M to $68.8M
Apr 29, 2025 to Aug 29, 2025
Individual RAUM · $63.4M to $68.8M
Apr 29, 2025 to Aug 29, 2025
RAUM · $63.4M to $68.8M
Apr 29, 2025 to Aug 29, 2025
Related adviser · false to true
Apr 29, 2025 to Aug 29, 2025
Wrap assets (manager) · $63.4M to $0
Apr 29, 2025 to Aug 29, 2025
Accounts · 3,720 to 3,134
Sep 26, 2024 to Apr 29, 2025
Discretionary RAUM · $74.1M to $63.4M
Sep 26, 2024 to Apr 29, 2025
Individual RAUM · $74.1M to $63.4M
Sep 26, 2024 to Apr 29, 2025
RAUM · $74.1M to $63.4M
Sep 26, 2024 to Apr 29, 2025
Wrap assets (manager) · $74.1M to $63.4M
Sep 26, 2024 to Apr 29, 2025
Accounts · 4,442 to 3,720
Feb 14, 2024 to Sep 26, 2024
Individual clients · 4,442 to 3,720
Feb 14, 2024 to Sep 26, 2024
Assets in custody · unset to 74136701.0
Feb 14, 2024 to Sep 26, 2024
Custody of client assets · false to true
Feb 14, 2024 to Sep 26, 2024
Discretionary RAUM · $70.2M to $74.1M
Feb 14, 2024 to Sep 26, 2024
Individual RAUM · $70.2M to $74.1M
Feb 14, 2024 to Sep 26, 2024
RAUM · $70.2M to $74.1M
Feb 14, 2024 to Sep 26, 2024
Wrap assets (manager) · $0 to $74.1M
Feb 14, 2024 to Sep 26, 2024
Wrap assets (sponsor) · $70.2M to $0
Feb 14, 2024 to Sep 26, 2024
Accounts · 3,895 to 4,442
May 2, 2023 to Sep 7, 2023
Individual clients · 3,895 to 4,442
May 2, 2023 to Sep 7, 2023
Discretionary RAUM · $74.6M to $70.2M
May 2, 2023 to Sep 7, 2023
Individual RAUM · $74.6M to $70.2M
May 2, 2023 to Sep 7, 2023
RAUM · $74.6M to $70.2M
May 2, 2023 to Sep 7, 2023
Related adviser · true to false
May 2, 2023 to Sep 7, 2023
Wrap assets (manager) · $74.6M to $0
May 2, 2023 to Sep 7, 2023
Wrap assets (sponsor) · $0 to $70.2M
May 2, 2023 to Sep 7, 2023
Accounts · 2,800 to 3,895
Sep 16, 2021 to Sep 30, 2022
Individual clients · 2,800 to 3,895
Sep 16, 2021 to Sep 30, 2022
Discretionary RAUM · $54.6M to $74.6M
Sep 16, 2021 to Sep 30, 2022
Individual RAUM · $54.6M to $74.6M
Sep 16, 2021 to Sep 30, 2022
RAUM · $54.6M to $74.6M
Sep 16, 2021 to Sep 30, 2022
Wrap assets (manager) · $54.6M to $74.6M
Sep 16, 2021 to Sep 30, 2022
Accounts · 2,100 to 2,800
Oct 13, 2020 to Sep 16, 2021
Individual clients · 2,100 to 2,800
Oct 13, 2020 to Sep 16, 2021
Discretionary RAUM · $21.0M to $54.6M
Oct 13, 2020 to Sep 16, 2021
Individual RAUM · $21.0M to $54.6M
Oct 13, 2020 to Sep 16, 2021
RAUM · $21.0M to $54.6M
Oct 13, 2020 to Sep 16, 2021
Wrap assets (manager) · $21.0M to $54.6M
Oct 13, 2020 to Sep 16, 2021
Accounts · 1,800 to 2,100
Feb 12, 2020 to Oct 13, 2020
Individual clients · 1,800 to 2,100
Feb 12, 2020 to Oct 13, 2020
Accounts · 1,550 to 1,800
Jul 22, 2019 to Sep 30, 2019
Individual clients · 1,550 to 1,800
Jul 22, 2019 to Sep 30, 2019
Discretionary RAUM · $17.0M to $21.0M
Jul 22, 2019 to Sep 30, 2019
Individual RAUM · $17.0M to $21.0M
Jul 22, 2019 to Sep 30, 2019
RAUM · $17.0M to $21.0M
Jul 22, 2019 to Sep 30, 2019
Wrap assets (manager) · $17.0M to $21.0M
Jul 22, 2019 to Sep 30, 2019
Accounts · 1,172 to 1,550
Mar 28, 2019 to Jul 22, 2019
Individual clients · 1,172 to 1,550
Mar 28, 2019 to Jul 22, 2019
Discretionary RAUM · $11.0M to $17.0M
Mar 28, 2019 to Jul 22, 2019
Individual RAUM · $11.0M to $17.0M
Mar 28, 2019 to Jul 22, 2019
RAUM · $11.0M to $17.0M
Mar 28, 2019 to Jul 22, 2019
Wrap assets (manager) · $11.0M to $17.0M
Mar 28, 2019 to Jul 22, 2019
HQ city · NEW YORK to AUSTIN
Jan 2, 2019 to Feb 12, 2019
HQ state · NY to TX
Jan 2, 2019 to Feb 12, 2019
Discretionary RAUM · $9.9M to $11.0M
Aug 2, 2018 to Oct 30, 2018
Non-discretionary RAUM · $1.1M to $0
Aug 2, 2018 to Oct 30, 2018
Accounts · 600 to 1,172
Nov 17, 2017 to Aug 2, 2018
BD registered reps · 0 to 1
Nov 17, 2017 to Aug 2, 2018
Individual clients · 550 to 1,172
Nov 17, 2017 to Aug 2, 2018
Discretionary RAUM · $6.0M to $9.9M
Nov 17, 2017 to Aug 2, 2018
Individual RAUM · $6.0M to $11.0M
Nov 17, 2017 to Aug 2, 2018
Non-discretionary RAUM · $0 to $1.1M
Nov 17, 2017 to Aug 2, 2018
RAUM · $6.0M to $11.0M
Nov 17, 2017 to Aug 2, 2018

Signals

11 dated events

••• Locked
Jun 17, 2026 · ria office closed · derived
••• Locked
Jun 17, 2026 · ria majority owner change · fact
••• Locked
Jun 17, 2026 · ria majority owner change · derived
••• Locked
Jun 17, 2026 · ria ownership band change · fact
••• Locked
Jun 17, 2026 · ria indirect owner change · fact

Full timeline · 11 events

••• Locked
Jun 17, 2026 · ria indirect owner change · fact
••• Locked
Jun 17, 2026 · ria indirect owner change · fact
••• Locked
Jun 17, 2026 · ria indirect owner change · fact
••• Locked
Jul 22, 2019 · Control person joined · fact
••• Locked
Aug 30, 2017 · Succession (Item 4) · fact
••• Locked
Jul 15, 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.

How to reach

public business contact points only, each with its source

Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Jun 17, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jun 17, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.