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
A•••• W••••• M••••••••• G••••• L••
Latest filing Dec 4, 2015
First filing on the tape Apr 25, 2015 · 10 filings
RAUM
$13.2M
reported, Item 5.F
Discretionary
0.0%
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$4.2M gross assets
History
10 filings and snapshots on the tape
RAUM$13.2M as of Dec 4, 2015
Apr 25, 2015$12.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Dec 4, 2015
Apr 25, 20151 then
Employees (5.A)2 as of Dec 4, 2015
Apr 25, 20151 then
Private funds2 as of Dec 4, 2015
Sep 4, 20152 then
Practice profile
derived from the filing of Dec 4, 2015; every figure names its basis
- RAUM per advisor
- $6.6MderivedRAUM 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
- $188,571derivedRAUM 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
- 0.7derived3 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, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- yesreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- 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
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
- 70reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, 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
Left, latest
- J•••••• A••• C•••• to R•••••• W••••• A•••••••• I•••Aug 10, 2020 · Other
- C•••••• I•• K••••• to C•••••• K••••• R••••••••• I••••••••• A•••••• L••Jul 24, 2020 · Other
- E••••• I••••••• R••• to R•••••• W••••• A•••••••• I•••Jul 22, 2020 · Other
- S•••• G• L••••• to R•••••• W••••• A•••••••• I•••Jul 22, 2020 · Other
- S•••• L•••• G••••••••• to R•••••• W••••• A•••••••• I•••Jul 22, 2020 · Other
Joined, latest
- E••••• I••••••• R••• from W••••• N•• A•••••••Jun 27, 2018 · Other
- S•••• G• L••••• from W•••••• J••••• I••••••••• I•••May 25, 2017 · Other
- S•••• L•••• G••••••••• from W•••••• J••••• I••••••••• I•••May 25, 2017 · Other
- C•••••• I•• K••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 2, 2015 · Other
- J•••••• A••• C•••• from W•••••• J••••• I••••••••• I•••Aug 7, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for R•••••• W••••• A•••••••• I•••Jul 22, 2020 · Irvine, Ca
- 3 joined from W•••••• J••••• I••••••••• I•••Aug 16, 2017 · Laguna Hills, Ca · Firm absorbed
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• I••••• F•••• L•• | Real Estate Fund | $3.2M | 19 | Sep 4, 2015 |
| C••••• M••••••••• F••• L••• L•• | Real Estate Fund | $987,000 | 7 | Sep 4, 2015 |
Owners and control persons
Schedule A and B, latest filing
- C••••• J••••••• A••• · Ceo/Cfo/Coo/Clo/Cco/ Directorcontrolsince 01/2014 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Fruitland Park, FL
- Irvine, CA
What changed
consecutive filings, newest first
- Assets in custody · unset to 0.0Nov 11, 2015 to Dec 4, 2015
- Custody of client assets · false to trueNov 11, 2015 to Dec 4, 2015
- Advisory activities · 3 to 2Sep 21, 2015 to Oct 3, 2015
- Financial planning clients · 51-100 to 0Sep 21, 2015 to Oct 3, 2015
- Business name · A••••• I••••••••• to A•••• W••••• M••••••••• G••••• L••Sep 4, 2015 to Sep 21, 2015
- Legal name · A••••• I••••••••• to A•••• W••••• M••••••••• G••••• L••Sep 4, 2015 to Sep 21, 2015
- Succession · true to falseSep 4, 2015 to Sep 21, 2015
- Accounts · 50 to 70Aug 25, 2015 to Sep 4, 2015
- Advisory employees · 1 to 2Aug 25, 2015 to Sep 4, 2015
- Advisory activities · 5 to 3Aug 25, 2015 to Sep 4, 2015
- Employees · 1 to 2Aug 25, 2015 to Sep 4, 2015
- State-registered IARs · 1 to 2Aug 25, 2015 to Sep 4, 2015
- Organization form · Corporation to Limited Liability CompanyAug 25, 2015 to Sep 4, 2015
- Private funds · unset to 2Aug 25, 2015 to Sep 4, 2015
- Non-discretionary RAUM · $12.0M to $13.2MAug 25, 2015 to Sep 4, 2015
- RAUM · $12.0M to $13.2MAug 25, 2015 to Sep 4, 2015
- Succession · false to trueAug 25, 2015 to Sep 4, 2015
- Legal name · C••••, J•••••• A••• to A••••• I•••••••••May 7, 2015 to Aug 25, 2015
- Business name · A••••• I••••••••• C•••••• to A••••• I•••••••••May 4, 2015 to May 7, 2015
Signals
2 dated events
- A••••• I••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Sep 4, 2015 · Succession (Item 4) · fact
- A••••• I••••••••• C•••••• filed its initial SEC registration (Form ADV)Apr 25, 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.
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
Across the graphs
A•••• W••••• M••••••••• G••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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