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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A••••• W••••• M••••••••• L••
Latest filing Apr 17, 2026
First filing on the tape Apr 26, 2024 · 11 filings
SEC status approved since May 24, 2024
RAUM
$151M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$150M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$50.2M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$151M as of Apr 17, 2026
Jan 7, 2025$112M then
HNW client RAUM$138M as of Apr 17, 2026
Jan 7, 2025$73.2M then
State-registered IARs (5.B.3)2 as of Apr 17, 2026
Jan 7, 20254 then
Employees (5.A)4 as of Apr 17, 2026
Jan 7, 20255 then
Private funds: no history
RAUM -2.5% over the last fiscal yearIARs 4 to 2offices 2 to 1
Practice profile
derived from the filing of Apr 17, 2026; every figure names its basis
- RAUM per advisor
- $50.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $607,100derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -82%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 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
- High-net-worth individuals$138M92%
- Individuals$11.7M7.8%
- Corporations and businesses$347,0990.2%
- Individual clients
- 47reported
- HNW clients
- 42reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 248reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••• F•••••• L••• | North Palm Beach, Fl | Feb 2, 2021 | 11 y | 1 |
| T••••• S•••••• Q••••• | North Palm Beach, Fl | Jan 31, 2025 | 37 y | 1 |
| P•••••• M•••••• Q••••• | North Palm Beach, Fl | Apr 15, 2026 | 10 y | 0 |
Advisor movement
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount4 left over 36 months
Left, latest
- T••••••• G••••• B••••• to A••••••• W••••• M••••••••• L••Nov 20, 2025 · RIA to a state-registered adviser
- M•••••• J•••• B••••• to A••••••• W••••• M••••••••• L••Nov 20, 2025 · RIA to a state-registered adviser
- I•• D••••• P•••••••• to A••••••• W••••• M••••••••• L••Nov 20, 2025 · RIA to a state-registered adviser
- C•••• P•••••• to A••••••••• F•••••••• S•••••••• L••May 23, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- T••••• S•••••• Q••••• from N••••••••• A••••••• I•••Jan 31, 2025 · RIA to RIA
- C•••• P•••••• from C••••• W••••• M•••••••••Mar 7, 2024 · RIA to RIA
- C••• F•••••• L••• from W••••• F•••••••• A•••••••• L••Feb 2, 2021 · Other
- M•••••• J•••• B••••• from B•• P•••••••• I•••May 1, 2019 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for A••••••• W••••• M••••••••• L••Nov 20, 2025 · Plymouth, Mi · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••••• P•••• M••••• · Managing Principalcontrolsince 07/2017 · owns 10% to 25%
- F••••••• D••••• L••• · Shareholdercontrolsince 09/2021 · owns 50% to 75% of D•• A•••••••• I•••
- F••••••• V•••••••• N•• · Presidentcontrolsince 09/2021 · owns 50% to 75% of D•• A•••••••• I•••
- F••••• L••••• J••• · Managing Membercontrolsince 09/2015 · owns 75% or more of T•• F•••• G•••• H•••••••• L••
- L•••• C•••• F•••••• · Chief Compliance Officer/Investment Advisor Representativesince 03/2020 · owns 10% to 25%
Entity owners
- T•• F•••• G•••• H•••••••• L•• · Managing Memberdirect · owns 50% to 75%
- D•• A•••••••• I••• · Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- F•••• F•••• • F•••••••• L••insurancen
- F•••• G•••• L••insurancen
- P••• W••••••••real estaten
- T•• A••••••••• • T•• L••insurancen
- T•• A•••••••• • T•• I• L•• •• L•••insurancen
- T•• A•••••••• • T•• M•••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| North Palm Beach, Fl · principal | 3 | 1 | 0 | ||
| Plymouth, Mi | 0 | 0 | 3 |
Offices
Schedule D 1.F, the 25 largest
- Plymouth, MI2 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Apr 17, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $154,484,042 to $150,560,827, advisors 4 to 2, private clients 495 to 89, offices 2 to 1 (2025-03-27 to 2026-04-17)peers: independent wealth managers, $100M to $500M (5,676)
- client count collapseChange between filings · filing Apr 17, 2026individual and HNW clients (Item 5.D) moved from 495.0 to 89.0 (-82.0%) between the annual amendments of 2025-03-27 and 2026-04-17; the peer median change was +3.0% (3309 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 0.2% percentile
- account count collapseChange between filings · filing Apr 17, 2026accounts (Item 5.F.2.f) moved from 765.0 to 248.0 (-68.0%) between the annual amendments of 2025-03-27 and 2026-04-17; the peer median change was +5.0% (3687 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 1.2% percentile
- HNW share shiftChange between filings · filing Apr 17, 2026HNW share of RAUM moved from 20.0% to 92.0% between the annual amendments of 2025-03-27 and 2026-04-17peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 765 to 248Dec 2, 2025 to Feb 27, 2026
- Advisory employees · 4 to 3Dec 2, 2025 to Feb 27, 2026
- Corporate clients · 1 to 2Dec 2, 2025 to Feb 27, 2026
- HNW clients · 36 to 42Dec 2, 2025 to Feb 27, 2026
- Individual clients · 459 to 47Dec 2, 2025 to Feb 27, 2026
- Pension plan clients · 1 to 0Dec 2, 2025 to Feb 27, 2026
- Pooled vehicle clients · 6 to 0Dec 2, 2025 to Feb 27, 2026
- Employees · 5 to 4Dec 2, 2025 to Feb 27, 2026
- State-registered IARs · 4 to 2Dec 2, 2025 to Feb 27, 2026
- Discretionary RAUM · $154M to $151MDec 2, 2025 to Feb 27, 2026
- HNW RAUM · $31.1M to $138MDec 2, 2025 to Feb 27, 2026
- Individual RAUM · $119M to $11.7MDec 2, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $106,369 to $0Dec 2, 2025 to Feb 27, 2026
- Pension RAUM · $992,626 to $0Dec 2, 2025 to Feb 27, 2026
- Pooled vehicle RAUM · $3.4M to $0Dec 2, 2025 to Feb 27, 2026
- RAUM · $154M to $151MDec 2, 2025 to Feb 27, 2026
- Business name · T•• F•••••••• A•••••••• L•• to A••••• W••••• M••••••••• L••Jun 3, 2025 to Nov 20, 2025
- Legal name · T•• F•••••••• A•••••••• L•• to A••••• W••••• M••••••••• L••Jun 3, 2025 to Nov 20, 2025
- Other offices · 2 to 1Jun 3, 2025 to Nov 20, 2025
- Financial planning clients · 1-10 to 1-10May 12, 2025 to Jun 3, 2025
- Accounts · 583 to 765Jan 7, 2025 to Mar 27, 2025
- Advisory activities · 5 to 6Jan 7, 2025 to Mar 27, 2025
- Corporate clients · 3 to 1Jan 7, 2025 to Mar 27, 2025
- HNW clients · 42 to 36Jan 7, 2025 to Mar 27, 2025
- Individual clients · 243 to 459Jan 7, 2025 to Mar 27, 2025
- Pension plan clients · 0 to 1Jan 7, 2025 to Mar 27, 2025
- Pooled vehicle clients · 14 to 6Jan 7, 2025 to Mar 27, 2025
- Assets in custody · 111899107.0 to unsetJan 7, 2025 to Mar 27, 2025
- Custody of client assets · true to falseJan 7, 2025 to Mar 27, 2025
- Financial planning clients · 0 to 1-10Jan 7, 2025 to Mar 27, 2025
- Other offices · 1 to 2Jan 7, 2025 to Mar 27, 2025
- Discretionary RAUM · $111M to $154MJan 7, 2025 to Mar 27, 2025
- HNW RAUM · $73.2M to $31.1MJan 7, 2025 to Mar 27, 2025
- Individual RAUM · $31.8M to $119MJan 7, 2025 to Mar 27, 2025
- Non-discretionary RAUM · $1.3M to $106,369Jan 7, 2025 to Mar 27, 2025
- Pension RAUM · $0 to $992,626Jan 7, 2025 to Mar 27, 2025
- Pooled vehicle RAUM · $5.7M to $3.4MJan 7, 2025 to Mar 27, 2025
- RAUM · $112M to $154MJan 7, 2025 to Mar 27, 2025
Signals
6 dated events
- T••••••• G••••• B••••• left A••••• W••••• M••••••••• L•• for A••••••• W••••• M••••••••• L•• (registered 2025-10-22)Nov 20, 2025 · Advisor changed firm · fact
- M•••••• J•••• B••••• left A••••• W••••• M••••••••• L•• for A••••••• W••••• M••••••••• L•• (registered 2025-10-20)Nov 20, 2025 · Advisor changed firm · fact
- A••••• W••••• M••••••••• L••'s advisors moved to A••••••• W••••• M••••••••• L•• (Plymouth, MI): 3 of 5 registered, on the same dayNov 20, 2025 · Firm absorbed (people side) · derived
- I•• D••••• P•••••••• left A••••• W••••• M••••••••• L•• for A••••••• W••••• M••••••••• L•• (registered 2025-10-20)Nov 20, 2025 · Advisor changed firm · fact
- C•••• P•••••• left A••••• W••••• M••••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-09-11)May 23, 2024 · Advisor changed firm · fact
- T•• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 26, 2024 · 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
- Principal office phone
- (561) 209-1120reportedpublic record, Form ADV, Apr 17, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $50.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026