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
P•••••• W••••• M••••••••• L••
Latest filing Apr 2, 2024
First filing on the tape May 4, 2021 · 9 filings
RAUM
$184M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$184M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$184M as of Jan 22, 2024
Jan 28, 2022$161M then
HNW client RAUM$144M as of Jan 22, 2024
Jan 28, 2022$154M then
State-registered IARs (5.B.3)2 as of Jan 22, 2024
Jan 28, 20222 then
Employees (5.A)3 as of Jan 22, 2024
Jan 28, 20223 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 2 to 2offices 0 to 1
Practice profile
derived from the filing of Apr 2, 2024; every figure names its basis
- RAUM per advisor
- $92.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 95derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $364,622derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 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$144M78%
- Individuals$40.5M22%
- Individual clients
- 133reported
- HNW clients
- 56reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 506reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- S•••••• T• E•••••• to C••••• P••••••• P•••••••Sep 17, 2024 · RIA to RIA
- J••• W•••• P••••• to V••••••• A•••••••• I•••Nov 4, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- J••• W•••• P••••• from C•••••• M••••••••• F•••••••• A•••••••Oct 10, 2019 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• W••••••• R••••• · Managing Member/ Chief Compliance Officer / Chief Executive Officercontrolsince 07/2015 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Colorado Springs, Co | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Austin, TX1 employees
What changed
consecutive filings, newest first
- Advisory activities · 2 to 4Jan 22, 2024 to Apr 2, 2024
- HQ city · AUSTIN to unsetJan 22, 2024 to Apr 2, 2024
- HQ state · TX to unsetJan 22, 2024 to Apr 2, 2024
- Other offices · 0 to 1Jan 22, 2024 to Apr 2, 2024
- Accounts · 170 to 506Mar 14, 2023 to Jan 22, 2024
- HNW clients · 47 to 56Mar 14, 2023 to Jan 22, 2024
- Individual clients · 123 to 133Mar 14, 2023 to Jan 22, 2024
- Discretionary RAUM · $166M to $184MMar 14, 2023 to Jan 22, 2024
- HNW RAUM · $130M to $144MMar 14, 2023 to Jan 22, 2024
- Individual RAUM · $35.5M to $40.5MMar 14, 2023 to Jan 22, 2024
- RAUM · $166M to $184MMar 14, 2023 to Jan 22, 2024
- Accounts · 343 to 170Oct 7, 2022 to Mar 3, 2023
- HNW clients · 90 to 47Oct 7, 2022 to Mar 3, 2023
- Individual clients · 51 to 123Oct 7, 2022 to Mar 3, 2023
- Financial planning clients · 51-100 to 101-250Oct 7, 2022 to Mar 3, 2023
- Discretionary RAUM · $161M to $166MOct 7, 2022 to Mar 3, 2023
- HNW RAUM · $154M to $130MOct 7, 2022 to Mar 3, 2023
- Individual RAUM · $7.5M to $35.5MOct 7, 2022 to Mar 3, 2023
- RAUM · $161M to $166MOct 7, 2022 to Mar 3, 2023
- Advisory activities · 3 to 2Jan 28, 2022 to Oct 7, 2022
- Accounts · 316 to 343Nov 16, 2021 to Jan 28, 2022
- Advisory employees · 1 to 2Nov 16, 2021 to Jan 28, 2022
- HNW clients · 14 to 90Nov 16, 2021 to Jan 28, 2022
- Individual clients · 103 to 51Nov 16, 2021 to Jan 28, 2022
- Employees · 2 to 3Nov 16, 2021 to Jan 28, 2022
- State-registered IARs · 1 to 2Nov 16, 2021 to Jan 28, 2022
- Discretionary RAUM · $118M to $161MNov 16, 2021 to Jan 28, 2022
- HNW RAUM · $57.8M to $154MNov 16, 2021 to Jan 28, 2022
- Individual RAUM · $60.5M to $7.5MNov 16, 2021 to Jan 28, 2022
- RAUM · $118M to $161MNov 16, 2021 to Jan 28, 2022
- Advisory activities · 2 to 3Aug 4, 2021 to Nov 16, 2021
Signals
2 dated events
- S•••••• T• E•••••• left P•••••• W••••• M••••••••• L•• for C••••• P••••••• P••••••• (registered 2024-09-11)Sep 17, 2024 · Advisor changed firm · fact
- P•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 4, 2021 · 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