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••••••••• I•••
Latest filing Jun 11, 2025
First filing on the tape Oct 5, 2015 · 33 filings
SEC status approved since Oct 15, 2015
RAUM
$319M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
91%
$292M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$319M as of Jun 11, 2025
Feb 24, 2016$106M then
HNW client RAUM$276M as of Jun 11, 2025
Feb 27, 2018$84.3M then
State-registered IARs (5.B.3)3 as of Jun 11, 2025
Feb 24, 20161 then
Employees (5.A)5 as of Jun 11, 2025
Feb 24, 20166 then
Private funds1 as of Jun 11, 2025
Mar 30, 20241 then
RAUM +9.3% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 11, 2025; every figure names its basis
- RAUM per advisor
- $106MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $388,502derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.0%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$276M87%
- Corporations and businesses$20.1M6.3%
- Individuals$15.3M4.8%
- Pension and profit-sharing plans$3.9M1.2%
- Charitable organizations$3.3M1.0%
- Individual clients
- 44reported
- HNW clients
- 118reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 821reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
- D•••• M• W•••• to C••• R•••• C•••••• L••Jan 16, 2024 · RIA to a state-registered adviser
Joined, latest
- D•••• M• W•••• from S••••• P••• C••••••• L••Nov 5, 2018 · Other
- C•••••• M••••••• R••• from W•••• F•••• A•••••••Oct 31, 2018 · Wirehouse to independent RIA
- A•••••• L•••••• C••••••••• from W•••• F•••• A•••••••Nov 17, 2015 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for A••••• W••••• M••••••••• L••Mar 31, 2026 · Louisville, Ky · Firm absorbed
- 2 joined from W•••• F•••• A•••••••Nov 13, 2015 · Louisville, Ky
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• R••• E••••• F••• I• L•• | Real Estate Fund | $17.0M | 24 | Mar 30, 2024 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• A••••••• L•••••• · President, Chief Compliance Officercontrolsince 09/2015 · 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 |
|---|---|---|---|---|---|
| New Haven, Ct | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · unset to 1303174.0Mar 13, 2025 to Jun 11, 2025
- Financial planning clients · 51-100 to 51-100Mar 13, 2025 to Jun 11, 2025
- Accounts · 817 to 821Aug 20, 2024 to Mar 13, 2025
- Advisory activities · 3 to 4Aug 20, 2024 to Mar 13, 2025
- Corporate clients · 18 to 20Aug 20, 2024 to Mar 13, 2025
- HNW clients · 121 to 118Aug 20, 2024 to Mar 13, 2025
- Individual clients · 55 to 44Aug 20, 2024 to Mar 13, 2025
- Employees · 4 to 5Aug 20, 2024 to Mar 13, 2025
- Discretionary RAUM · $260M to $266MAug 20, 2024 to Mar 13, 2025
- HNW RAUM · $252M to $276MAug 20, 2024 to Mar 13, 2025
- Individual RAUM · $16.3M to $15.3MAug 20, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $32.3M to $53.1MAug 20, 2024 to Mar 13, 2025
- Pension RAUM · $3.5M to $3.9MAug 20, 2024 to Mar 13, 2025
- RAUM · $292M to $319MAug 20, 2024 to Mar 13, 2025
- Accounts · 804 to 817Jan 17, 2024 to Mar 30, 2024
- Corporate clients · 11 to 18Jan 17, 2024 to Mar 30, 2024
- HNW clients · 105 to 121Jan 17, 2024 to Mar 30, 2024
- Individual clients · 64 to 55Jan 17, 2024 to Mar 30, 2024
- Employees · 5 to 4Jan 17, 2024 to Mar 30, 2024
- Private funds · unset to 1Jan 17, 2024 to Mar 30, 2024
- Discretionary RAUM · $227M to $260MJan 17, 2024 to Mar 30, 2024
- HNW RAUM · $215M to $252MJan 17, 2024 to Mar 30, 2024
- Individual RAUM · $16.5M to $16.3MJan 17, 2024 to Mar 30, 2024
- Non-discretionary RAUM · $22.4M to $32.3MJan 17, 2024 to Mar 30, 2024
- Pension RAUM · $2.9M to $3.5MJan 17, 2024 to Mar 30, 2024
- RAUM · $250M to $292MJan 17, 2024 to Mar 30, 2024
- Advisory employees · 4 to 3Feb 9, 2023 to Jan 17, 2024
- Employees · 6 to 5Feb 9, 2023 to Jan 17, 2024
- State-registered IARs · 4 to 3Feb 9, 2023 to Jan 17, 2024
- Accounts · 728 to 804Oct 20, 2022 to Feb 9, 2023
- Corporate clients · 12 to 11Oct 20, 2022 to Feb 9, 2023
- HNW clients · 77 to 105Oct 20, 2022 to Feb 9, 2023
- Individual clients · 80 to 64Oct 20, 2022 to Feb 9, 2023
- Employees · 7 to 6Oct 20, 2022 to Feb 9, 2023
- Discretionary RAUM · $214M to $227MOct 20, 2022 to Feb 9, 2023
- HNW RAUM · $177M to $215MOct 20, 2022 to Feb 9, 2023
- Individual RAUM · $29.7M to $16.5MOct 20, 2022 to Feb 9, 2023
- Non-discretionary RAUM · $12.8M to $22.4MOct 20, 2022 to Feb 9, 2023
- Pension RAUM · $2.0M to $2.9MOct 20, 2022 to Feb 9, 2023
- RAUM · $227M to $250MOct 20, 2022 to Feb 9, 2023
Signals
4 dated events
- A••••• W••••• M••••••••• I••• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $319.0M)Apr 1, 2026 · Left the SEC roster · derived
- A••••• W••••• M••••••••• I•••'s advisors moved to A••••• W••••• M••••••••• L•• (Louisville, KY): 3 of 3 registered, on the same dayMar 31, 2026 · Firm absorbed (people side) · derived
- D•••• M• W•••• left A••••• W••••• M••••••••• I••• for C••• R•••• C•••••• L•• (registered 2024-01-09)Jan 16, 2024 · Advisor changed firm · fact
- A••••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Oct 5, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••••• W••••• M••••••••• I••• · Private Equityshared crd · intermediary
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••••••••• I••• 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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