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
S••••••• W••••• A••••••• L••
Latest filing Feb 8, 2022
First filing on the tape Mar 14, 2019 · 6 filings
RAUM
$157M
reported, Item 5.F
Discretionary
2.4%
of RAUM
Private clients
100%
$157M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$157M as of Feb 8, 2022
Mar 3, 2020$131M then
HNW client RAUM$155M as of Feb 8, 2022
Mar 3, 2020$128M then
State-registered IARs (5.B.3)1 as of Feb 8, 2022
Mar 3, 20201 then
Employees (5.A)1 as of Feb 8, 2022
Mar 3, 20201 then
Private funds: no history
RAUM +4.5% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 8, 2022; every figure names its basis
- RAUM per advisor
- $157MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.4MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 2.4%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 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$155M99%
- Individuals$1.7M1.1%
- Individual clients
- 2reported
- HNW clients
- 21reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 142reported
- Financial planning clients
- 0reported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• R•••••• D•••• · Managing Member/Ccocontrolsince 11/2015 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 156 to 142Feb 26, 2021 to Feb 8, 2022
- HNW clients · 19 to 21Feb 26, 2021 to Feb 8, 2022
- Individual clients · 4 to 2Feb 26, 2021 to Feb 8, 2022
- Discretionary RAUM · $3.1M to $3.7MFeb 26, 2021 to Feb 8, 2022
- HNW RAUM · $147M to $155MFeb 26, 2021 to Feb 8, 2022
- Individual RAUM · $3.2M to $1.7MFeb 26, 2021 to Feb 8, 2022
- Non-discretionary RAUM · $147M to $153MFeb 26, 2021 to Feb 8, 2022
- RAUM · $150M to $157MFeb 26, 2021 to Feb 8, 2022
- Accounts · 166 to 156Oct 2, 2020 to Feb 26, 2021
- Individual clients · 5 to 4Oct 2, 2020 to Feb 26, 2021
- Assets in custody · 382600.0 to unsetOct 2, 2020 to Feb 26, 2021
- Custody of client assets · true to falseOct 2, 2020 to Feb 26, 2021
- Discretionary RAUM · $5.6M to $3.1MOct 2, 2020 to Feb 26, 2021
- HNW RAUM · $128M to $147MOct 2, 2020 to Feb 26, 2021
- Individual RAUM · $3.6M to $3.2MOct 2, 2020 to Feb 26, 2021
- Non-discretionary RAUM · $126M to $147MOct 2, 2020 to Feb 26, 2021
- RAUM · $131M to $150MOct 2, 2020 to Feb 26, 2021
- Accounts · 161 to 166Mar 14, 2019 to Mar 3, 2020
- HNW clients · 20 to 19Mar 14, 2019 to Mar 3, 2020
- Individual clients · unset to 5.0Mar 14, 2019 to Mar 3, 2020
- Assets in custody · unset to 382600.0Mar 14, 2019 to Mar 3, 2020
- Custody of client assets · false to trueMar 14, 2019 to Mar 3, 2020
- Financial planning clients · 11-25 to 0Mar 14, 2019 to Mar 3, 2020
- Discretionary RAUM · $4.1M to $5.6MMar 14, 2019 to Mar 3, 2020
- HNW RAUM · $111M to $128MMar 14, 2019 to Mar 3, 2020
- Individual RAUM · $2.5M to $3.6MMar 14, 2019 to Mar 3, 2020
- Non-discretionary RAUM · $110M to $126MMar 14, 2019 to Mar 3, 2020
- RAUM · $114M to $131MMar 14, 2019 to Mar 3, 2020
Signals
1 dated events
- S••••••• W••••• A••••••• L•• filed its initial SEC registration (Form ADV)Mar 14, 2019 · 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