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
W••••• P••••••• A•• D••••• L••
Latest filing Mar 29, 2024
First filing on the tape Nov 6, 2015 · 28 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$0 as of Mar 29, 2024
Mar 7, 2016$113M then
HNW client RAUM$52.0M as of Mar 22, 2023
Mar 29, 2018$73.4M then
State-registered IARs (5.B.3)2 as of Mar 29, 2024
Mar 7, 20163 then
Employees (5.A)2 as of Mar 29, 2024
Mar 7, 20163 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of Mar 29, 2024; every figure names its basis
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -100%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
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
- 0reported
- Financial planning clients
- 1-10reported
- 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
- J••• R•••••• to W• W••••• P••••••• L••Jun 21, 2024 · Other
- J•••••• W•••••• S••••• to W• W••••• P••••••• L••May 22, 2023 · RIA to RIA
- M••• R•• C•••• to L••••• F•••••••• A•••••••• I•••Dec 12, 2019 · RIA to RIA
Joined, latest
- J•••••• W•••••• S••••• from L••••• F•••••••• A•••••••• I•••Jul 9, 2019 · RIA to RIA
- J••• R•••••• from N••••• A•••••• S•••••••• I•••Jan 19, 2016 · Other
- M••• R•• C•••• from N••••• A•••••• S•••••••• I•••Dec 17, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from N••••• A•••••• S•••••••• I•••Mar 28, 2016 · Sarasota, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• L••••••• E••••• · Managercontrolsince 12/2019 · owns less than 5%
- R••••••• J••• · Chief Compliance Officer. Managercontrolsince 12/2019 · owns less than 5%
- L••••••• L••••••• E••••• · Managing Membercontrolsince 10/2012 · owns 50% to 75% of L•••••• G•••• L••
- R••••••• J••• · Managing Membercontrolsince 10/2012 · owns 50% to 75% of L•••••• G•••• L••
Entity owners
- L•••••• G•••• L•• · Memberdirect · 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 |
|---|---|---|---|---|---|
| Sarasota, Fl · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 450 to 0May 22, 2023 to Mar 29, 2024
- HNW clients · 25.0 to unsetMay 22, 2023 to Mar 29, 2024
- Individual clients · 244.0 to unsetMay 22, 2023 to Mar 29, 2024
- Assets in custody · 3084000.0 to unsetMay 22, 2023 to Mar 29, 2024
- Custody of client assets · true to falseMay 22, 2023 to Mar 29, 2024
- Discretionary RAUM · $92.2M to $0May 22, 2023 to Mar 29, 2024
- HNW RAUM · 66554037.0 to unsetMay 22, 2023 to Mar 29, 2024
- Individual RAUM · 25633608.0 to unsetMay 22, 2023 to Mar 29, 2024
- RAUM · $92.2M to $0May 22, 2023 to Mar 29, 2024
- Advisory employees · 3 to 2May 4, 2023 to May 22, 2023
- Employees · 3 to 2May 4, 2023 to May 22, 2023
- Insurance-licensed employees · 2 to 1May 4, 2023 to May 22, 2023
- State-registered IARs · 3 to 2May 4, 2023 to May 22, 2023
- Insurance-licensed employees · 0 to 2Apr 17, 2023 to May 4, 2023
- Charity clients · 1.0 to unsetMar 22, 2023 to Mar 24, 2023
- HNW clients · 26 to 25Mar 22, 2023 to Mar 24, 2023
- Individual clients · 238 to 244Mar 22, 2023 to Mar 24, 2023
- Discretionary RAUM · $86.8M to $92.2MMar 22, 2023 to Mar 24, 2023
- HNW RAUM · $52.0M to $66.6MMar 22, 2023 to Mar 24, 2023
- Individual RAUM · $34.7M to $25.6MMar 22, 2023 to Mar 24, 2023
- RAUM · $86.8M to $92.2MMar 22, 2023 to Mar 24, 2023
- Accounts · 366 to 450Jun 23, 2022 to Mar 22, 2023
- Charity clients · unset to 1.0Jun 23, 2022 to Mar 22, 2023
- HNW clients · 31 to 26Jun 23, 2022 to Mar 22, 2023
- Individual clients · 154 to 238Jun 23, 2022 to Mar 22, 2023
- Assets in custody · $2.4M to $3.1MJun 23, 2022 to Mar 22, 2023
- Discretionary RAUM · $94.7M to $86.8MJun 23, 2022 to Mar 22, 2023
- HNW RAUM · $68.8M to $52.0MJun 23, 2022 to Mar 22, 2023
- Individual RAUM · $25.9M to $34.7MJun 23, 2022 to Mar 22, 2023
- RAUM · $94.7M to $86.8MJun 23, 2022 to Mar 22, 2023
- Accounts · 367 to 366Feb 7, 2022 to Jun 23, 2022
- Charity clients · 1.0 to unsetFeb 7, 2022 to Jun 23, 2022
- Assets in custody · $3.6M to $2.4MFeb 7, 2022 to Jun 23, 2022
- Discretionary RAUM · $94.8M to $94.7MFeb 7, 2022 to Jun 23, 2022
- RAUM · $94.8M to $94.7MFeb 7, 2022 to Jun 23, 2022
- Wrap assets (manager) · 0.0 to unsetFeb 7, 2022 to Jun 23, 2022
- Wrap assets (sponsor) · 0.0 to unsetFeb 7, 2022 to Jun 23, 2022
- Accounts · 389 to 367Dec 3, 2021 to Feb 7, 2022
- Charity clients · unset to 1.0Dec 3, 2021 to Feb 7, 2022
- HNW clients · 24 to 31Dec 3, 2021 to Feb 7, 2022
Signals
6 dated events
- J••• R•••••• left W••••• P••••••• A•• D••••• L•• for W• W••••• P••••••• L•• (registered 2023-04-27)Jun 21, 2024 · a•••••• firm change · fact
- J•••••• W•••••• S••••• left W••••• P••••••• A•• D••••• L•• for W• W••••• P••••••• L•• (registered 2023-04-12)May 22, 2023 · a•••••• firm change · fact
- Ray Mark Clark (Managing Member) no longer on Schedule A of W••••• P••••••• A•• D••••• L•• (listed 2019-06-12, absent 2019-12-12)Dec 12, 2019 · Control person left · inference
- J••• R•••••• (Chief Compliance Officer. Manager) appeared on Schedule A of W••••• P••••••• A•• D••••• L••Dec 12, 2019 · Control person joined · fact
- Ermond Leonard Leetzow (Managing Member) appeared on Schedule A of W••••• P••••••• A•• D••••• L••Dec 12, 2019 · Control person joined · fact
- W••••• P••••••• A•• D••••• L•• filed its initial SEC registration (Form ADV)Nov 6, 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