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••••• S•••••••• L••
Latest filing May 3, 2021
First filing on the tape Apr 7, 2020 · 7 filings
RAUM
$22.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$22.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$22.5M as of May 3, 2021
Apr 7, 2020$11.7M then
HNW client RAUM$12.7M as of May 3, 2021
Apr 7, 2020$4.1M then
State-registered IARs (5.B.3)3 as of May 3, 2021
Apr 7, 20203 then
Employees (5.A)4 as of May 3, 2021
Apr 7, 20203 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 3, 2021; every figure names its basis
- RAUM per advisor
- $7.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $634,316derivedHNW RAUM over HNW clients
- Average account
- $62,898derivedRAUM 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
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$12.7M56%
- Individuals$9.8M44%
- Individual clients
- 130reported
- HNW clients
- 20reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 357reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- 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
- K•••• A•• K•••• to D•••••Dec 31, 2021 · RIA to a state-registered adviser
Joined, latest
- K•••• A•• K•••• from M••• W••• L••• F•••••••• P•••••••• L••Sep 10, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- I••••• R•••• T• · Member, President And Ccocontrolsince 11/2015 · owns 75% or more
- K••••• K••••• A•• · Member, Director Of Financial P•••••••since 06/2019 · owns 25% to 50%
Related persons
Schedule D 7.A
- P•••••••• T•• A••••••• L••insurancen
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 234 to 357Nov 13, 2020 to Mar 31, 2021
- HNW clients · 3 to 20Nov 13, 2020 to Mar 31, 2021
- Individual clients · 103 to 130Nov 13, 2020 to Mar 31, 2021
- Other offices · 3 to 2Nov 13, 2020 to Mar 31, 2021
- Discretionary RAUM · $11.7M to $22.5MNov 13, 2020 to Mar 31, 2021
- HNW RAUM · $4.1M to $12.7MNov 13, 2020 to Mar 31, 2021
- Individual RAUM · $7.6M to $9.8MNov 13, 2020 to Mar 31, 2021
- RAUM · $11.7M to $22.5MNov 13, 2020 to Mar 31, 2021
- Employees · 3 to 4Aug 5, 2020 to Nov 13, 2020
- Other offices · 2 to 3Aug 5, 2020 to Nov 13, 2020
- Related insurance company · false to trueAug 5, 2020 to Nov 13, 2020
Signals
1 dated events
- P•••••••• W••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Apr 7, 2020 · 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