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
N• W••••• M••••••••• L••
Latest filing Mar 10, 2017
First filing on the tape May 18, 2016 · 4 filings
RAUM
$163M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$163M as of Mar 10, 2017
May 18, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 10, 2017
May 18, 20160 then
Employees (5.A)3 as of Mar 10, 2017
May 18, 20163 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 10, 2017; every figure names its basis
- RAUM per advisor
- $163MderivedRAUM 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
- $81.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 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
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
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
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- M•••••• E••••• M••••• to P••••••••• F•••••••• S•••••••Jul 19, 2017 · Other
- L•••• A••••• M••••• to W•••• F•••• A•••••••Aug 25, 2016 · Other
Joined, latest
- M•••••• E••••• M••••• from W•••• F•••• A•••••••Jun 27, 2016 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• M••••••• S•••••••• · Chief Executive Officercontrolsince 12/2015 · owns less than 5%
- M•••••• M••••••• E••••• · Chief Operating Officer, Chief Compliance Officercontrolsince 12/2015 · owns less than 5%
- C••••• M••••••• S•••••••• · Ownercontrolsince 01/2016 · owns 75% or more of U••• C••• H••••••• L••
Entity owners
- U••• C••• H••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- San Jose, CA
What changed
consecutive filings, newest first
- Non-discretionary RAUM · $148M to $163MSep 22, 2016 to Mar 10, 2017
- RAUM · $148M to $163MSep 22, 2016 to Mar 10, 2017
- Accounts · 0 to 2Jun 29, 2016 to Sep 22, 2016
- BD registered reps · 0 to 1Jun 29, 2016 to Sep 22, 2016
- State-registered IARs · 0 to 1Jun 29, 2016 to Sep 22, 2016
- Non-discretionary RAUM · $0 to $148MJun 29, 2016 to Sep 22, 2016
- RAUM · $0 to $148MJun 29, 2016 to Sep 22, 2016
Signals
1 dated events
- N• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 18, 2016 · 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