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
I••• W••••• P•••••••• L••
Latest filing Mar 2, 2022
First filing on the tape Jun 13, 2016 · 15 filings
RAUM
$2.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$1.9B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$2.0B as of Mar 2, 2022
Mar 10, 2017$262M then
HNW client RAUM$1.8B as of Mar 2, 2022
Mar 22, 2018$553M then
State-registered IARs (5.B.3)13 as of Mar 2, 2022
Mar 10, 20173 then
Employees (5.A)19 as of Mar 2, 2022
Mar 10, 20177 then
Private funds: no history
RAUM +30% over the last fiscal year+43% a year over threeIARs 14 to 13
Practice profile
derived from the filing of Mar 2, 2022; every figure names its basis
- RAUM per advisor
- $152MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.4MderivedHNW RAUM over HNW clients
- Average account
- $666,832derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 13.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- -7.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +29%derived
- Compensation
- percentage of assetsreportedItem 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$1.8B93%
- Individuals$93.8M4.8%
- Charitable organizations$24.7M1.3%
- Banks and thrifts$15.8M0.8%
- Pension and profit-sharing plans$4.0M0.2%
- Individual clients
- 223reported
- HNW clients
- 248reported
- Pension plan clients
- 1reported
- Charitable clients
- 2reported
- Accounts
- 2,962reported
- Financial planning clients
- 11-25reported
- 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
none on the tape
Joined, latest
- J•••• A••• P••••• from A••••• I••••••••• • A•••••••Jun 19, 2020 · RIA to RIA
- B••••• H••••• M•••• from A••••• I••••••••• • A•••••••Jun 19, 2020 · RIA to RIA
- A•••••• K••••••• M••••••• from A••••• I••••••••• • A•••••••Jun 19, 2020 · RIA to RIA
- D••••• R••• S•••••••• from O••••••••• • C•• I•••Feb 12, 2019 · Affiliated broker-dealer or bank to independent RIA
- B••••• P••••••••• from L•• F•••••••• L••Aug 24, 2018 · RIA to RIA
- M•••••• J••••• C••••• from A••••• I••••••••• • A•••••••Aug 1, 2018 · RIA to RIA
- R•••••• M••••• from M•• F•••••••• S•••••••• I•••Sep 21, 2017 · Other
- J••••••• M•••• M•••• from U•• F•••••••• S••••••• I•••Sep 21, 2017 · Other
- M••• B•••• M•••••• from M••••• S••••••Feb 17, 2017 · Other
- S•••••• T••••• S••••••••• from M••••• S••••••Feb 17, 2017 · Other
- B•••• A••••• P•••• from U•• F•••••••• S••••••• I•••Aug 18, 2016 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 13 left for I••• W••••• P•••••••Aug 1, 2022 · Houston, Tx · Firm absorbed
- 3 joined from A••••• I••••••••• • A•••••••Jun 23, 2020 · Houston, Tx
- 2 joined from M••••• S••••••Feb 23, 2017 · Houston, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• A••• S••••••••• · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- M••••••• M•••• B•••• · Managing Membercontrolsince 02/2017 · owns 10% to 25%
- M••••• B•••••• H••••• · Principal Membercontrolsince 01/2022 · owns 10% to 25%
- P•••••• J••••• A••• · Principal Membercontrolsince 01/2022 · owns 10% to 25%
- P••••• B••••• A••••• · Managing Membercontrolsince 08/2016 · owns 10% to 25%
- S••••••••• S••••••• T••••• · Managing Member And Chief Operating Officercontrolsince 02/2017 · owns 10% to 25%
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 · 2,328 to 2,962Mar 15, 2021 to Mar 2, 2022
- Advisory employees · 14 to 15Mar 15, 2021 to Mar 2, 2022
- Charity clients · 1 to 2Mar 15, 2021 to Mar 2, 2022
- HNW clients · 208 to 248Mar 15, 2021 to Mar 2, 2022
- Individual clients · 156 to 223Mar 15, 2021 to Mar 2, 2022
- Pension plan clients · unset to 1.0Mar 15, 2021 to Mar 2, 2022
- Employees · 18 to 19Mar 15, 2021 to Mar 2, 2022
- State-registered IARs · 14 to 13Mar 15, 2021 to Mar 2, 2022
- Discretionary RAUM · $1.5B to $2.0BMar 15, 2021 to Mar 2, 2022
- HNW RAUM · $1.4B to $1.8BMar 15, 2021 to Mar 2, 2022
- Individual RAUM · $50.7M to $93.8MMar 15, 2021 to Mar 2, 2022
- Pension RAUM · unset to 3950314.0Mar 15, 2021 to Mar 2, 2022
- RAUM · $1.5B to $2.0BMar 15, 2021 to Mar 2, 2022
- Accounts · 1,637 to 2,328Jun 7, 2020 to Mar 15, 2021
- Advisory employees · 8 to 14Jun 7, 2020 to Mar 15, 2021
- BD registered reps · 10 to 15Jun 7, 2020 to Mar 15, 2021
- Charity clients · unset to 1.0Jun 7, 2020 to Mar 15, 2021
- HNW clients · 144 to 208Jun 7, 2020 to Mar 15, 2021
- Individual clients · 124 to 156Jun 7, 2020 to Mar 15, 2021
- Employees · 11 to 18Jun 7, 2020 to Mar 15, 2021
- State-registered IARs · 8 to 14Jun 7, 2020 to Mar 15, 2021
- Discretionary RAUM · $852M to $1.5BJun 7, 2020 to Mar 15, 2021
- HNW RAUM · $801M to $1.4BJun 7, 2020 to Mar 15, 2021
- Individual RAUM · $51.1M to $50.7MJun 7, 2020 to Mar 15, 2021
- RAUM · $852M to $1.5BJun 7, 2020 to Mar 15, 2021
- Accounts · 1,519 to 1,637Mar 24, 2019 to Mar 9, 2020
- HNW clients · 118 to 144Mar 24, 2019 to Mar 9, 2020
- Individual clients · 106 to 124Mar 24, 2019 to Mar 9, 2020
- Employees · 10 to 11Mar 24, 2019 to Mar 9, 2020
- Financial planning clients · 101-250 to 11-25Mar 24, 2019 to Mar 9, 2020
- Discretionary RAUM · $673M to $852MMar 24, 2019 to Mar 9, 2020
- HNW RAUM · $590M to $801MMar 24, 2019 to Mar 9, 2020
- Individual RAUM · $83.4M to $51.1MMar 24, 2019 to Mar 9, 2020
- RAUM · $673M to $852MMar 24, 2019 to Mar 9, 2020
- Accounts · 1,158 to 1,519Mar 22, 2018 to Mar 24, 2019
- Advisory employees · 7 to 8Mar 22, 2018 to Mar 24, 2019
- BD registered reps · 7 to 10Mar 22, 2018 to Mar 24, 2019
- HNW clients · 97 to 118Mar 22, 2018 to Mar 24, 2019
- Assets in custody · 4104079.0 to unsetMar 22, 2018 to Mar 24, 2019
- Custody of client assets · true to falseMar 22, 2018 to Mar 24, 2019
Signals
9 dated events
- I••• W••••• P•••••••• L••'s advisors moved to I••• W••••• P••••••• (Houston, TX): 13 of 13 registered, on the same dayAug 1, 2022 · Firm absorbed (people side) · derived
- Harper Brooks Mcgee (Principal Member) appeared on Schedule A of I••• W••••• P•••••••• L••Mar 2, 2022 · Control person joined · fact
- I••• W••••• P•••••••• L•• reported RAUM $2.0B, up 30% from $1.5B (2021-03-15 to 2022-03-02)Mar 2, 2022 · RAUM change · derived
- Alan James Pavlik (Principal Member) appeared on Schedule A of I••• W••••• P•••••••• L••Mar 2, 2022 · Control person joined · fact
- Schwarzbach Amy Ardeel (Chief Compliance Officer) appeared on Schedule A of I••• W••••• P•••••••• L••Mar 2, 2022 · Control person joined · fact
- I••• W••••• P•••••••• L•• reported RAUM $1.5B, up 78% from $852.3M (2020-06-07 to 2021-03-15)Mar 15, 2021 · RAUM change · derived
- I••• W••••• P•••••••• L•• reported RAUM $852.3M, up 27% from $673.1M (2019-03-24 to 2020-03-09)Mar 9, 2020 · RAUM change · derived
- I••• W••••• P•••••••• L•• reported RAUM $601.6M, up 130% from $261.8M (2017-03-10 to 2018-03-22)Mar 22, 2018 · RAUM change · derived
- E••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 13, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- I••• W••••• P•••••••• L•• · 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