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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SEC-registered adviser
C•• W••••• M••••••••• L••
Latest filing Mar 3, 2026
First filing on the tape Mar 9, 2017 · 18 filings
SEC status approved since Mar 20, 2017
RAUM
$180M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$180M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$180M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$180M as of Mar 3, 2026
Mar 8, 2018$289M then
HNW client RAUM$125M as of Mar 3, 2026
Mar 8, 2018$289M then
State-registered IARs (5.B.3)1 as of Mar 3, 2026
Mar 8, 20183 then
Employees (5.A)2 as of Mar 3, 2026
Mar 8, 20184 then
Private funds: no history
RAUM +8.8% over the last fiscal year-38% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $180MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 324derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $408,658derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +122%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$125M70%
- Individuals$54.8M30%
- Individual clients
- 269reported
- HNW clients
- 55reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 440reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• F•••• C••••••••• | Scottsdale, Az | Apr 6, 2018 | 29 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount3 left over 36 months
Left, latest
- L•••• S••••• I••••••• to E•••••• E••••• L••Feb 16, 2024 · RIA to affiliated broker-dealer or bank
- M•••••• •••• M•••••••• to U•••••• I••••••••• M••••••••• L•••••Jan 22, 2024 · RIA to RIA
- L•••• A•••••• D•••• V•••• to D••••• W•••••• L••Jan 18, 2024 · RIA to RIA
Joined, latest
- L•••• F•••• C••••••••• from W•••• F•••• A•••••••Apr 6, 2018 · Wirehouse to independent RIA
- L•••• S••••• I••••••• from C•••••• W••••• M•••••••••Jun 1, 2017 · Other
- M•••••• •••• M•••••••• from O•••• F•• I•••Nov 15, 2016 · Other
- L•••• A•••••• D•••• V•••• from L•• F•••••••• L••Nov 9, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• K••••• J•••• · Chief Compliance Officercontrolsince 01/2024 · owns 75% or more
- G•••••• K••••• J•••• · Trusteecontrolsince 12/2012 · owns F of G••••• F••••• T•••• D•••• 1•••••••
- G•••••• J•••••••• L•• · Trusteesince 12/2012 · owns F of G••••• F••••• T•••• D•••• 1•••••••
Entity owners
- C•••• C••••• C••••••• L•• · Ownerdirect · owns 75% or more
- G••••• F••••• T•••• D•••• 1••••••• · Managing Memberindirect · owns 75% or more of C•••• C••••• C••••••• L••
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 |
|---|---|---|---|---|---|
| Scottsdale, Az · principal | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Mar 3, 2026individual and HNW clients (Item 5.D) moved from 146.0 to 324.0 (+122.0%) between the annual amendments of 2025-03-24 and 2026-03-03; the peer median change was +3.0% (3309 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 428 to 440Jul 7, 2025 to Mar 3, 2026
- HNW clients · 47 to 55Jul 7, 2025 to Mar 3, 2026
- Individual clients · 99 to 269Jul 7, 2025 to Mar 3, 2026
- Financial planning clients · 101-250 to 0Jul 7, 2025 to Mar 3, 2026
- Discretionary RAUM · $165M to $180MJul 7, 2025 to Mar 3, 2026
- HNW RAUM · $104M to $125MJul 7, 2025 to Mar 3, 2026
- Individual RAUM · $61.5M to $54.8MJul 7, 2025 to Mar 3, 2026
- RAUM · $165M to $180MJul 7, 2025 to Mar 3, 2026
- Financial planning clients · 101-250 to 101-250Mar 24, 2025 to Jul 7, 2025
- Accounts · 491 to 428Mar 7, 2024 to Mar 24, 2025
- HNW clients · 44 to 47Mar 7, 2024 to Mar 24, 2025
- Individual clients · 64 to 99Mar 7, 2024 to Mar 24, 2025
- Financial planning clients · 0 to 101-250Mar 7, 2024 to Mar 24, 2025
- Discretionary RAUM · $191M to $165MMar 7, 2024 to Mar 24, 2025
- HNW RAUM · $145M to $104MMar 7, 2024 to Mar 24, 2025
- Individual RAUM · $46.0M to $61.5MMar 7, 2024 to Mar 24, 2025
- Pension RAUM · 202935.0 to unsetMar 7, 2024 to Mar 24, 2025
- RAUM · $191M to $165MMar 7, 2024 to Mar 24, 2025
- Accounts · 680 to 491Feb 14, 2023 to Mar 4, 2024
- Advisory employees · 4 to 1Feb 14, 2023 to Mar 4, 2024
- BD registered reps · 3 to 1Feb 14, 2023 to Mar 4, 2024
- HNW clients · 91 to 44Feb 14, 2023 to Mar 4, 2024
- Individual clients · 148 to 64Feb 14, 2023 to Mar 4, 2024
- Employees · 4 to 2Feb 14, 2023 to Mar 4, 2024
- HQ city · MANSFIELD to SCOTTSDALEFeb 14, 2023 to Mar 4, 2024
- HQ state · MA to AZFeb 14, 2023 to Mar 4, 2024
- State-registered IARs · 4 to 1Feb 14, 2023 to Mar 4, 2024
- Other offices · 0 to 1Feb 14, 2023 to Mar 4, 2024
- Discretionary RAUM · $757M to $191MFeb 14, 2023 to Mar 4, 2024
- HNW RAUM · $712M to $145MFeb 14, 2023 to Mar 4, 2024
- Individual RAUM · $44.6M to $46.0MFeb 14, 2023 to Mar 4, 2024
- Pension RAUM · unset to 202935.0Feb 14, 2023 to Mar 4, 2024
- RAUM · $757M to $191MFeb 14, 2023 to Mar 4, 2024
- Accounts · 313 to 680Mar 17, 2022 to Feb 14, 2023
- HNW clients · 101 to 91Mar 17, 2022 to Feb 14, 2023
- Individual clients · 212 to 148Mar 17, 2022 to Feb 14, 2023
- Employees · 7 to 4Mar 17, 2022 to Feb 14, 2023
- Other offices · 1 to 0Mar 17, 2022 to Feb 14, 2023
- Discretionary RAUM · $820M to $757MMar 17, 2022 to Feb 14, 2023
- HNW RAUM · $765M to $712MMar 17, 2022 to Feb 14, 2023
Signals
12 dated events
- C•• W••••• M••••••••• L•• reported RAUM $190.9M, down 75% from $757.0M (2023-02-14 to 2024-03-04)Mar 4, 2024 · RAUM change · derived
- James Kevin G••••• (Trustee) appeared on Schedule A of C•• W••••• M••••••••• L••Mar 4, 2024 · Control person joined · fact
- Anthony Louis Della Valle (Owner And Chief Compliance Officer) no longer on Schedule A of C•• W••••• M••••••••• L•• (listed 2023-02-14, absent 2024-03-04)Mar 4, 2024 · Control person left · inference
- L•••• S••••• I••••••• left C•• W••••• M••••••••• L•• for E•••••• E••••• L•• (registered 2024-02-15)Feb 16, 2024 · Advisor changed firm · fact
- M•••••• •••• M•••••••• left C•• W••••• M••••••••• L•• for U•••••• I••••••••• M••••••••• L••••• (registered 2025-10-14)Jan 22, 2024 · Advisor changed firm · fact
- L•••• A•••••• D•••• V•••• left C•• W••••• M••••••••• L•• for D••••• W•••••• L•• (registered 2024-01-02)Jan 18, 2024 · Advisor changed firm · fact
- (Nmn) Maureen Mackowski (Member And Principal) no longer on Schedule A of C•• W••••• M••••••••• L•• (listed 2022-03-17, absent 2023-02-14)Feb 14, 2023 · Control person left · inference
- C•• W••••• M••••••••• L•• reported RAUM $819.6M, up 28% from $642.3M (2021-01-26 to 2022-03-16)Mar 16, 2022 · RAUM change · derived
- C•• W••••• M••••••••• L•• reported RAUM $642.3M, up 27% from $506.5M (2020-05-13 to 2021-01-26)Jan 26, 2021 · RAUM change · derived
- C•• W••••• M••••••••• L•• reported RAUM $506.5M, up 27% from $398.7M (2019-03-13 to 2020-02-14)Feb 14, 2020 · RAUM change · derived
- C•• W••••• M••••••••• L•• reported RAUM $398.7M, up 38% from $289.5M (2018-10-18 to 2019-03-13)Mar 13, 2019 · RAUM change · derived
- C•• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 9, 2017 · 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.
How to reach
public business contact points only, each with its source
- Website
- c••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (646) 222-7440reportedpublic record, Form ADV, Mar 3, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $180Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026