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
A•••• W••••• M•••••••••
Legal name B•••• F••••••••• I•••
Latest filing Mar 25, 2017
First filing on the tape Jun 3, 2016 · 8 filings
RAUM
$273M
reported, Item 5.F
Discretionary
99%
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
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$273M as of Mar 25, 2017
Jun 3, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 25, 2017
Jun 3, 20164 then
Employees (5.A)5 as of Mar 25, 2017
Jun 3, 20164 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 25, 2017; every figure names its basis
- RAUM per advisor
- $91.1MderivedRAUM 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
- $725,048derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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 assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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
- is an insurance broker or agent (6.A.6)
- 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
- 377reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
- J•••• A•• W••• to A••••• A•• P••••••• S•••••••Sep 26, 2016 · Other
Joined, latest
- S••••• L••• B•••• from R•• F•••••••• N••••••Jun 30, 2016 · Other
- J•••• A•• W••• from R•• F•••••••• N••••••Jun 30, 2016 · Other
- S•••• A••• D••••••• from R•• F•••••••• N••••••Jun 30, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from R•• F•••••••• N••••••Sep 30, 2016 · Cedar Falls, Ia
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• S•••••• L••• · President And Ccocontrolsince 06/2016 · owns 75% or more
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 · 319 to 377Feb 14, 2017 to Mar 25, 2017
- Financial planning clients · 0 to 251-500Feb 14, 2017 to Mar 25, 2017
- Discretionary RAUM · $266M to $272MFeb 14, 2017 to Mar 25, 2017
- Non-discretionary RAUM · $49.8M to $1.6MFeb 14, 2017 to Mar 25, 2017
- RAUM · $316M to $273MFeb 14, 2017 to Mar 25, 2017
- State-registered IARs · 4 to 3Jul 22, 2016 to Sep 27, 2016
- Accounts · 0 to 319Jul 22, 2016 to Sep 27, 2016
- Advisory employees · 4 to 3Jul 22, 2016 to Sep 27, 2016
- BD registered reps · 4 to 5Jul 22, 2016 to Sep 27, 2016
- Employees · 4 to 5Jul 22, 2016 to Sep 27, 2016
- Discretionary RAUM · $0 to $266MJul 22, 2016 to Sep 27, 2016
- Non-discretionary RAUM · $0 to $49.8MJul 22, 2016 to Sep 27, 2016
- RAUM · $0 to $316MJul 22, 2016 to Sep 27, 2016
Signals
1 dated events
- A•••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Jun 3, 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