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
T•• W••••• M••••••••• L••
Latest filing Jul 21, 2026
First filing on the tape Mar 5, 2019 · 24 filings
SEC status approved since Apr 2, 2019
RAUM
$175M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$174M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$35.1M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$175M as of Jul 21, 2026
Feb 13, 2020$118M then
HNW client RAUM$161M as of Jul 21, 2026
Feb 13, 2020$112M then
State-registered IARs (5.B.3)5 as of Jul 21, 2026
Feb 13, 20205 then
Employees (5.A)5 as of Jul 21, 2026
Feb 13, 20205 then
Private funds: no history
RAUM +0.3% over the last fiscal year+11% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Jul 21, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $35.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $890,795derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +20%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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
- High-net-worth individuals$161M92%
- Individuals$12.3M7.0%
- Corporations and businesses$1.6M0.9%
- Pension and profit-sharing plans$321,3050.2%
- Individual clients
- 84reported
- HNW clients
- 34reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 197reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• L•• V••••••• | Indian Rocks Beach, Fl | Aug 9, 2016 | 43 y | 2 |
| J•••• L•• V••••••• | Indian Rocks Beach, Fl | Jan 3, 2020 | 10 y | 0 |
| M•••• V••••••• A•••••Certified Financial Planner | Indian Rocks Beach, Fl | Jan 29, 2020 | 10 y | 0 |
| D•••• T••••• A•••••Certified Financial Planner | Indian Rocks Beach, Fl | Jan 31, 2025 | 11 y | 1 |
| J••••• R• A••••••• | Omaha, Ne | Mar 30, 2026 | 10 y | 0 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- D•••• L•• V••••••• from V•• A••••••• S•••••••Aug 9, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V•••••••• D••••• L•• · Member/Chief Compliance Officercontrolsince 07/2016 · owns 75% or more
- A•••••• M••••• M•••• · Membersince 01/2023 · owns 10% to 25%
- M••••••••• M••••••• C•••••• · Membersince 10/2017 · owns less than 5%
- V•••••••• J••••• L•• · Membersince 07/2016 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Indian Rocks Beach, Fl | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Hayward, WI1 employees
What changed
consecutive filings, newest first
- Accounts · 163 to 197Apr 24, 2025 to Jan 31, 2026
- Advisory employees · 3 to 4Apr 24, 2025 to Jan 31, 2026
- HNW clients · 31 to 34Apr 24, 2025 to Jan 31, 2026
- Individual clients · 67 to 84Apr 24, 2025 to Jan 31, 2026
- State-registered IARs · 4 to 5Apr 24, 2025 to Jan 31, 2026
- Discretionary RAUM · $175M to $175MApr 24, 2025 to Jan 31, 2026
- HNW RAUM · $165M to $161MApr 24, 2025 to Jan 31, 2026
- Individual RAUM · $8.3M to $12.3MApr 24, 2025 to Jan 31, 2026
- Pension RAUM · unset to 321305.0Apr 24, 2025 to Jan 31, 2026
- RAUM · $175M to $175MApr 24, 2025 to Jan 31, 2026
- Financial planning clients · unset to Feb 14, 2025 to Apr 24, 2025
- Accounts · 160 to 163Feb 13, 2024 to Feb 14, 2025
- HNW clients · 26 to 31Feb 13, 2024 to Feb 14, 2025
- Individual clients · 72 to 67Feb 13, 2024 to Feb 14, 2025
- Employees · 4 to 5Feb 13, 2024 to Feb 14, 2025
- HQ city · unset to Feb 13, 2024 to Feb 14, 2025
- HQ state · unset to Feb 13, 2024 to Feb 14, 2025
- Discretionary RAUM · $144M to $175MFeb 13, 2024 to Feb 14, 2025
- HNW RAUM · $131M to $165MFeb 13, 2024 to Feb 14, 2025
- Individual RAUM · $11.7M to $8.3MFeb 13, 2024 to Feb 14, 2025
- RAUM · $144M to $175MFeb 13, 2024 to Feb 14, 2025
- Accounts · 144 to 160Sep 1, 2023 to Feb 13, 2024
- Advisory activities · 1 to 2Sep 1, 2023 to Feb 13, 2024
- Individual clients · 59 to 72Sep 1, 2023 to Feb 13, 2024
- State-registered IARs · 3 to 4Sep 1, 2023 to Feb 13, 2024
- Discretionary RAUM · $127M to $144MSep 1, 2023 to Feb 13, 2024
- HNW RAUM · $119M to $131MSep 1, 2023 to Feb 13, 2024
- Individual RAUM · $6.3M to $11.7MSep 1, 2023 to Feb 13, 2024
- RAUM · $127M to $144MSep 1, 2023 to Feb 13, 2024
- Accounts · 119 to 144Sep 7, 2022 to Mar 7, 2023
- Individual clients · 43 to 59Sep 7, 2022 to Mar 7, 2023
- Employees · 5 to 4Sep 7, 2022 to Mar 7, 2023
- State-registered IARs · 5 to 3Sep 7, 2022 to Mar 7, 2023
- Discretionary RAUM · $190M to $127MSep 7, 2022 to Mar 7, 2023
- HNW RAUM · $182M to $119MSep 7, 2022 to Mar 7, 2023
- Individual RAUM · $7.8M to $6.3MSep 7, 2022 to Mar 7, 2023
- RAUM · $190M to $127MSep 7, 2022 to Mar 7, 2023
- Accounts · 102 to 119Mar 29, 2021 to Feb 4, 2022
- Advisory employees · 2 to 3Mar 29, 2021 to Feb 4, 2022
- HNW clients · 21 to 26Mar 29, 2021 to Feb 4, 2022
Signals
1 dated events
- T•• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 5, 2019 · 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
- Business email
- i•••@t••.moneyreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 501-607-0765reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- t••.moneyreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 402-599-9568reportedpublic record, Form ADV, Jul 21, 2026
- Team page
- t••.moneyreportedpublished by the firm, firm site, Sep 16, 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
- $35.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026