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•• P•••••• W••••• P•••••••• L••

Former SEC-registered adviserBoca Raton, FloridaCRD 284726SEC 801-108178IAPD
Latest filing Nov 2, 2017
First filing on the tape Jul 20, 2016 · 14 filings
RAUM
$4.7M
reported, Item 5.F
Discretionary
100%
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
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$4.7M as of Nov 2, 2017
Jul 20, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Nov 2, 2017
Jul 20, 20162 then
Employees (5.A)3 as of Nov 2, 2017
Jul 20, 20164 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Nov 2, 2017; every figure names its basis
RAUM per advisor
$4.7MderivedRAUM 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
$204,348derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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 assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
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
23reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • F••••••• M••••••• A••••• · Managing Member, Chief Executive Officer, Chairman Of The Board & Ccocontrol
    since 08/2017 · owns less than 5%
  • M•••••• J•••• D••••• · Managing Member, Presidentcontrol
    since 07/2016 · owns less than 5%
  • B•••• A•••• D••• · Chief Executive Officer, President & Directorcontrol
    since 02/2005 · owns 50% to 75% of I••••••••• P•••••••• C•••••••••, Inc
  • J••••••••• F••••••••• S••••• · Chief Compliance Officer,Treasurer, Secretary & Directorcontrol
    since 02/2005 · owns 25% to 50% of I••••••••• P•••••••• C•••••••••, Inc
  • K•••••••• D••••• R••••• · Vice Presidentcontrol
    since 11/2001 · owns 25% to 50% of I••••••••• P•••••••• C•••••••••, Inc
Entity owners
  • I••••••••• P•••••••• C••••••••• I••• · Managing Director
    direct · owns 75% or more
Related persons
Schedule D 7.A
Advisers that list I•• P•••••• W••••• P•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • BD registered reps · 4 to 3
    Sep 27, 2017 to Nov 2, 2017
  • Employees · 4 to 3
    Sep 27, 2017 to Nov 2, 2017
  • Other offices · unset to 1.0
    Sep 27, 2017 to Nov 2, 2017
  • BD registered reps · 5 to 4
    Aug 21, 2017 to Sep 27, 2017
  • Employees · 6 to 4
    Aug 21, 2017 to Sep 27, 2017
  • Accounts · 0 to 23
    Dec 2, 2016 to Mar 29, 2017
  • Advisory employees · 2 to 1
    Dec 2, 2016 to Mar 29, 2017
  • BD registered reps · 4 to 5
    Dec 2, 2016 to Mar 29, 2017
  • Employees · 5 to 6
    Dec 2, 2016 to Mar 29, 2017
  • State-registered IARs · 2 to 1
    Dec 2, 2016 to Mar 29, 2017
  • Discretionary RAUM · $0 to $4.7M
    Dec 2, 2016 to Mar 29, 2017
  • RAUM · $0 to $4.7M
    Dec 2, 2016 to Mar 29, 2017
  • Related adviser · false to true
    Jul 28, 2016 to Oct 3, 2016
  • Employees · 4 to 5
    Jul 21, 2016 to Jul 26, 2016
  • Financial planning clients · unset to 0
    Jul 20, 2016 to Jul 21, 2016
Signals
1 dated events
  • I•• P•••••• W••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
    Jul 20, 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