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
F•••••• R••• I••••• I••••••••• L••
Latest filing Mar 25, 2019
First filing on the tape Nov 1, 2016 · 7 filings
RAUM
$2.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$2.0M as of Mar 25, 2019
Jan 10, 2017$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 25, 2019
Jan 10, 20171 then
Employees (5.A)3 as of Mar 25, 2019
Jan 10, 20171 then
Private funds: no history
RAUM +284% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Mar 25, 2019; every figure names its basis
- RAUM per advisor
- $678,249derivedRAUM 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
- $101,737derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +284%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$2.0M100%
- Individual clients
- 18reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 20reported
- Financial planning clients
- n/areported
- 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••• G••••••• D••• · President / Chief Compliance Officer / Member / Elected Managercontrolsince 09/2016 · owns 75% or more
Related persons
Schedule D 7.A
- F•••••• R••• I••••••••• C••••••• L••investment adviserLP sponsorn
- G•••••• D• W•••investment advisery
Advisers that list F•••••• R••• I••••• I••••••••• L•• as a related person
- 128729 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 14 to 20Aug 7, 2018 to Mar 25, 2019
- Advisory employees · 2 to 3Aug 7, 2018 to Mar 25, 2019
- Business name · P••••••• I••••• I••••••••• L•• to F•••••• R••• I••••• I••••••••• L••Aug 7, 2018 to Mar 25, 2019
- Individual clients · 10 to 18Aug 7, 2018 to Mar 25, 2019
- Assets in custody · unset to 501201.0Aug 7, 2018 to Mar 25, 2019
- Employees · 2 to 3Aug 7, 2018 to Mar 25, 2019
- Insurance-licensed employees · 2 to 3Aug 7, 2018 to Mar 25, 2019
- State-registered IARs · 2 to 3Aug 7, 2018 to Mar 25, 2019
- Legal name · P••••••• I••••• I••••••••• L•• to F•••••• R••• I••••• I••••••••• L••Aug 7, 2018 to Mar 25, 2019
- Discretionary RAUM · $530,000 to $2.0MAug 7, 2018 to Mar 25, 2019
- Individual RAUM · $530,000 to $2.0MAug 7, 2018 to Mar 25, 2019
- RAUM · $530,000 to $2.0MAug 7, 2018 to Mar 25, 2019
- Accounts · 0 to 14Feb 9, 2017 to Mar 21, 2018
- Individual clients · unset to 10.0Feb 9, 2017 to Mar 21, 2018
- Other offices · unset to 0.0Feb 9, 2017 to Mar 21, 2018
- Discretionary RAUM · $0 to $530,000Feb 9, 2017 to Mar 21, 2018
- Individual RAUM · unset to 530000.0Feb 9, 2017 to Mar 21, 2018
- RAUM · $0 to $530,000Feb 9, 2017 to Mar 21, 2018
- Advisory employees · 0 to 2Jan 10, 2017 to Feb 9, 2017
- Employees · 1 to 2Jan 10, 2017 to Feb 9, 2017
- Insurance-licensed employees · 1 to 2Jan 10, 2017 to Feb 9, 2017
- State-registered IARs · 1 to 2Jan 10, 2017 to Feb 9, 2017
Signals
1 dated events
- P••••••• I••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Nov 1, 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