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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C•••• P••••••••• L•••

Former SEC-registered adviserCRD 285775SEC 801-108661IAPD
Latest filing May 9, 2018
First filing on the tape Nov 7, 2016 · 8 filings
RAUM
$250,000
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$250,000 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
0 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM: $250,000
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 9, 2018
Mar 9, 20170 then
Employees (5.A)3 as of May 9, 2018
Mar 9, 20175 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 9, 2018; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$25,000derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 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, subscription, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, publications, educational seminars, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$250,000100%
Individual clients
10reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
10reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • T•••••••• S•••••• D•••••• · Founder, Chairman, Ccocontrol
        since 12/2016 · owns 50% to 75%
      • M•••••• R•••• · Director
        since 12/2016 · owns 10% to 25%
      • M•••••• B••••••• N••• · Chief Operating Officer
        since 12/2016 · owns 10% to 25%
      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 · unset to 10.0
        Mar 28, 2018 to May 9, 2018
      • Discretionary RAUM · unset to 0.0
        Mar 28, 2018 to May 9, 2018
      • Non-discretionary RAUM · unset to 250000.0
        Mar 28, 2018 to May 9, 2018
      • RAUM · unset to 250000.0
        Mar 28, 2018 to May 9, 2018
      • Advisory activities · 2 to 4
        Mar 9, 2017 to Mar 28, 2018
      • Individual clients · unset to 10.0
        Mar 9, 2017 to Mar 28, 2018
      • Employees · 5 to 3
        Mar 9, 2017 to Mar 28, 2018
      • Other offices · unset to 1.0
        Mar 9, 2017 to Mar 28, 2018
      • Individual RAUM · unset to 250000.0
        Mar 9, 2017 to Mar 28, 2018
      • Financial planning clients · unset to 0
        Jan 17, 2017 to Mar 9, 2017
      • Business name · W•••••• I••••••• L•••••• to C•••• P••••••••• L•••
        Jan 10, 2017 to Jan 17, 2017
      • Legal name · W•••••• I••••••• L•••••• SA to C•••• P••••••••• L•••
        Jan 10, 2017 to Jan 17, 2017
      • Succession · true to false
        Dec 7, 2016 to Jan 10, 2017
      • Succession · false to true
        Dec 6, 2016 to Dec 7, 2016
      • Organization form · Limited Liability Company to Corporation
        Nov 7, 2016 to Dec 6, 2016
      Signals
      2 dated events
      • W•••••• I••••••• L•••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Dec 7, 2016 · Succession (Item 4) · fact
      • W•••••• I••••••• L•••••• filed its initial SEC registration (Form ADV)
        Nov 7, 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