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•••• B••• G•••• W••••• M•••••••••
Legal name C•••••• M••••• S••••••••• L••
Latest filing Mar 28, 2025
First filing on the tape Feb 16, 2017 · 38 filings
SEC status approved since Feb 27, 2017
RAUM
$267M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$240M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$267M as of Mar 28, 2025
Mar 22, 2018$149M then
HNW client RAUM$204M as of Mar 28, 2025
Mar 22, 2018$91.3M then
State-registered IARs (5.B.3)0 as of Mar 28, 2025
Mar 22, 20184 then
Employees (5.A)5 as of Mar 28, 2025
Mar 22, 20184 then
Private funds: no history
RAUM +17% over the last fiscal year+8.2% a year over threeIARs 3 to 0offices 1 to 2
Practice profile
derived from the filing of Mar 28, 2025; 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
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $839,748derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -56%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 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
- High-net-worth individuals$204M76%
- Individuals$36.3M14%
- Charitable organizations$15.2M5.7%
- Corporations and businesses$11.4M4.3%
- Individual clients
- 95reported
- HNW clients
- 44reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 318reported
- 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
Left, latest
- S•••••••• L••• W••• to T•••••• A•••• M••••••••• L••Jul 8, 2025 · RIA to RIA
- T••••• W•••••• P•••••• to A•••••• A••••••• S•••••••Jan 3, 2025 · RIA to affiliated broker-dealer or bank
- H••••• A••• D•••• to R•••• F••••• W•••••Sep 20, 2018 · RIA to a state-registered adviser
Joined, latest
- T••••• W•••••• P•••••• from U•• F•••••••• S••••••• I•••Jan 8, 2021 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• C•••••• L•• · Managing Membercontrolsince 11/2005 · owns 75% or more
- W•••• S••••••••• L••• · Chief Compliance Officersince 01/2023 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Indianapolis, In | 0 | 0 | 0 | ||
| Palm Beach Gardens, Fl · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 328 to 318Mar 12, 2024 to Mar 28, 2025
- Corporate clients · 8 to 3Mar 12, 2024 to Mar 28, 2025
- HNW clients · 138 to 44Mar 12, 2024 to Mar 28, 2025
- Individual clients · 176 to 95Mar 12, 2024 to Mar 28, 2025
- Pension plan clients · 4.0 to unsetMar 12, 2024 to Mar 28, 2025
- State-registered IARs · 3 to 0Mar 12, 2024 to Mar 28, 2025
- Other offices · 1 to 2Mar 12, 2024 to Mar 28, 2025
- Discretionary RAUM · $228M to $266MMar 12, 2024 to Mar 28, 2025
- HNW RAUM · $161M to $204MMar 12, 2024 to Mar 28, 2025
- Individual RAUM · $36.8M to $36.3MMar 12, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $0 to $597,052Mar 12, 2024 to Mar 28, 2025
- Pension RAUM · 5013102.0 to unsetMar 12, 2024 to Mar 28, 2025
- RAUM · $228M to $267MMar 12, 2024 to Mar 28, 2025
- Accounts · 330 to 328Sep 12, 2023 to Mar 12, 2024
- Advisory employees · 3 to 4Sep 12, 2023 to Mar 12, 2024
- Charity clients · 3 to 1Sep 12, 2023 to Mar 12, 2024
- Corporate clients · 4 to 8Sep 12, 2023 to Mar 12, 2024
- HNW clients · 66 to 138Sep 12, 2023 to Mar 12, 2024
- Individual clients · 74 to 176Sep 12, 2023 to Mar 12, 2024
- Pension plan clients · 7 to 4Sep 12, 2023 to Mar 12, 2024
- Discretionary RAUM · $197M to $228MSep 12, 2023 to Mar 12, 2024
- HNW RAUM · $143M to $161MSep 12, 2023 to Mar 12, 2024
- Individual RAUM · $18.2M to $36.8MSep 12, 2023 to Mar 12, 2024
- Pension RAUM · $15.6M to $5.0MSep 12, 2023 to Mar 12, 2024
- RAUM · $197M to $228MSep 12, 2023 to Mar 12, 2024
- Accounts · 327 to 330Jan 5, 2023 to Feb 8, 2023
- HNW clients · 60 to 66Jan 5, 2023 to Feb 8, 2023
- Individual clients · 72 to 74Jan 5, 2023 to Feb 8, 2023
- Pension plan clients · 8 to 7Jan 5, 2023 to Feb 8, 2023
- Financial planning clients · 26-50 to 0Jan 5, 2023 to Feb 8, 2023
- Discretionary RAUM · $211M to $197MJan 5, 2023 to Feb 8, 2023
- HNW RAUM · $143M to $143MJan 5, 2023 to Feb 8, 2023
- Individual RAUM · $30.8M to $18.2MJan 5, 2023 to Feb 8, 2023
- Pension RAUM · $12.9M to $15.6MJan 5, 2023 to Feb 8, 2023
- RAUM · $211M to $197MJan 5, 2023 to Feb 8, 2023
- Accounts · 157 to 327Jan 6, 2022 to Feb 10, 2022
- Advisory employees · 4 to 3Jan 6, 2022 to Feb 10, 2022
- Corporate clients · 3 to 4Jan 6, 2022 to Feb 10, 2022
- HNW clients · 58 to 60Jan 6, 2022 to Feb 10, 2022
- Individual clients · 69 to 72Jan 6, 2022 to Feb 10, 2022
Signals
4 dated events
- A•••• B••• G•••• W••••• M••••••••• no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $267.0M)Aug 1, 2025 · Left the SEC roster · derived
- S•••••••• L••• W••• left A•••• B••• G•••• W••••• M••••••••• for T•••••• A•••• M••••••••• L•• (registered 2024-11-13)Jul 8, 2025 · Advisor changed firm · fact
- T••••• W•••••• P•••••• left A•••• B••• G•••• W••••• M••••••••• for A•••••• A••••••• S••••••• (registered 2025-01-20)Jan 3, 2025 · Advisor changed firm · fact
- C•••••• M••••• S••••••••• L•• D•• A•••• B••• G•••• W••••• M••• filed its initial SEC registration (Form ADV)Feb 16, 2017 · 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