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
D• W••••• P••••••• L••
Latest filing Mar 2, 2018
First filing on the tape May 19, 2017 · 7 filings
RAUM
$14.5M
reported, Item 5.F
Discretionary
8.5%
of RAUM
Private clients
100%
$14.5M 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
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$14.5M as of Mar 2, 2018
May 19, 2017$0 then
HNW client RAUM$14.5M as of Mar 2, 2018
Mar 2, 2018$14.5M then
State-registered IARs (5.B.3)1 as of Mar 2, 2018
May 19, 20171 then
Employees (5.A)3 as of Mar 2, 2018
May 19, 20171 then
Private funds: no history
Practice profile
derived from the filing of Mar 2, 2018; every figure names its basis
- RAUM per advisor
- $14.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $722,613derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 8.5%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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- yesreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$14.5M100%
- Individual clients
- n/areported
- HNW clients
- 5reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 20reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- D•••• M•••••• D•••• to F••••••Mar 22, 2022 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• D••••• M•••••• · Managing Member, Chief Executive Officercontrolsince 06/2017 · owns 75% or more
- G•••• M••••••• D••• · Member, Chief Operating Officer, Chief Compliance Officercontrolsince 05/2017 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 0 to 20Oct 11, 2017 to Mar 2, 2018
- Advisory activities · 2 to 3Oct 11, 2017 to Mar 2, 2018
- HNW clients · unset to 5.0Oct 11, 2017 to Mar 2, 2018
- Assets in custody · unset to 0.0Oct 11, 2017 to Mar 2, 2018
- Custody of client assets · false to trueOct 11, 2017 to Mar 2, 2018
- Employees · 4 to 3Oct 11, 2017 to Mar 2, 2018
- Discretionary RAUM · $0 to $1.2MOct 11, 2017 to Mar 2, 2018
- HNW RAUM · unset to 14452250.0Oct 11, 2017 to Mar 2, 2018
- Non-discretionary RAUM · $0 to $13.2MOct 11, 2017 to Mar 2, 2018
- RAUM · $0 to $14.5MOct 11, 2017 to Mar 2, 2018
- HQ city · PALM BEACH GARDENS to unsetMar 2, 2018 to Mar 2, 2018
- HQ state · FL to unsetMar 2, 2018 to Mar 2, 2018
- Advisory employees · 2 to 3Jun 13, 2017 to Oct 11, 2017
- Employees · 2 to 4Jun 13, 2017 to Oct 11, 2017
- Other offices · unset to 1.0Jun 13, 2017 to Oct 11, 2017
- Advisory employees · 1 to 2Jun 13, 2017 to Jun 13, 2017
- Employees · 1 to 2Jun 13, 2017 to Jun 13, 2017
- Business name · D• W••••• M••••••••• L•• to D• W••••• P••••••• L••May 19, 2017 to May 31, 2017
- Legal name · D• W••••• M••••••••• L•• to D• W••••• P••••••• L••May 19, 2017 to May 31, 2017
Signals
2 dated events
- D•••• M•••••• D•••• left D• W••••• P••••••• L•• for Farther (registered 2022-01-25)Mar 22, 2022 · Advisor changed firm · fact
- D• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 19, 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