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
W••••••••• F•••••••• M••••••••• L••
Latest filing Jun 6, 2018
First filing on the tape Aug 1, 2017 · 17 filings
RAUM
$79.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$75.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$79.8M as of Jun 6, 2018
Aug 1, 2017$0 then
HNW client RAUM$21.0M as of Jun 6, 2018
Dec 14, 2017$21.0M then
State-registered IARs (5.B.3)5 as of Jun 6, 2018
Aug 1, 20175 then
Employees (5.A)5 as of Jun 6, 2018
Aug 1, 20175 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 6, 2018; every figure names its basis
- RAUM per advisor
- $16.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 106derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $149,433derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 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 fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $79.8MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$54.9M69%
- High-net-worth individuals$21.0M26%
- Pension and profit-sharing plans$3.9M4.9%
- Individual clients
- 515reported
- HNW clients
- 17reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 534reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- 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
- B•••• M••••• F•••••• to C••••••• W••••• A•••••••• L••Aug 17, 2020 · RIA to RIA
- G•••••• D•••••• D•••••• to O••••••••• W••••• M••••••••• L••Jan 16, 2019 · Other
Joined, latest
- B•••• M••••• F•••••• from M••••• S••••••Mar 18, 2019 · Wirehouse to independent RIA
- G•••••• D•••••• D•••••• from A•••••• A••••••• S•••••••Sep 1, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• C••••• B••• · Managing Membercontrolsince 09/2017 · owns 50% to 75%
- H••••• M••••••• B••• · Managing Member & Chief Compliance Officercontrolsince 09/2017 · owns 50% to 75%
- D••••••• G••••••• D•••••• · Chief Investment Officersince 09/2017 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Mesa, AZ1 employees
What changed
consecutive filings, newest first
- Related insurance company · false to trueMay 23, 2018 to May 30, 2018
- Accounts · 0 to 534Sep 1, 2017 to Dec 14, 2017
- HNW clients · unset to 17.0Sep 1, 2017 to Dec 14, 2017
- Individual clients · unset to 515.0Sep 1, 2017 to Dec 14, 2017
- Other offices · unset to 1.0Sep 1, 2017 to Dec 14, 2017
- Discretionary RAUM · $0 to $79.8MSep 1, 2017 to Dec 14, 2017
- HNW RAUM · unset to 21000000.0Sep 1, 2017 to Dec 14, 2017
- Individual RAUM · unset to 54897340.0Sep 1, 2017 to Dec 14, 2017
- Pension RAUM · unset to 3900000.0Sep 1, 2017 to Dec 14, 2017
- RAUM · $0 to $79.8MSep 1, 2017 to Dec 14, 2017
- Wrap assets (manager) · unset to 0.0Sep 1, 2017 to Dec 14, 2017
- Wrap assets (sponsor) · unset to 0.0Sep 1, 2017 to Dec 14, 2017
- Advisory activities · 4 to 5Aug 1, 2017 to Sep 1, 2017
Signals
1 dated events
- W••••••••• F•••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 1, 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