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

G••••••••• W••••• P••••••• L••

Former SEC-registered adviserSarasota, FloridaCRD 294608SEC 801-112852IAPD
Latest filing Apr 21, 2022
First filing on the tape Mar 16, 2018 · 11 filings
RAUM
$4.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$4.7M 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
11 filings and snapshots on the tape
RAUM$4.7M as of Apr 21, 2022
Feb 28, 2019$132M then
HNW client RAUM$0 as of Apr 21, 2022
Feb 28, 2019$108M then
State-registered IARs (5.B.3)3 as of Apr 21, 2022
Feb 28, 20193 then
Employees (5.A)3 as of Apr 21, 2022
Feb 28, 20193 then
Private funds: no history
RAUM -97% over the last fiscal year-67% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 21, 2022; every figure names its basis
RAUM per advisor
$1.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
1derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$587,500derivedRAUM 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
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-97%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-97%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$1.1M, 3 clientsreportedItem 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$4.7M100%
Individual clients
4reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.1M for 3 clientsreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • L••••• K••••• M• · Chief Compliance Officercontrol
    since 03/2018 · owns 10% to 25%
  • L••••• R•••••• E••••• · Managing Membercontrol
    since 06/2016 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Boca Raton, FL1 employees
What changed
consecutive filings, newest first
  • Accounts · 428 to 8
    Feb 19, 2021 to Apr 21, 2022
  • HNW clients · 49 to 0
    Feb 19, 2021 to Apr 21, 2022
  • Individual clients · 87 to 4
    Feb 19, 2021 to Apr 21, 2022
  • Discretionary RAUM · $165M to $4.7M
    Feb 19, 2021 to Apr 21, 2022
  • HNW RAUM · $134M to $0
    Feb 19, 2021 to Apr 21, 2022
  • Individual RAUM · $31.4M to $4.7M
    Feb 19, 2021 to Apr 21, 2022
  • RAUM · $165M to $4.7M
    Feb 19, 2021 to Apr 21, 2022
  • Accounts · 417 to 428
    Jun 29, 2020 to Feb 19, 2021
  • HNW clients · 46 to 49
    Jun 29, 2020 to Feb 19, 2021
  • Discretionary RAUM · $161M to $165M
    Jun 29, 2020 to Feb 19, 2021
  • HNW RAUM · $135M to $134M
    Jun 29, 2020 to Feb 19, 2021
  • Individual RAUM · $25.9M to $31.4M
    Jun 29, 2020 to Feb 19, 2021
  • RAUM · $161M to $165M
    Jun 29, 2020 to Feb 19, 2021
  • Accounts · 382 to 417
    Apr 1, 2019 to Feb 27, 2020
  • HNW clients · 38 to 46
    Apr 1, 2019 to Feb 27, 2020
  • Individual clients · 78 to 87
    Apr 1, 2019 to Feb 27, 2020
  • Assets in custody · $36.3M to $1.1M
    Apr 1, 2019 to Feb 27, 2020
  • Insurance-licensed employees · 0 to 2
    Apr 1, 2019 to Feb 27, 2020
  • Other offices · 0 to 1
    Apr 1, 2019 to Feb 27, 2020
  • Discretionary RAUM · $132M to $161M
    Apr 1, 2019 to Feb 27, 2020
  • HNW RAUM · $108M to $135M
    Apr 1, 2019 to Feb 27, 2020
  • Individual RAUM · $23.9M to $25.9M
    Apr 1, 2019 to Feb 27, 2020
  • RAUM · $132M to $161M
    Apr 1, 2019 to Feb 27, 2020
  • Accounts · 365 to 382
    Jun 19, 2018 to Feb 28, 2019
  • HNW clients · 35 to 38
    Jun 19, 2018 to Feb 28, 2019
  • Assets in custody · $28.8M to $36.3M
    Jun 19, 2018 to Feb 28, 2019
  • Insurance-licensed employees · 2 to 0
    Jun 19, 2018 to Feb 28, 2019
  • Discretionary RAUM · $134M to $132M
    Jun 19, 2018 to Feb 28, 2019
  • HNW RAUM · $107M to $108M
    Jun 19, 2018 to Feb 28, 2019
  • Individual RAUM · $26.8M to $23.9M
    Jun 19, 2018 to Feb 28, 2019
  • RAUM · $134M to $132M
    Jun 19, 2018 to Feb 28, 2019
  • Accounts · 0 to 365
    Apr 9, 2018 to Jun 19, 2018
  • HNW clients · 0 to 35
    Apr 9, 2018 to Jun 19, 2018
  • Individual clients · 0 to 78
    Apr 9, 2018 to Jun 19, 2018
  • Assets in custody · unset to 28750000.0
    Apr 9, 2018 to Jun 19, 2018
  • Custody of client assets · false to true
    Apr 9, 2018 to Jun 19, 2018
  • Insurance-licensed employees · 0 to 2
    Apr 9, 2018 to Jun 19, 2018
  • Discretionary RAUM · $0 to $134M
    Apr 9, 2018 to Jun 19, 2018
  • HNW RAUM · $0 to $107M
    Apr 9, 2018 to Jun 19, 2018
  • Individual RAUM · $0 to $26.8M
    Apr 9, 2018 to Jun 19, 2018
Signals
5 dated events
  • K•••• M• L•••• left G••••••••• W••••• P••••••• L•• for O••••••••• (registered 2025-12-18)
    Dec 1, 2022 · Advisor changed firm · fact
  • 2 advisors left G••••••••• W••••• P••••••• L•• (Sarasota, FL) for O••••••••• on the same day
    Dec 1, 2022 · Team lift-out · derived
  • R••••• E••••• L•••• left G••••••••• W••••• P••••••• L•• for O••••••••• (registered 2025-12-15)
    Dec 1, 2022 · Advisor changed firm · fact
  • G••••••••• W••••• P••••••• L•• reported RAUM $4.7M, down 97% from $165.2M (2021-02-19 to 2022-04-21)
    Apr 21, 2022 · RAUM change · derived
  • G••••••••• W••••• P••••••• L•• filed its initial SEC registration (Form ADV)
    Mar 16, 2018 · 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