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
F•••••••• W••••• M•••••••••
Legal name F•••••••• W••••• M••••••••• I•••
Latest filing Feb 27, 2025
First filing on the tape Oct 17, 2018 · 14 filings
SEC status approved since Nov 19, 2018
RAUM
$246M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
100%
$246M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$246M as of Feb 27, 2025
Mar 12, 2019$119M then
HNW client RAUM$218M as of Feb 27, 2025
Mar 12, 2019$97.5M then
State-registered IARs (5.B.3)3 as of Feb 27, 2025
Mar 12, 20193 then
Employees (5.A)4 as of Feb 27, 2025
Mar 12, 20194 then
Private funds: no history
RAUM +10% over the last fiscal year+4.6% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 27, 2025; every figure names its basis
- RAUM per advisor
- $82.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $595,109derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $219MreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$218M89%
- Individuals$28.3M11%
- Individual clients
- 73reported
- HNW clients
- 54reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 414reported
- 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
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
- A•••••• R•••• C•••••• to W•••••• A•••••••• L••Mar 16, 2026 · RIA to RIA
- A••••• R••••• R••••• to W•••••• A•••••••• L••Mar 16, 2026 · RIA to RIA
- C••• A••• S•••••• to W•••••• A•••••••• L••Mar 16, 2026 · RIA to RIA
Joined, latest
- A•••••• R•••• C•••••• from C•••••• C••••••• L••Dec 1, 2020 · Other
- C••• A••• S•••••• from W•••• F•••• A•••••••Jan 12, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for W•••••• A•••••••• L••Mar 16, 2026 · Malvern, Pa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• A••••••• R•••• · Presidentcontrolsince 12/2020 · owns less than 5%
- S••••••• C•••• A••• · Chief Executive Officer/Chief Investment Officercontrolsince 09/2018 · owns 75% or more
- R•••••• A•••••• R••••• · Chief Compliance Officersince 01/2024 · 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 |
|---|---|---|---|---|---|
| Malvern, Pa · principal | 0 | 0 | 3 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 405 to 414Feb 5, 2024 to Feb 27, 2025
- HNW clients · 53 to 54Feb 5, 2024 to Feb 27, 2025
- Individual clients · 71 to 73Feb 5, 2024 to Feb 27, 2025
- Financial planning clients · 0 to 0Feb 5, 2024 to Feb 27, 2025
- Discretionary RAUM · $198M to $226MFeb 5, 2024 to Feb 27, 2025
- HNW RAUM · $197M to $218MFeb 5, 2024 to Feb 27, 2025
- Individual RAUM · $26.8M to $28.3MFeb 5, 2024 to Feb 27, 2025
- Non-discretionary RAUM · $25.0M to $20.8MFeb 5, 2024 to Feb 27, 2025
- RAUM · $223M to $246MFeb 5, 2024 to Feb 27, 2025
- Accounts · 396 to 405Mar 3, 2023 to Feb 5, 2024
- HNW clients · 75 to 53Mar 3, 2023 to Feb 5, 2024
- Individual clients · 49 to 71Mar 3, 2023 to Feb 5, 2024
- Discretionary RAUM · $179M to $198MMar 3, 2023 to Feb 5, 2024
- HNW RAUM · $170M to $197MMar 3, 2023 to Feb 5, 2024
- Individual RAUM · $29.2M to $26.8MMar 3, 2023 to Feb 5, 2024
- Non-discretionary RAUM · $19.9M to $25.0MMar 3, 2023 to Feb 5, 2024
- RAUM · $199M to $223MMar 3, 2023 to Feb 5, 2024
- Accounts · 416 to 396Feb 15, 2022 to Mar 3, 2023
- Corporate clients · 1.0 to unsetFeb 15, 2022 to Mar 3, 2023
- HNW clients · 65 to 75Feb 15, 2022 to Mar 3, 2023
- Individual clients · 87 to 49Feb 15, 2022 to Mar 3, 2023
- Discretionary RAUM · $191M to $179MFeb 15, 2022 to Mar 3, 2023
- HNW RAUM · $81.2M to $170MFeb 15, 2022 to Mar 3, 2023
- Individual RAUM · $133M to $29.2MFeb 15, 2022 to Mar 3, 2023
- Non-discretionary RAUM · $23.9M to $19.9MFeb 15, 2022 to Mar 3, 2023
- RAUM · $215M to $199MFeb 15, 2022 to Mar 3, 2023
- Accounts · 432 to 416Nov 3, 2021 to Feb 15, 2022
- Advisory employees · 5 to 3Nov 3, 2021 to Feb 15, 2022
- HNW clients · 46 to 65Nov 3, 2021 to Feb 15, 2022
- Individual clients · 74 to 87Nov 3, 2021 to Feb 15, 2022
- Employees · 6 to 4Nov 3, 2021 to Feb 15, 2022
- State-registered IARs · 5 to 3Nov 3, 2021 to Feb 15, 2022
- Discretionary RAUM · $138M to $191MNov 3, 2021 to Feb 15, 2022
- HNW RAUM · $132M to $81.2MNov 3, 2021 to Feb 15, 2022
- Individual RAUM · $24.9M to $133MNov 3, 2021 to Feb 15, 2022
- Non-discretionary RAUM · $18.7M to $23.9MNov 3, 2021 to Feb 15, 2022
- RAUM · $157M to $215MNov 3, 2021 to Feb 15, 2022
- Employees · 7 to 6Feb 9, 2021 to Apr 6, 2021
- Accounts · 409 to 432Jun 10, 2020 to Feb 9, 2021
- Advisory employees · 4 to 5Jun 10, 2020 to Feb 9, 2021
Signals
7 dated events
- F•••••••• W••••• M••••••••• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $246.4M)Apr 1, 2026 · Left the SEC roster · derived
- A••••• R••••• R••••• left F•••••••• W••••• M••••••••• for W•••••• A•••••••• L•• (registered 2025-12-05)Mar 16, 2026 · Advisor changed firm · fact
- C••• A••• S•••••• left F•••••••• W••••• M••••••••• for W•••••• A•••••••• L•• (registered 2025-12-05)Mar 16, 2026 · Advisor changed firm · fact
- A•••••• R•••• C•••••• left F•••••••• W••••• M••••••••• for W•••••• A•••••••• L•• (registered 2025-12-05)Mar 16, 2026 · Advisor changed firm · fact
- F•••••••• W••••• M•••••••••'s advisors moved to W•••••• A•••••••• L•• (Malvern, PA): 3 of 3 registered, on the same dayMar 16, 2026 · Firm absorbed (people side) · derived
- Konstantinovich Alexander Chernukha (Chief Operating Officer) no longer on Schedule A of F•••••••• W••••• M••••••••• (listed 2021-02-09, absent 2021-04-06)Apr 6, 2021 · Control person left · inference
- F•••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Oct 17, 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