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
I•• W••••• M••••••••• L••
Latest filing Mar 18, 2024
First filing on the tape Dec 5, 2018 · 17 filings
SEC status approved since Nov 15, 2019
RAUM
$109M
reported, Item 5.F
Discretionary
11%
of RAUM
Private clients
16%
$17.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
7 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$109M as of Mar 18, 2024
Mar 31, 2021$150M then
HNW client RAUM$12.0M as of Mar 18, 2024
Mar 15, 2022$9.1M then
State-registered IARs (5.B.3)6 as of Mar 18, 2024
Feb 17, 20201 then
Employees (5.A)9 as of Mar 18, 2024
Feb 17, 20203 then
Private funds: no history
RAUM -20% over the last fiscal year-10% a year over threeIARs 5 to 6offices 0 to 1
Practice profile
derived from the filing of Mar 18, 2024; every figure names its basis
- RAUM per advisor
- $18.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 6derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 11%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -26%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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
- Banks and thrifts$74.7M69%
- Corporations and businesses$16.4M15%
- High-net-worth individuals$12.0M11%
- Individuals$5.5M5.1%
- Pension and profit-sharing plans$354,8040.3%
- Individual clients
- 25reported
- HNW clients
- 10reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 64reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Left, latest
- M•••• E•••••••• L••••• to K•••••• R••••• W•••••• L••Oct 18, 2024 · Other
Joined, latest
- M•••• E•••••••• L••••• from A•••••• I••••••••• I•••Sep 23, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••• R••••• · Chief Compliance Officercontrolsince 01/2022 · owns less than 5%
- S••••••• C••••••• B•••• · Managing Prinicpalcontrolsince 10/2018 · owns less than 5%
- F••••• E••••• G••••••••• L••• · Shareholdercontrolsince 07/2020 · owns 75% or more of I•• B••••••• I•••
Entity owners
- I••••••••• F•••••• B••• · Ownerdirect · owns 75% or more
- I•• B••••••• I••• · Ownerindirect · owns 75% or more of I••••••••• F•••••• B•••
Related persons
Schedule D 7.A
- I•• I•••••••• S•••••••• L••real estaten
- I••••••••• F•••••• B•••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami, Fl · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 77 to 64May 24, 2023 to Mar 18, 2024
- Advisory employees · 5 to 7May 24, 2023 to Mar 18, 2024
- Advisory activities · 2 to 3May 24, 2023 to Mar 18, 2024
- Corporate clients · 15 to 18May 24, 2023 to Mar 18, 2024
- HNW clients · 12 to 10May 24, 2023 to Mar 18, 2024
- Individual clients · 35 to 25May 24, 2023 to Mar 18, 2024
- Employees · 6 to 9May 24, 2023 to Mar 18, 2024
- State-registered IARs · 5 to 6May 24, 2023 to Mar 18, 2024
- Discretionary RAUM · $20.2M to $11.8MMay 24, 2023 to Mar 18, 2024
- HNW RAUM · $17.1M to $12.0MMay 24, 2023 to Mar 18, 2024
- Individual RAUM · $10.2M to $5.5MMay 24, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $116M to $97.2MMay 24, 2023 to Mar 18, 2024
- Pension RAUM · $355,124 to $354,804May 24, 2023 to Mar 18, 2024
- RAUM · $136M to $109MMay 24, 2023 to Mar 18, 2024
- Other offices · 0 to 1Mar 9, 2023 to May 24, 2023
- Accounts · 56 to 77Mar 15, 2022 to Mar 9, 2023
- Advisory employees · 3 to 5Mar 15, 2022 to Mar 9, 2023
- BD registered reps · 1 to 2Mar 15, 2022 to Mar 9, 2023
- Corporate clients · 18 to 15Mar 15, 2022 to Mar 9, 2023
- HNW clients · 4 to 12Mar 15, 2022 to Mar 9, 2023
- Individual clients · 33 to 35Mar 15, 2022 to Mar 9, 2023
- Employees · 4 to 6Mar 15, 2022 to Mar 9, 2023
- State-registered IARs · 3 to 5Mar 15, 2022 to Mar 9, 2023
- Discretionary RAUM · $21.7M to $20.2MMar 15, 2022 to Mar 9, 2023
- HNW RAUM · $9.1M to $17.1MMar 15, 2022 to Mar 9, 2023
- Individual RAUM · $7.8M to $10.2MMar 15, 2022 to Mar 9, 2023
- Non-discretionary RAUM · $89.5M to $116MMar 15, 2022 to Mar 9, 2023
- Pension RAUM · unset to 355124.0Mar 15, 2022 to Mar 9, 2023
- RAUM · $111M to $136MMar 15, 2022 to Mar 9, 2023
- Accounts · 17 to 56Sep 2, 2021 to Mar 15, 2022
- Advisory employees · 5 to 3Sep 2, 2021 to Mar 15, 2022
- Advisory activities · 3 to 2Sep 2, 2021 to Mar 15, 2022
- BD registered reps · 2 to 1Sep 2, 2021 to Mar 15, 2022
- Corporate clients · 3 to 18Sep 2, 2021 to Mar 15, 2022
- HNW clients · unset to 4.0Sep 2, 2021 to Mar 15, 2022
- Individual clients · 13 to 33Sep 2, 2021 to Mar 15, 2022
- Employees · 6 to 4Sep 2, 2021 to Mar 15, 2022
- State-registered IARs · 5 to 3Sep 2, 2021 to Mar 15, 2022
- Discretionary RAUM · $3.4M to $21.7MSep 2, 2021 to Mar 15, 2022
- HNW RAUM · unset to 9083566.0Sep 2, 2021 to Mar 15, 2022
Signals
5 dated events
- I•• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $108.9M)Feb 3, 2025 · Left the SEC roster · derived
- M•••• E•••••••• L••••• left I•• W••••• M••••••••• L•• for K•••••• R••••• W•••••• L•• (registered 2025-05-01)Oct 18, 2024 · Advisor changed firm · fact
- Q M•••• Dewitt (Chief Compliance Officer) no longer on Schedule A of I•• W••••• M••••••••• L•• (listed 2021-09-02, absent 2022-03-15)Mar 15, 2022 · Control person left · inference
- R••••• Mas (Chief Compliance Officer) appeared on Schedule A of I•• W••••• M••••••••• L••Mar 15, 2022 · Control person joined · fact
- I•• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 5, 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