DFX Intelligence

RIA Intelligence

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H•••••• W•••••

No RAUM reportedSEC-registered· New York, New Yorkwebsite

No RAUM reported, based in New York, New York.

Composed from this adviser's Form ADV classification, location and filed figures.

Advisors
0
IAPD
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 299795 · SEC 801-114480 · 24 filingsShow
CRD 299795SEC 801-114480Legal name H•••••• W••••• A••••••• L••First filing on the tape Nov 21, 2018, latest Mar 20, 2026SEC status approved since Jan 30, 2019IAPD
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
11
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape

Filed figures over time · the tape starts Nov 21, 2018

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$0 as of Mar 20, 2026
Jan 2, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2026
Mar 28, 20200 then
Employees (5.A)11 as of Mar 20, 2026
Mar 28, 202012 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 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
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
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
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• S••••• E• · Chief Compliance Officercontrol
        since 10/2022 · owns less than 5%
      • S•••••• D••••• A••••• · Chief Executive Officercontrol
        since 11/2018 · owns less than 5%
      • S•••••• D••••• A••••• · Shareholdercontrol
        since 11/2018 · owns 50% to 75% of M••••••••• I•••
      Entity owners
      • M••••••••• I••• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • H•••••• T•• L••
        insurancen
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • employee count dropChange between filings · filing Mar 20, 2026
        employees (Item 5.A) moved from 19.0 to 11.0 (-42.0%) between the annual amendments of 2025-03-28 and 2026-03-20; the peer median change was 0.0% (103 comparable advisers, 6.0th percentile of changes)
        peers: other advisers, under $100M (103) · 5.9% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Advisory employees · 2 to 1
        Sep 19, 2025 to Mar 20, 2026
      • Employees · 19 to 11
        Sep 19, 2025 to Mar 20, 2026
      • Financial planning clients · unset to
        Mar 28, 2025 to May 28, 2025
      • Employees · 16 to 19
        Feb 6, 2025 to Mar 28, 2025
      • Accounts · unset to 0.0
        Mar 19, 2024 to Jan 2, 2025
      Full history · 17 changes
      • Discretionary RAUM · unset to 0.0
        Mar 19, 2024 to Jan 2, 2025
      • Non-discretionary RAUM · unset to 0.0
        Mar 19, 2024 to Jan 2, 2025
      • RAUM · unset to 0.0
        Mar 19, 2024 to Jan 2, 2025
      • Advisory employees · 5 to 2
        Oct 23, 2023 to Mar 19, 2024
      • Employees · 17 to 16
        Oct 23, 2023 to Mar 19, 2024
      • Employees · 16 to 17
        Nov 8, 2022 to Mar 31, 2023
      • Related insurance company · false to true
        Nov 8, 2022 to Mar 31, 2023
      • Employees · 9 to 16
        Jun 30, 2021 to Mar 24, 2022
      • Employees · 12 to 9
        Jun 30, 2020 to Apr 7, 2021
      • Advisory employees · 4 to 5
        Feb 5, 2019 to Mar 28, 2020
      • Employees · 10 to 12
        Feb 5, 2019 to Mar 28, 2020
      • Advisory employees · 0 to 4
        Nov 21, 2018 to Feb 5, 2019
      Signals
      3 dated events
      • ••• Locked
        Mar 20, 2026 · ria indirect owner change · derived
      • ••• Locked
        Oct 7, 2022 · Control person joined · fact
      • ••• Locked
        Nov 21, 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.
      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 20, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 20, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      No RAUM reportedderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: regulatory AUM, net advisor flow, 12 months, RAUM change, 1 year, private clients.