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

A•• W••••• M••••••••• L••

Former SEC-registered adviserHagatna, GUCRD 304304SEC 801-116866IAPD
Latest filing Apr 20, 2021
First filing on the tape May 29, 2019 · 10 filings
RAUM
$50.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$47.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$50.0M as of Mar 25, 2021
Mar 16, 2020$440M then
HNW client RAUM$25.7M as of Mar 25, 2021
Mar 16, 2020$10.7M then
State-registered IARs (5.B.3)3 as of Mar 25, 2021
Mar 16, 20203 then
Employees (5.A)7 as of Mar 25, 2021
Mar 16, 20207 then
Private funds: no history
RAUM -89% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Apr 20, 2021; every figure names its basis
RAUM per advisor
$16.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
64derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$558,634derivedHNW RAUM over HNW clients
Average account
$164,076derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-89%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+566%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • the adviser acts as qualified custodian (9.D.1)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$25.7M51%
  • Individuals$21.5M43%
  • Corporations and businesses$2.8M5.6%
Individual clients
147reported
HNW clients
46reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
305reported
Financial planning clients
0reported
Wrap fee programs
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S••••• F••••••••• B••• · Executive Vice Presidentcontrol
    since 04/2019 · owns less than 5%
  • J•••• D••••• J••••• · Shareholder/Presidentcontrol
    since 06/2017 · owns 50% to 75% of A•• T•••• L••
  • C••••• D•••••• H••••• · Executive Vice President/Chief Compliance Officer
    since 04/2019 · owns less than 5%
  • J•••• D••••• J••••• · President
    since 04/2019 · owns less than 5%
Entity owners
  • A•• T•••• L•• · Shareholder
    direct · owns 75% or more
  • B••• G••• H•••••• C•••••• · Shareholder
    indirect · owns 25% to 50% of A•• T•••• L••
Related persons
Schedule D 7.A
  • A•• T••••• L••
    LP sponsorcustodiany
  • B••• G••• H•••••• C••••••
    y
  • L••••• W••••• M••••••••• I•••
    real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 36 to 305
    Jan 13, 2021 to Mar 25, 2021
  • Advisory activities · 3 to 2
    Jan 13, 2021 to Mar 25, 2021
  • Corporate clients · unset to 3.0
    Jan 13, 2021 to Mar 25, 2021
  • HNW clients · 23 to 46
    Jan 13, 2021 to Mar 25, 2021
  • Individual clients · 6 to 147
    Jan 13, 2021 to Mar 25, 2021
  • Pooled vehicle clients · 1.0 to unset
    Jan 13, 2021 to Mar 25, 2021
  • Insurance-licensed employees · 1 to 0
    Jan 13, 2021 to Mar 25, 2021
  • Discretionary RAUM · $11.9M to $50.0M
    Jan 13, 2021 to Mar 25, 2021
  • HNW RAUM · $10.7M to $25.7M
    Jan 13, 2021 to Mar 25, 2021
  • Individual RAUM · $1.2M to $21.5M
    Jan 13, 2021 to Mar 25, 2021
  • Non-discretionary RAUM · $428M to $0
    Jan 13, 2021 to Mar 25, 2021
  • Pooled vehicle RAUM · 427651470.0 to unset
    Jan 13, 2021 to Mar 25, 2021
  • RAUM · $440M to $50.0M
    Jan 13, 2021 to Mar 25, 2021
  • Accounts · 5 to 36
    Oct 22, 2019 to Mar 16, 2020
  • Advisory employees · 2 to 3
    Oct 22, 2019 to Mar 16, 2020
  • HNW clients · unset to 23.0
    Oct 22, 2019 to Mar 16, 2020
  • Individual clients · unset to 6.0
    Oct 22, 2019 to Mar 16, 2020
  • Employees · 4 to 7
    Oct 22, 2019 to Mar 16, 2020
  • Insurance-licensed employees · 0 to 1
    Oct 22, 2019 to Mar 16, 2020
  • State-registered IARs · 0 to 3
    Oct 22, 2019 to Mar 16, 2020
  • Discretionary RAUM · $2.6M to $11.9M
    Oct 22, 2019 to Mar 16, 2020
  • HNW RAUM · $2.6M to $10.7M
    Oct 22, 2019 to Mar 16, 2020
  • Individual RAUM · unset to 1169850.0
    Oct 22, 2019 to Mar 16, 2020
  • Non-discretionary RAUM · $394M to $428M
    Oct 22, 2019 to Mar 16, 2020
  • Pooled vehicle RAUM · $394M to $428M
    Oct 22, 2019 to Mar 16, 2020
  • RAUM · $397M to $440M
    Oct 22, 2019 to Mar 16, 2020
  • Accounts · 0 to 5
    Aug 15, 2019 to Oct 22, 2019
  • Pooled vehicle clients · unset to 1.0
    Aug 15, 2019 to Oct 22, 2019
  • Discretionary RAUM · $0 to $2.6M
    Aug 15, 2019 to Oct 22, 2019
  • HNW RAUM · unset to 2624902.0
    Aug 15, 2019 to Oct 22, 2019
  • Non-discretionary RAUM · $0 to $394M
    Aug 15, 2019 to Oct 22, 2019
  • Pooled vehicle RAUM · unset to 393921416.0
    Aug 15, 2019 to Oct 22, 2019
  • RAUM · $0 to $397M
    Aug 15, 2019 to Oct 22, 2019
  • Financial planning clients · unset to 0
    May 29, 2019 to Aug 15, 2019
Signals
2 dated events
  • A•• W••••• M••••••••• L•• reported RAUM $50.0M, down 89% from $439.6M (2021-01-13 to 2021-03-25)
    Mar 25, 2021 · RAUM change · derived
  • A•• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    May 29, 2019 · 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