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
W•••••••
Legal name P••••••• A•••••• I•••
Latest filing Mar 30, 2022
First filing on the tape Jul 24, 2019 · 8 filings
RAUM
$1,496
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1,496 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM: $1,496
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2022
Mar 17, 20201 then
Employees (5.A)6 as of Mar 30, 2022
Mar 17, 20201 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2022; every figure names its basis
- RAUM per advisor
- $1,496derivedRAUM 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
- $499derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$1,496100%
- Individual clients
- 3reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- S••••••• T•••••••• to C••••• I••••••••• L••Dec 31, 2022 · RIA to a state-registered adviser
Joined, latest
- S••••••• T•••••••• from W•••• F•••• A•••••••Aug 22, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••••••• S••••••• · Ceo/Chief Compliance Officercontrolsince 01/2019 · owns 75% or more
Related persons
Schedule D 7.A
- C••••• I••••••••• L••investment advisernRAUM $45.1M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · unset to 3.0Mar 18, 2021 to Mar 30, 2022
- Individual clients · unset to 3.0Mar 18, 2021 to Mar 30, 2022
- Discretionary RAUM · unset to 1496.0Mar 18, 2021 to Mar 30, 2022
- Individual RAUM · unset to 1496.0Mar 18, 2021 to Mar 30, 2022
- Non-discretionary RAUM · unset to 0.0Mar 18, 2021 to Mar 30, 2022
- RAUM · unset to 1496.0Mar 18, 2021 to Mar 30, 2022
- Employees · 1 to 6Jun 22, 2020 to Mar 18, 2021
- Business name · P••••••• A•••••• I••• to W•••••••Jun 3, 2020 to Jun 22, 2020
- Insurance-licensed employees · 1 to 0Mar 17, 2020 to Jun 3, 2020
- Accounts · 0.0 to unsetNov 21, 2019 to Mar 17, 2020
- Discretionary RAUM · 0.0 to unsetNov 21, 2019 to Mar 17, 2020
- Non-discretionary RAUM · 0.0 to unsetNov 21, 2019 to Mar 17, 2020
- RAUM · 0.0 to unsetNov 21, 2019 to Mar 17, 2020
- Wrap assets (manager) · 0.0 to unsetJul 24, 2019 to Aug 20, 2019
- Wrap assets (sponsor) · 0.0 to unsetJul 24, 2019 to Aug 20, 2019
Signals
2 dated events
- S••••••• T•••••••• left Wealthup for C••••• I••••••••• L•• (registered 2026-01-01)Dec 31, 2022 · Advisor changed firm · fact
- P••••••• A•••••• I••• filed its initial SEC registration (Form ADV)Jul 24, 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 A••••••deriveda 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