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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
F••••• Y•• W•••••
Legal name F••••• Y•• W••••• L••
Latest filing Apr 15, 2025
First filing on the tape Oct 14, 2021 · 16 filings
SEC status approved since Nov 16, 2021
RAUM
$178M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$177M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$178M as of Apr 15, 2025
Jan 10, 2022$46.2M then
HNW client RAUM$110M as of Apr 15, 2025
Jan 10, 2022$29.9M then
State-registered IARs (5.B.3)4 as of Apr 15, 2025
Jan 10, 20221 then
Employees (5.A)4 as of Apr 15, 2025
Jan 10, 20221 then
Private funds: no history
RAUM +76% over the last fiscal year+57% a year over threeIARs 2 to 4
Practice profile
derived from the filing of Apr 15, 2025; every figure names its basis
- RAUM per advisor
- $44.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $198,835derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +76%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +37%derived
- Compensation
- percentage of assetsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$110M62%
- Individuals$66.7M38%
- Charitable organizations$1.2M0.7%
- Individual clients
- 258reported
- HNW clients
- 57reported
- Pension plan clients
- 0reported
- Charitable clients
- 3reported
- Accounts
- 894reported
- Financial planning clients
- 251-500reported
- 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
- D••••• R••• S••••••• to N••••••••• W••••• P•••••••• L••Jul 31, 2025 · RIA to RIA
- W•••••• A•••••• T••••••••• to N••••••••• W••••• P•••••••• L••Jul 31, 2025 · RIA to RIA
- J•••• T•••••• B•••••• to N••••••••• W••••• P•••••••• L••Jul 31, 2025 · RIA to RIA
- L••••• D•••• S••••••• to N••••••••• W••••• P•••••••• L••Jul 31, 2025 · RIA to RIA
Joined, latest
- D••••• R••• S••••••• from C•••••• B••• A•• T•••• C••••••Oct 7, 2020 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for N••••••••• W••••• P•••••••• L••Jul 31, 2025 · New York, Ny · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• D•••••• R••• · Foundercontrolsince 10/2019 · owns 75% or more
- S•••••••• L•••••• D•••• · Chief Compliance Officercontrolsince 08/2024 · 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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 485 to 894Dec 2, 2024 to Jan 29, 2025
- Charity clients · 2 to 3Dec 2, 2024 to Jan 29, 2025
- HNW clients · 19 to 57Dec 2, 2024 to Jan 29, 2025
- Individual clients · 211 to 258Dec 2, 2024 to Jan 29, 2025
- Discretionary RAUM · $101M to $178MDec 2, 2024 to Jan 29, 2025
- HNW RAUM · $45.8M to $110MDec 2, 2024 to Jan 29, 2025
- Individual RAUM · $55.1M to $66.7MDec 2, 2024 to Jan 29, 2025
- RAUM · $101M to $178MDec 2, 2024 to Jan 29, 2025
- Advisory employees · 3 to 4Sep 10, 2024 to Nov 19, 2024
- Employees · 3 to 4Sep 10, 2024 to Nov 19, 2024
- State-registered IARs · 3 to 4Sep 10, 2024 to Nov 19, 2024
- Financial planning clients · 101-250 to 251-500May 30, 2024 to Sep 10, 2024
- Advisory employees · 2 to 3May 23, 2024 to May 30, 2024
- Employees · 2 to 3May 23, 2024 to May 30, 2024
- State-registered IARs · 2 to 3May 23, 2024 to May 30, 2024
- Accounts · 371 to 485Nov 28, 2023 to Jan 17, 2024
- HNW clients · 12 to 19Nov 28, 2023 to Jan 17, 2024
- Individual clients · 145 to 211Nov 28, 2023 to Jan 17, 2024
- HQ city · unset to NEW YORKNov 28, 2023 to Jan 17, 2024
- HQ state · unset to NYNov 28, 2023 to Jan 17, 2024
- Discretionary RAUM · $52.0M to $101MNov 28, 2023 to Jan 17, 2024
- HNW RAUM · $25.3M to $45.8MNov 28, 2023 to Jan 17, 2024
- Individual RAUM · $26.6M to $55.1MNov 28, 2023 to Jan 17, 2024
- RAUM · $52.0M to $101MNov 28, 2023 to Jan 17, 2024
- Advisory employees · 1 to 2Oct 19, 2023 to Nov 28, 2023
- Employees · 1 to 2Oct 19, 2023 to Nov 28, 2023
- State-registered IARs · 1 to 2Oct 19, 2023 to Nov 28, 2023
- Accounts · 184 to 371Aug 31, 2022 to Jan 10, 2023
- HNW clients · 8 to 12Aug 31, 2022 to Jan 10, 2023
- Individual clients · 82 to 145Aug 31, 2022 to Jan 10, 2023
- Financial planning clients · 51-100 to 101-250Aug 31, 2022 to Jan 10, 2023
- Discretionary RAUM · $46.2M to $52.0MAug 31, 2022 to Jan 10, 2023
- HNW RAUM · $29.9M to $25.3MAug 31, 2022 to Jan 10, 2023
- Individual RAUM · $16.2M to $26.6MAug 31, 2022 to Jan 10, 2023
- RAUM · $46.2M to $52.0MAug 31, 2022 to Jan 10, 2023
- Accounts · 132 to 184Oct 14, 2021 to Jan 10, 2022
- Charity clients · unset to 2.0Oct 14, 2021 to Jan 10, 2022
- Corporate clients · unset to 0.0Oct 14, 2021 to Jan 10, 2022
- HNW clients · 10 to 8Oct 14, 2021 to Jan 10, 2022
- Individual clients · 52 to 82Oct 14, 2021 to Jan 10, 2022
Signals
8 dated events
- F••••• Y•• W••••• no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $177.8M)Aug 1, 2025 · Left the SEC roster · derived
- W•••••• A•••••• T••••••••• left F••••• Y•• W••••• for N••••••••• W••••• P•••••••• L•• (registered 2025-08-11)Jul 31, 2025 · Advisor changed firm · fact
- J•••• T•••••• B•••••• left F••••• Y•• W••••• for N••••••••• W••••• P•••••••• L•• (registered 2025-08-20)Jul 31, 2025 · Advisor changed firm · fact
- D••••• R••• S••••••• left F••••• Y•• W••••• for N••••••••• W••••• P•••••••• L•• (registered 2025-08-11)Jul 31, 2025 · Advisor changed firm · fact
- L••••• D•••• S••••••• left F••••• Y•• W••••• for N••••••••• W••••• P•••••••• L•• (registered 2025-08-06)Jul 31, 2025 · Advisor changed firm · fact
- F••••• Y•• W•••••'s advisors moved to N••••••••• W••••• P•••••••• L•• (New York, NY): 4 of 4 registered, on the same dayJul 31, 2025 · Firm absorbed (people side) · derived
- Debra Lauren Sterling (Chief Compliance Officer) appeared on Schedule A of F••••• Y•• W•••••Sep 10, 2024 · Control person joined · fact
- F••••• Y•• W••••• filed its initial SEC registration (Form ADV)Oct 14, 2021 · 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