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

R•••• W••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 305480SEC 801-117357IAPD
Latest filing Feb 16, 2021
First filing on the tape Aug 20, 2019 · 12 filings
RAUM
$115M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$115M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$115M as of Feb 16, 2021
Mar 17, 2020$91.0M then
HNW client RAUM$108M as of Feb 16, 2021
Mar 17, 2020$81.0M then
State-registered IARs (5.B.3)3 as of Feb 16, 2021
Mar 17, 20203 then
Employees (5.A)4 as of Feb 16, 2021
Mar 17, 20204 then
Private funds: no history
RAUM +26% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Feb 16, 2021; every figure names its basis
RAUM per advisor
$38.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
19derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$849,662derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+26%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+29%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program
$115MreportedItem 5.I
Custody
$500,000, 20 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$108M94%
  • Individuals$7.1M6.2%
Individual clients
22reported
HNW clients
36reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
135reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$500,000 for 20 clientsreported
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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••• J••••• A••••• · Chief Compliance Officer / Managing Directorcontrol
      since 11/2019 · owns less than 5%
    • K•••••••• B••••• J••••• · Chief Executive Officercontrol
      since 08/2019 · owns less than 5%
    • K•••••••• B••••• J••••• · Membercontrol
      since 12/2010 · owns F of R•••• W••••• H•••••••• L••
    Entity owners
    • R•••• W••••• H•••••••• L•• · Managing Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • M•••••• B••••••• A•• W••••• M••••••••• L••
      insurancen
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 95 to 135
      Jul 30, 2020 to Feb 16, 2021
    • HNW clients · 26 to 36
      Jul 30, 2020 to Feb 16, 2021
    • Individual clients · 19 to 22
      Jul 30, 2020 to Feb 16, 2021
    • Assets in custody · unset to 500000.0
      Jul 30, 2020 to Feb 16, 2021
    • Custody of client assets · false to true
      Jul 30, 2020 to Feb 16, 2021
    • Discretionary RAUM · $91.0M to $114M
      Jul 30, 2020 to Feb 16, 2021
    • HNW RAUM · $81.0M to $108M
      Jul 30, 2020 to Feb 16, 2021
    • Individual RAUM · $5.0M to $7.1M
      Jul 30, 2020 to Feb 16, 2021
    • Non-discretionary RAUM · $0 to $746,856
      Jul 30, 2020 to Feb 16, 2021
    • RAUM · $91.0M to $115M
      Jul 30, 2020 to Feb 16, 2021
    • Wrap assets (manager) · unset to 0.0
      Jul 9, 2020 to Jul 30, 2020
    • Wrap assets (sponsor) · unset to 0.0
      Jul 9, 2020 to Jul 30, 2020
    • Insurance-licensed employees · 1 to 0
      Feb 25, 2020 to Mar 17, 2020
    • Related adviser · true to false
      Feb 25, 2020 to Mar 17, 2020
    • Accounts · 0 to 95
      Nov 13, 2019 to Jan 21, 2020
    • Advisory employees · 4 to 3
      Nov 13, 2019 to Jan 21, 2020
    • HNW clients · unset to 26.0
      Nov 13, 2019 to Jan 21, 2020
    • Individual clients · unset to 19.0
      Nov 13, 2019 to Jan 21, 2020
    • State-registered IARs · 4 to 3
      Nov 13, 2019 to Jan 21, 2020
    • Discretionary RAUM · $0 to $91.0M
      Nov 13, 2019 to Jan 21, 2020
    • HNW RAUM · unset to 81000000.0
      Nov 13, 2019 to Jan 21, 2020
    • Individual RAUM · unset to 5000000.0
      Nov 13, 2019 to Jan 21, 2020
    • RAUM · $0 to $91.0M
      Nov 13, 2019 to Jan 21, 2020
    • Advisory employees · 1 to 4
      Sep 12, 2019 to Nov 8, 2019
    • Advisory activities · 2 to 3
      Sep 12, 2019 to Nov 8, 2019
    • Employees · 1 to 4
      Sep 12, 2019 to Nov 8, 2019
    • State-registered IARs · 1 to 4
      Sep 12, 2019 to Nov 8, 2019
    Signals
    2 dated events
    • Andrew Jason Bell (Chief Compliance Officer / Investment Advisor Representative) appeared on Schedule A of R•••• W••••• M••••••••• L••
      Nov 8, 2019 · Control person joined · fact
    • R•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Aug 20, 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