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•••••

Former SEC-registered adviserAtlanta, GeorgiaCRD 305732SEC 801-117492IAPD
Legal name A•••••• W••••• M••••••••• L••
Latest filing Mar 24, 2023
First filing on the tape Sep 16, 2019 · 18 filings
RAUM
$202M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$174M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$202M as of Mar 23, 2023
Feb 6, 2020$17.2M then
HNW client RAUM$163M as of Mar 23, 2023
Feb 6, 2020$17.2M then
State-registered IARs (5.B.3)5 as of Mar 23, 2023
Feb 6, 20206 then
Employees (5.A)9 as of Mar 23, 2023
Feb 6, 20207 then
Private funds: no history
RAUM -30% over the last fiscal year+127% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Mar 24, 2023; every figure names its basis
RAUM per advisor
$40.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
10derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$6.3MderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-30%derivedbetween the last two annual amendments
Advisor growth, one year
-17%derivedItem 5.B.3 between annual amendments
Client growth, one year
+11%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$10.6M, 19 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)
  • marketing includes testimonials (5.L.1.c)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$163M81%
  • Corporations and businesses$27.7M14%
  • Individuals$10.5M5.2%
Individual clients
26reported
HNW clients
26reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
155reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$10.6M for 19 clientsreported
Compensation
% of AUM, 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
  • M•••••••• W••••••• T••••• · Chief Compliance Officercontrol
    since 10/2022 · owns less than 5%
  • K••••••••• M•••• E••••• · Membercontrol
    since 08/2019 · owns 25% to 50% of S•••• B•••••• R•••• L••
  • P••••••• H••••• A• · Membercontrol
    since 08/2019 · owns 25% to 50% of S•••• B•••••• R•••• L••
Entity owners
  • H•••••• B••• · Member
    direct · owns 50% to 75%
  • S•••• B•••••• R•••• L•• · Member
    direct · owns 25% to 50%
  • H•••••• • B•••• I••• · Member
    indirect · owns 50% to 75% of H•••••• B•••
  • N•••• I• H••••••• V• L••• · Member
    indirect · owns 25% to 50% of H•••••• B•••
Related persons
Schedule D 7.A
  • 2••• O••••••••• P•••••••• L••
    pooled vehicle sponsory
  • A•••••• G••••• I•••
    insurancen
  • H•• P•••••••• L••
    pooled vehicle sponsory
  • H• W•••••
    investment advisernRAUM $30B
  • H•••••• B••• P•••••••• L••
    pooled vehicle sponsory
Advisers that list A•••••• W••••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Atlanta, Ga · principal000
Offices
Schedule D 1.F, the 25 largest
  • Decatur, GA1 employees
What changed
consecutive filings, newest first
  • Accounts · 204 to 155
    Oct 27, 2022 to Mar 23, 2023
  • Advisory employees · 8 to 7
    Oct 27, 2022 to Mar 23, 2023
  • Corporate clients · 24 to 31
    Oct 27, 2022 to Mar 23, 2023
  • HNW clients · 38 to 26
    Oct 27, 2022 to Mar 23, 2023
  • Individual clients · 9 to 26
    Oct 27, 2022 to Mar 23, 2023
  • Employees · 10 to 9
    Oct 27, 2022 to Mar 23, 2023
  • Insurance-licensed employees · 6 to 5
    Oct 27, 2022 to Mar 23, 2023
  • Financial planning clients · 0 to 26-50
    Oct 27, 2022 to Mar 23, 2023
  • State-registered IARs · 6 to 5
    Oct 27, 2022 to Mar 23, 2023
  • Discretionary RAUM · $278M to $202M
    Oct 27, 2022 to Mar 23, 2023
  • HNW RAUM · $247M to $163M
    Oct 27, 2022 to Mar 23, 2023
  • Individual RAUM · $11.1M to $10.5M
    Oct 27, 2022 to Mar 23, 2023
  • Non-discretionary RAUM · $9.6M to $0
    Oct 27, 2022 to Mar 23, 2023
  • RAUM · $288M to $202M
    Oct 27, 2022 to Mar 23, 2023
  • Business name · A•••••• W••••• M••••••••• L•• to A•••••• W•••••
    Oct 21, 2022 to Oct 21, 2022
  • Accounts · 91 to 204
    Oct 21, 2021 to Feb 16, 2022
  • Advisory employees · 7 to 8
    Oct 21, 2021 to Feb 16, 2022
  • Charity clients · 7.0 to unset
    Oct 21, 2021 to Feb 16, 2022
  • Corporate clients · 8 to 24
    Oct 21, 2021 to Feb 16, 2022
  • HNW clients · 15 to 38
    Oct 21, 2021 to Feb 16, 2022
  • Individual clients · 6 to 9
    Oct 21, 2021 to Feb 16, 2022
  • Assets in custody · $531,428 to $10.6M
    Oct 21, 2021 to Feb 16, 2022
  • Custody of client assets · false to true
    Oct 21, 2021 to Feb 16, 2022
  • Employees · 9 to 10
    Oct 21, 2021 to Feb 16, 2022
  • Discretionary RAUM · $109M to $278M
    Oct 21, 2021 to Feb 16, 2022
  • HNW RAUM · $104M to $247M
    Oct 21, 2021 to Feb 16, 2022
  • Individual RAUM · $2.7M to $11.1M
    Oct 21, 2021 to Feb 16, 2022
  • Non-discretionary RAUM · $8.2M to $9.6M
    Oct 21, 2021 to Feb 16, 2022
  • RAUM · $117M to $288M
    Oct 21, 2021 to Feb 16, 2022
  • Accounts · 8 to 91
    Oct 13, 2020 to Feb 23, 2021
  • Advisory employees · 6 to 7
    Oct 13, 2020 to Feb 23, 2021
  • Charity clients · unset to 7.0
    Oct 13, 2020 to Feb 23, 2021
  • Corporate clients · unset to 8.0
    Oct 13, 2020 to Feb 23, 2021
  • HNW clients · unset to 15.0
    Oct 13, 2020 to Feb 23, 2021
  • Individual clients · unset to 6.0
    Oct 13, 2020 to Feb 23, 2021
  • Assets in custody · $16.9M to $531,428
    Oct 13, 2020 to Feb 23, 2021
  • Employees · 7 to 9
    Oct 13, 2020 to Feb 23, 2021
  • Other offices · 0 to 1
    Oct 13, 2020 to Feb 23, 2021
  • Discretionary RAUM · $17.2M to $109M
    Oct 13, 2020 to Feb 23, 2021
  • HNW RAUM · $17.2M to $104M
    Oct 13, 2020 to Feb 23, 2021
Signals
14 dated events
  • W•••••• J••••• C•••• left A•••••• W••••• for H• W••••• (registered 2022-06-01)
    Dec 31, 2023 · Advisor changed firm · fact
  • S••• P•••••• L••••• left A•••••• W••••• for H• W••••• (registered 2022-06-17)
    Dec 31, 2023 · Advisor changed firm · fact
  • C•••••• B•••••• D•••• left A•••••• W••••• for H• W••••• (registered 2022-06-01)
    Dec 31, 2023 · Advisor changed firm · fact
  • J••••••• I•••• S••••• left A•••••• W••••• for H• W••••• (registered 2022-06-01)
    Dec 31, 2023 · Advisor changed firm · fact
  • A•••••• W•••••'s advisors moved to H• W••••• (Atlanta, GA): 4 of 4 registered, on the same day
    Dec 31, 2023 · Firm absorbed (people side) · derived
  • Travis William Mckinney (Chief Compliance Officer) appeared on Schedule A of A•••••• W•••••
    Oct 21, 2022 · Control person joined · fact
  • Brandon Charles Downs (Director, Chief Compliance Officer) no longer on Schedule A of A•••••• W••••• (listed 2022-06-17, absent 2022-10-21)
    Oct 21, 2022 · Control person left · inference
  • O•••••••• P•••••••• L•••'s advisors moved to A•••••• W••••• (Atlanta, GA): 4 of 4 registered, on the same day
    Jun 7, 2022 · Firm absorbed (people side) · derived
  • A H•••• P•••••• (Member) appeared on Schedule A of A•••••• W•••••
    Jun 1, 2022 · Control person joined · fact
  • Joseph William Cohen (Principal) no longer on Schedule A of A•••••• W••••• (listed 2022-02-16, absent 2022-06-01)
    Jun 1, 2022 · Control person left · inference
  • E••••• W•••• (Member) no longer on Schedule A of A•••••• W••••• (listed 2022-02-16, absent 2022-06-01)
    Jun 1, 2022 · Control person left · inference
  • Edward Mark Kashgegian (Member) appeared on Schedule A of A•••••• W•••••
    Jun 1, 2022 · Control person joined · fact
  • A•••••• W••••• reported RAUM $287.9M, up 145% from $117.3M (2021-10-21 to 2022-02-16)
    Feb 16, 2022 · RAUM change · derived
  • A•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Sep 16, 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