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

F••••••••• P•••••• W•••••

Former SEC-registered adviserVenice, FloridaCRD 306017SEC 801-117666IAPD
Legal name F••••••••• F••••••••• L••
Latest filing Mar 31, 2022
First filing on the tape Oct 21, 2019 · 14 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$1.0B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$1.2B as of Mar 31, 2022
Mar 19, 2020$732M then
HNW client RAUM$884M as of Mar 31, 2022
Mar 19, 2020$207M then
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 19, 20200 then
Employees (5.A)17 as of Mar 31, 2022
Mar 19, 202012 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2022; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$39,849derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+25%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+10%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Financial planning clients
1,000reportedItem 5.H
Custody
$4, 26,494,485 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$884M74%
  • Corporations and businesses$159M13%
  • Individuals$143M12%
  • Charitable organizations$3.5M0.3%
  • Pension and profit-sharing plans$943,9110.1%
Individual clients
443reported
HNW clients
345reported
Pension plan clients
n/areported
Charitable clients
5reported
Accounts
29,893reported
Financial planning clients
1,000reported
Wrap fee programs
noreported
Custody of client assets
$4 for 26,494,485 clientsreported
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
Joined, latest
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
  • G•••••• D•••• · Chief Compliance Officercontrol
    since 09/2019 · owns less than 5%
  • P••••••••• S••••• G••••• · Managing Membercontrol
    since 09/2019 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 2,614 to 29,893
    Jun 23, 2021 to Mar 31, 2022
  • Charity clients · 13 to 5
    Jun 23, 2021 to Mar 31, 2022
  • Corporate clients · 7 to 20
    Jun 23, 2021 to Mar 31, 2022
  • HNW clients · 331 to 345
    Jun 23, 2021 to Mar 31, 2022
  • Individual clients · 385 to 443
    Jun 23, 2021 to Mar 31, 2022
  • Assets in custody · $37.5M to $4
    Jun 23, 2021 to Mar 31, 2022
  • Discretionary RAUM · $951M to $1.2B
    Jun 23, 2021 to Mar 31, 2022
  • HNW RAUM · $696M to $884M
    Jun 23, 2021 to Mar 31, 2022
  • Individual RAUM · $102M to $143M
    Jun 23, 2021 to Mar 31, 2022
  • Pension RAUM · $1.2M to $943,911
    Jun 23, 2021 to Mar 31, 2022
  • RAUM · $951M to $1.2B
    Jun 23, 2021 to Mar 31, 2022
  • Employees · 15 to 17
    Mar 30, 2021 to Apr 29, 2021
  • Accounts · 2,269 to 2,614
    Feb 5, 2021 to Mar 30, 2021
  • Advisory employees · 5 to 8
    Feb 5, 2021 to Mar 30, 2021
  • Advisory activities · 4 to 5
    Feb 5, 2021 to Mar 30, 2021
  • Charity clients · 0 to 13
    Feb 5, 2021 to Mar 30, 2021
  • Corporate clients · 93 to 7
    Feb 5, 2021 to Mar 30, 2021
  • HNW clients · 117 to 331
    Feb 5, 2021 to Mar 30, 2021
  • Individual clients · 2,042 to 385
    Feb 5, 2021 to Mar 30, 2021
  • Pension plan clients · 0.0 to unset
    Feb 5, 2021 to Mar 30, 2021
  • Assets in custody · $256M to $37.5M
    Feb 5, 2021 to Mar 30, 2021
  • Employees · 12 to 15
    Feb 5, 2021 to Mar 30, 2021
  • Discretionary RAUM · $732M to $951M
    Feb 5, 2021 to Mar 30, 2021
  • HNW RAUM · $207M to $696M
    Feb 5, 2021 to Mar 30, 2021
  • Individual RAUM · $384M to $102M
    Feb 5, 2021 to Mar 30, 2021
  • Pension RAUM · $0 to $1.2M
    Feb 5, 2021 to Mar 30, 2021
  • RAUM · $732M to $951M
    Feb 5, 2021 to Mar 30, 2021
  • Assets in custody · unset to 256400055.0
    Jun 11, 2020 to Jan 4, 2021
  • Custody of client assets · false to true
    Jun 11, 2020 to Jan 4, 2021
  • Accounts · 0 to 2,269
    Jan 17, 2020 to Mar 19, 2020
  • Advisory employees · 3 to 5
    Jan 17, 2020 to Mar 19, 2020
  • Business name · F••••••••• F••••••••• L•• to F••••••••• P•••••• W•••••
    Jan 17, 2020 to Mar 19, 2020
  • Corporate clients · 0 to 93
    Jan 17, 2020 to Mar 19, 2020
  • HNW clients · 0 to 117
    Jan 17, 2020 to Mar 19, 2020
  • Individual clients · 0 to 2,042
    Jan 17, 2020 to Mar 19, 2020
  • Employees · 9 to 12
    Jan 17, 2020 to Mar 19, 2020
  • Financial planning clients · 0 to More than 500
    Jan 17, 2020 to Mar 19, 2020
  • State-registered IARs · 3 to 0
    Jan 17, 2020 to Mar 19, 2020
  • Discretionary RAUM · $0 to $732M
    Jan 17, 2020 to Mar 19, 2020
  • HNW RAUM · $0 to $207M
    Jan 17, 2020 to Mar 19, 2020
Signals
12 dated events
  • F••••••••• P•••••• W•••••'s advisors moved to F••••••••• F•••••••• P•••••••• L••• (Venice, FL): 5 of 5 registered, on the same day
    Dec 9, 2022 · Firm absorbed (people side) · derived
  • A•••••••• C••••• H••••••••• left F••••••••• P•••••• W••••• for F••••••••• F•••••••• P•••••••• L••• (registered 2022-11-09)
    Dec 9, 2022 · Advisor changed firm · fact
  • A•••••••• C••••• W•••• left F••••••••• P•••••• W••••• for F••••••••• F•••••••• P•••••••• L••• (registered 2022-11-09)
    Dec 9, 2022 · Advisor changed firm · fact
  • J•••• D• S•••••• left F••••••••• P•••••• W••••• for F••••••••• F•••••••• P•••••••• L••• (registered 2022-11-14)
    Dec 9, 2022 · Advisor changed firm · fact
  • S•••• G••••• P•••••••• left F••••••••• P•••••• W••••• for F••••••••• F•••••••• P•••••••• L••• (registered 2022-11-14)
    Dec 9, 2022 · Advisor changed firm · fact
  • B•••••• B•••• P••••• left F••••••••• P•••••• W••••• for F••••••••• F•••••••• P•••••••• L••• (registered 2022-11-09)
    Dec 9, 2022 · Advisor changed firm · fact
  • C••••• M••••••••• L••••••• left F••••••••• P•••••• W••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-11-01)
    Nov 9, 2022 · Advisor changed firm · fact
  • F••••••••• P•••••• W••••• reported RAUM $1.2B, up 25% from $950.5M (2021-06-23 to 2022-03-31)
    Mar 31, 2022 · RAUM change · derived
  • R••• L•••• H•••••••• left F••••••••• P•••••• W••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-04-07)
    Jan 18, 2022 · Advisor changed firm · fact
  • Lee William Mehserle (Managing Member) no longer on Schedule A of F••••••••• P•••••• W••••• (listed 2021-03-30, absent 2021-04-29)
    Apr 29, 2021 · Control person left · inference
  • F••••••••• P•••••• W••••• reported RAUM $950.5M, up 30% from $732.1M (2021-02-05 to 2021-03-30)
    Mar 30, 2021 · RAUM change · derived
  • F••••••••• F••••••••• L•• filed its initial SEC registration (Form ADV)
    Oct 21, 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