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
P•••••• W••••• M•••••••• L••
Latest filing Mar 6, 2025
First filing on the tape May 5, 2020 · 15 filings
SEC status approved since Jun 5, 2020
RAUM
$186M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
58%
$107M 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
15 filings and snapshots on the tape
RAUM$186M as of Mar 6, 2025
Mar 30, 2021$143M then
HNW client RAUM$87.3M as of Mar 6, 2025
Mar 30, 2021$54.8M then
State-registered IARs (5.B.3)3 as of Mar 6, 2025
Mar 30, 20212 then
Employees (5.A)4 as of Mar 6, 2025
Mar 30, 20214 then
Private funds: no history
RAUM +7.2% over the last fiscal year+3.7% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 6, 2025; every figure names its basis
- RAUM per advisor
- $62.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $682,506derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.2%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
- +7.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- $185MreportedItem 5.I
- Custody
- $5.7M, 9 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$87.3M47%
- Corporations and businesses$76.8M41%
- Individuals$19.9M11%
- Pension and profit-sharing plans$2.3M1.2%
- Individual clients
- 74reported
- HNW clients
- 30reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 273reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $23.8M sponsored, $0 managedreported
- Custody of client assets
- $5.7M for 9 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
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- C•••••••• D••••••• S••••• to C••• S••••• P•••••••Mar 31, 2026 · RIA to affiliated broker-dealer or bank
- E•••••••• T••••• to C••• S••••• P•••••••Mar 31, 2026 · RIA to affiliated broker-dealer or bank
- M•••••• M••••••• M••••••• to C••• S••••• P•••••••Mar 31, 2026 · RIA to affiliated broker-dealer or bank
- V•••••• C•••• to C••• S••••• P•••••••Mar 31, 2026 · RIA to affiliated broker-dealer or bank
- K•••••• B• T•••••• to R•••••• J•••• • A••••••••• I•••May 11, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- V•••••• C•••• from B•• M••••• S••••••••• C•••••••••Aug 10, 2023 · Other
- E•••••••• T••••• from A••••••••• F•••••••• S•••••••• L••May 12, 2022 · Affiliated broker-dealer or bank to independent RIA
- K•••••• B• T•••••• from K••••• A•••••••• I•••Apr 30, 2021 · Affiliated broker-dealer or bank to independent RIA
- M•••••• M••••••• M••••••• from K••••• A•••••••• I•••Jul 7, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- C•••••••• D••••••• S••••• from K••••• A•••••••• I•••Jun 26, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for C••• S••••• P•••••••Mar 31, 2026 · Palm Beach Gardens, Fl · Firm absorbed
- 3 joined from K••••• A•••••••• I•••Jun 22, 2020 · Ft Lauderdale, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• M••••••• M••••••• · Chief Compliance Officercontrolsince 06/2019 · owns 10% to 25%
- S•••••• C••••••••• D••••••• · Managing Partnercontrolsince 06/2019 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Palm Beach Gardens, Fl · principal | 0 | 0 | 4 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 246 to 273Mar 26, 2024 to Mar 6, 2025
- HNW clients · 23 to 30Mar 26, 2024 to Mar 6, 2025
- Individual clients · 70 to 74Mar 26, 2024 to Mar 6, 2025
- Assets in custody · $8.5M to $5.7MMar 26, 2024 to Mar 6, 2025
- Financial planning clients · 1-10 to 1-10Mar 26, 2024 to Mar 6, 2025
- Discretionary RAUM · $170M to $182MMar 26, 2024 to Mar 6, 2025
- HNW RAUM · $75.6M to $87.3MMar 26, 2024 to Mar 6, 2025
- Individual RAUM · $23.5M to $19.9MMar 26, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $4.1M to $4.7MMar 26, 2024 to Mar 6, 2025
- Pension RAUM · $2.1M to $2.3MMar 26, 2024 to Mar 6, 2025
- RAUM · $174M to $186MMar 26, 2024 to Mar 6, 2025
- Wrap assets (sponsor) · $24.1M to $23.8MMar 26, 2024 to Mar 6, 2025
- Accounts · 225 to 246Oct 10, 2023 to Mar 26, 2024
- Corporate clients · 25 to 26Oct 10, 2023 to Mar 26, 2024
- HNW clients · 19 to 23Oct 10, 2023 to Mar 26, 2024
- Individual clients · 67 to 70Oct 10, 2023 to Mar 26, 2024
- Assets in custody · $9.7M to $8.5MOct 10, 2023 to Mar 26, 2024
- Discretionary RAUM · $142M to $170MOct 10, 2023 to Mar 26, 2024
- HNW RAUM · $57.0M to $75.6MOct 10, 2023 to Mar 26, 2024
- Individual RAUM · $22.7M to $23.5MOct 10, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $3.5M to $4.1MOct 10, 2023 to Mar 26, 2024
- Pension RAUM · $1.5M to $2.1MOct 10, 2023 to Mar 26, 2024
- RAUM · $146M to $174MOct 10, 2023 to Mar 26, 2024
- Wrap assets (sponsor) · $6.6M to $24.1MOct 10, 2023 to Mar 26, 2024
- Accounts · 181 to 225Mar 29, 2022 to Mar 27, 2023
- Advisory employees · 2 to 3Mar 29, 2022 to Mar 27, 2023
- Corporate clients · 22 to 25Mar 29, 2022 to Mar 27, 2023
- Individual clients · 57 to 67Mar 29, 2022 to Mar 27, 2023
- Pension plan clients · 2.0 to unsetMar 29, 2022 to Mar 27, 2023
- Assets in custody · $12.4M to $9.7MMar 29, 2022 to Mar 27, 2023
- Employees · 2 to 4Mar 29, 2022 to Mar 27, 2023
- State-registered IARs · 2 to 3Mar 29, 2022 to Mar 27, 2023
- Discretionary RAUM · $165M to $142MMar 29, 2022 to Mar 27, 2023
- HNW RAUM · $69.7M to $57.0MMar 29, 2022 to Mar 27, 2023
- Individual RAUM · $21.6M to $22.7MMar 29, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $1.9M to $3.5MMar 29, 2022 to Mar 27, 2023
- Pension RAUM · $1.7M to $1.5MMar 29, 2022 to Mar 27, 2023
- RAUM · $167M to $146MMar 29, 2022 to Mar 27, 2023
- Wrap assets (sponsor) · $3.6M to $6.6MMar 29, 2022 to Mar 27, 2023
- Accounts · 145 to 181Jul 7, 2021 to Mar 29, 2022
Signals
9 dated events
- P•••••• W••••• M•••••••• L•• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $186.3M)Apr 1, 2026 · Left the SEC roster · derived
- V•••••• C•••• left P•••••• W••••• M•••••••• L•• for C••• S••••• P••••••• (registered 2026-03-30)Mar 31, 2026 · Advisor changed firm · fact
- E•••••••• T••••• left P•••••• W••••• M•••••••• L•• for C••• S••••• P••••••• (registered 2026-03-26)Mar 31, 2026 · Advisor changed firm · fact
- M•••••• M••••••• M••••••• left P•••••• W••••• M•••••••• L•• for C••• S••••• P••••••• (registered 2026-03-24)Mar 31, 2026 · Advisor changed firm · fact
- C•••••••• D••••••• S••••• left P•••••• W••••• M•••••••• L•• for C••• S••••• P••••••• (registered 2026-03-24)Mar 31, 2026 · Advisor changed firm · fact
- P•••••• W••••• M•••••••• L••'s advisors moved to C••• S••••• P••••••• (Palm Beach Gardens, FL): 4 of 4 registered, on the same dayMar 31, 2026 · Firm absorbed (people side) · derived
- K•••••• B• T•••••• left P•••••• W••••• M•••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2023-08-18)May 11, 2022 · Advisor changed firm · fact
- P•••••• W••••• M•••••••• L••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 7, 2021 · Succession (Item 4) · fact
- P•••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)May 5, 2020 · 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