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

C•••••••• W•••••

Former SEC-registered adviserHunt Valley, MarylandCRD 310912SEC 801-119970IAPD
Legal name C•••••••• W•••••• L••
Latest filing May 3, 2024
First filing on the tape Nov 13, 2020 · 42 filings
RAUM
$8.7B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
84%
$7.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
97
83 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
1
$34.5M gross assets
History
42 filings and snapshots on the tape
RAUM$8.7B as of Mar 26, 2024
Jun 4, 2021$909M then
HNW client RAUM$5.6B as of Mar 26, 2024
Jun 4, 2021$729M then
State-registered IARs (5.B.3)51 as of Mar 26, 2024
Jun 4, 20216 then
Employees (5.A)97 as of Mar 26, 2024
Jun 4, 202110 then
Private funds: 1
RAUM +28% over the last fiscal year+112% a year over threeIARs 35 to 51offices 2 to 7
Practice profile
derived from the filing of May 3, 2024; every figure names its basis
RAUM per advisor
$170MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
125derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.3MderivedHNW RAUM over HNW clients
Average account
$721,550derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.9derivedItem 5.A over advisors
Advisors per office
6.4derived8 offices incl. principal (1.F.5)
RAUM growth, one year
+28%derivedbetween the last two annual amendments
Advisor growth, one year
+46%derivedItem 5.B.3 between annual amendments
Client growth, one year
+23%derived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
Financial planning clients
1,294reportedItem 5.H
Wrap fee program
participatesreportedItem 5.I
Custody
$1.1B, 664 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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$5.6B65%
  • Individuals$1.7B20%
  • Pension and profit-sharing plans$840M9.7%
  • Corporations and businesses$283M3.3%
  • Charitable organizations$175M2.0%
  • Pooled investment vehicles$34.5M0.4%
Individual clients
4,659reported
HNW clients
1,712reported
Pension plan clients
97reported
Charitable clients
30reported
Accounts
12,022reported
Financial planning clients
1,294reported
Wrap fee programs
$0 sponsored, $64.6M managedreported
Custody of client assets
$1.1B for 664 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
  • B••••••• M••••• L••• · Chief Executive Officer
    since 08/2022 · owns less than 5%
  • B••••••• G••••••• R••••• · Chief Client Officer
    since 06/2023 · owns less than 5%
  • W••••••• A•••••• S• · Chief Compliance Officer
    since 04/2024 · owns less than 5%
  • W••••• C••••••••• J•••• · Chief Operations Officer
    since 06/2023 · owns less than 5%
Entity owners
  • C•••••••• G••••• L•• · Member/Manager
    direct · owns 75% or more
  • C••• F•••••••• C••••••••• L••• · Partner
    indirect · owns 25% to 50% of C••• F•••••••• H•••••••• L•••
  • C••• F•••••••• H•••••••• L••• · Partner
    indirect · owns 50% to 75% of F•••••••• F•• U••••••• H•••••••• L•
  • C••••••• D••••••• • R••• F••• X••• L••• · Partner
    indirect · owns 50% to 75% of C••• F•••••••• H•••••••• L•••
  • F•••••••• F•• A••••••••• L•• · Shareholder, Class A Common Stock
    indirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
  • F•••••••• F•• I••••••••• H•••••••• L•• · Member
    indirect · owns 75% or more of F•••••••• F•• A••••••••• L••
  • F•••••••• F•• P•••••• I•• · Member
    indirect · owns 75% or more of F•••••••• F•• I••••••••• H•••••••• L••
  • F•••••••• F•• U••••••• H•••••••• L• · Shareholder, Class B Common Stock
    indirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
  • F•••••••• F•• U••••••• H•••••••• L• · Shareholder
    indirect · owns 75% or more of F•••••••• F•• P•••••• I••
  • F•••• F•••••••• P••••••• I••• · Member
    indirect · owns 75% or more of F•••• F•••••••• P•••••••• L••
  • F•••• F•••••••• P•••••••• L•• · Member
    indirect · owns 75% or more of F•••• O••••••••• L••
  • F•••• O••••••••• L•• · Member/Manager
    indirect · owns 75% or more of C•••••••• G••••• L••
Related persons
Schedule D 7.A
Advisers that list C•••••••• W••••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Albany, Ny000
Chicago, Il000
Coral Gables, Fl000
Hunt Valley, Md · principal000
Windham, Nh000
North Andover, Ma000
Naples, Fl000
Post-acquisition retention
advisors of absorbed firms still registered here after the move
Firms absorbed
3 since 2015, 0 in 24 monthsderived
Advisors acquired
21derived
Still registered after 90 days
100% of 21derived
After 180 days
100% of 21derived
After 365 days
86% of 21derived
After 730 days
81% of 21derived
Team lift-outs after
6derivedteams that left this firm within two years of an absorption

Lower bound: a person who left the industry is on neither side of the tape, and a re-registration to an affiliated CRD of the same group counts as a departure.

Offices
Schedule D 1.F, the 25 largest
  • Greenwich, CT24 employees
  • Chicago, IL16 employees
  • North Andover, MA8 employees
  • Coral Gables, FL3 employees
  • Naples, FL3 employees
  • Windham, NH2 employees
  • Albany, NY1 employees
What changed
consecutive filings, newest first
  • Accounts · 11,652 to 12,022
    Sep 28, 2023 to Mar 26, 2024
  • Advisory employees · 49 to 83
    Sep 28, 2023 to Mar 26, 2024
  • Charity clients · 37 to 30
    Sep 28, 2023 to Mar 26, 2024
  • Corporate clients · 214 to 180
    Sep 28, 2023 to Mar 26, 2024
  • HNW clients · 1,351 to 1,712
    Sep 28, 2023 to Mar 26, 2024
  • Individual clients · 4,616 to 4,659
    Sep 28, 2023 to Mar 26, 2024
  • Pension plan clients · 118 to 97
    Sep 28, 2023 to Mar 26, 2024
  • Assets in custody · $1.0B to $1.1B
    Sep 28, 2023 to Mar 26, 2024
  • Employees · 89 to 97
    Sep 28, 2023 to Mar 26, 2024
  • State-registered IARs · 49 to 51
    Sep 28, 2023 to Mar 26, 2024
  • Discretionary RAUM · $7.6B to $8.5B
    Sep 28, 2023 to Mar 26, 2024
  • HNW RAUM · $4.7B to $5.6B
    Sep 28, 2023 to Mar 26, 2024
  • Individual RAUM · $1.7B to $1.7B
    Sep 28, 2023 to Mar 26, 2024
  • Non-discretionary RAUM · $115M to $137M
    Sep 28, 2023 to Mar 26, 2024
  • Pension RAUM · $755M to $840M
    Sep 28, 2023 to Mar 26, 2024
  • Pooled vehicle RAUM · $34.3M to $34.5M
    Sep 28, 2023 to Mar 26, 2024
  • RAUM · $7.7B to $8.7B
    Sep 28, 2023 to Mar 26, 2024
  • Wrap assets (manager) · $70.0M to $64.6M
    Sep 28, 2023 to Mar 26, 2024
  • Private funds · unset to 1
    Aug 24, 2023 to Aug 25, 2023
  • Accounts · 9,139 to 11,652
    Aug 4, 2023 to Aug 24, 2023
  • Advisory employees · 37 to 49
    Aug 4, 2023 to Aug 24, 2023
  • Corporate clients · 202 to 214
    Aug 4, 2023 to Aug 24, 2023
  • HNW clients · 1,163 to 1,351
    Aug 4, 2023 to Aug 24, 2023
  • Individual clients · 4,037 to 4,616
    Aug 4, 2023 to Aug 24, 2023
  • Pooled vehicle clients · 0 to 1
    Aug 4, 2023 to Aug 24, 2023
  • Assets in custody · $539M to $1.0B
    Aug 4, 2023 to Aug 24, 2023
  • Employees · 74 to 89
    Aug 4, 2023 to Aug 24, 2023
  • State-registered IARs · 37 to 49
    Aug 4, 2023 to Aug 24, 2023
  • Discretionary RAUM · $6.7B to $7.6B
    Aug 4, 2023 to Aug 24, 2023
  • HNW RAUM · $4.1B to $4.7B
    Aug 4, 2023 to Aug 24, 2023
  • Individual RAUM · $1.5B to $1.7B
    Aug 4, 2023 to Aug 24, 2023
  • Non-discretionary RAUM · $96.3M to $115M
    Aug 4, 2023 to Aug 24, 2023
  • Pooled vehicle RAUM · $0 to $34.3M
    Aug 4, 2023 to Aug 24, 2023
  • RAUM · $6.8B to $7.7B
    Aug 4, 2023 to Aug 24, 2023
  • Other offices · 5 to 7
    Jul 10, 2023 to Aug 1, 2023
  • Other offices · 4 to 5
    Jun 1, 2023 to Jun 12, 2023
  • Other offices · 3 to 4
    Apr 24, 2023 to Jun 1, 2023
  • Advisory employees · 35 to 37
    Mar 29, 2023 to Apr 24, 2023
  • Employees · 71 to 74
    Mar 29, 2023 to Apr 24, 2023
  • State-registered IARs · 35 to 37
    Mar 29, 2023 to Apr 24, 2023
Signals
39 dated events
  • M••• L••••••• S•••• left C•••••••• W••••• for F•••• P••••••• W•••••• L•• (registered 2024-06-03)
    Jul 25, 2024 · Advisor changed firm · fact
  • J•• P••• S•••••• left C•••••••• W••••• for F•••• P••••••• W•••••• L•• (registered 2024-06-03)
    Jul 25, 2024 · Advisor changed firm · fact
  • F•••• M•••••• left C•••••••• W••••• for F•••• P••••••• W•••••• L•• (registered 2024-06-15)
    Jul 25, 2024 · Advisor changed firm · fact
  • R•••• A• A••••••• left C•••••••• W••••• for F•••• P••••••• W•••••• L•• (registered 2024-06-04)
    Jul 25, 2024 · Advisor changed firm · fact
  • M••••••• E•••••••• G•••••• left C•••••••• W••••• for F•••• P••••••• W•••••• L•• (registered 2024-06-03)
    Jul 25, 2024 · Advisor changed firm · fact
  • S•••••• E•••• R•••••• left C•••••••• W••••• for F•••• P••••••• W•••••• L•• (registered 2024-06-03)
    Jul 25, 2024 · Advisor changed firm · fact
  • C••••••••• J•••• W•••• left C•••••••• W••••• for F•••• P••••••• W•••••• L•• (registered 2024-06-10)
    Jul 25, 2024 · Advisor changed firm · fact
  • L•••• F•••••• left C•••••••• W••••• for F•••• P••••••• W•••••• L•• (registered 2024-06-04)
    Jul 25, 2024 · Advisor changed firm · fact
  • G•••••• R••••• B•••••• left C•••••••• W••••• for F•••• P••••••• W•••••• L•• (registered 2024-06-03)
    Jul 25, 2024 · Advisor changed firm · fact
  • D••••• O•••• L•••• left C•••••••• W••••• for F•••• P••••••• W•••••• L•• (registered 2024-06-14)
    Jul 25, 2024 · Advisor changed firm · fact
  • L••••••• J•• B••••••• left C•••••••• W••••• for F•••• P••••••• W•••••• L•• (registered 2024-06-03)
    Jul 25, 2024 · Advisor changed firm · fact
  • C•••••••• L••• G•••••• left C•••••••• W••••• for F•••• P••••••• W•••••• L•• (registered 2024-06-03)
    Jul 25, 2024 · Advisor changed firm · fact
  • J••• E••••• A••••••• left C•••••••• W••••• for F•••• P••••••• W•••••• L•• (registered 2024-06-03)
    Jul 25, 2024 · Advisor changed firm · fact
  • B•••• C••••••••• P•••• left C•••••••• W••••• for F•••• P••••••• W•••••• L•• (registered 2024-06-03)
    Jul 25, 2024 · Advisor changed firm · fact
  • B•••• S• G•••• left C•••••••• W••••• for F•••• P••••••• W•••••• L•• (registered 2024-06-04)
    Jul 25, 2024 · Advisor changed firm · fact
  • J••• P•••• R••••••• left C•••••••• W••••• for F•••• P••••••• W•••••• L•• (registered 2024-06-03)
    Jul 25, 2024 · Advisor changed firm · fact
  • R••••• E• S••• left C•••••••• W••••• for F•••• P••••••• W•••••• L•• (registered 2024-06-03)
    Jul 25, 2024 · Advisor changed firm · fact
  • J•••• C•••••••• C•••••• left C•••••••• W••••• for F•••• P••••••• W•••••• L•• (registered 2024-06-10)
    Jul 25, 2024 · Advisor changed firm · fact
  • J••••••• D•••• R••• left C•••••••• W••••• for F•••• P••••••• W•••••• L•• (registered 2024-06-03)
    Jul 25, 2024 · Advisor changed firm · fact
  • M•••••• C••••• C••••• left C•••••••• W••••• for C••••••••• W•••••• L•• (registered 2025-01-01)
    Jul 25, 2024 · Advisor changed firm · fact
  • 2 advisors left C•••••••• W••••• (Albany, NY) for F•••• P••••••• W•••••• L•• on the same day
    Jul 25, 2024 · Team lift-out · derived
  • 5 advisors left C•••••••• W••••• (Hunt Valley, MD) for F•••• P••••••• W•••••• L•• on the same day
    Jul 25, 2024 · Team lift-out · derived
  • 3 advisors left C•••••••• W••••• (North Andover, MA) for F•••• P••••••• W•••••• L•• on the same day
    Jul 25, 2024 · Team lift-out · derived
  • 4 advisors left C•••••••• W••••• (Coral Gables, FL) for F•••• P••••••• W•••••• L•• on the same day
    Jul 25, 2024 · Team lift-out · derived
  • 4 advisors left C•••••••• W••••• (Chicago, IL) for F•••• P••••••• W•••••• L•• on the same day
    Jul 25, 2024 · Team lift-out · derived
  • 3 advisors left C•••••••• W••••• (Windham, NH) for F•••• P••••••• W•••••• L•• on the same day
    Jul 25, 2024 · Team lift-out · derived
  • S•••••• M•••• B••••• left C•••••••• W••••• for G•••••••• L•• (registered 2024-05-09)
    Apr 19, 2024 · Advisor changed firm · fact
  • H••••• J•••• K••••••••• left C•••••••• W••••• for Procyon (registered 2024-02-07)
    Jan 30, 2024 · Advisor changed firm · fact
  • 2 advisors left N•••• W••••• M••••••••• L•• (North Andover, MA) for C•••••••• W••••• on the same day
    Aug 31, 2023 · Team lift-out · derived
  • C•••••••• W••••• reported 49 state-registered advisory representatives, up from 37 (2023-08-04 to 2023-08-24)
    Aug 24, 2023 · Advisor headcount change · derived
Across DFX
shared identifiers only, never a name match
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