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
D••••• W•••••
Legal name D••••• W•••••• L••
Latest filing May 23, 2022
First filing on the tape Feb 18, 2021 · 11 filings
RAUM
$13,280
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$13,280 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$13,280 as of May 23, 2022
Feb 18, 2021$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of May 23, 2022
Feb 18, 20211 then
Employees (5.A)2 as of May 23, 2022
Feb 18, 20211 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 23, 2022; every figure names its basis
- RAUM per advisor
- $6,640derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $90derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $13,280reportedItem 5.I
- Custody
- $13,280, 147 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$13,280100%
- Individual clients
- 147reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 147reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $13,280 for 147 clientsreported
- Compensation
- n/areported
- 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
- M•••••• J•••• M•••••••• to R•••• M•••• L••Mar 30, 2023 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- I•••••• A•••• M•••••• · Chief Compliance Officercontrolsince 05/2022 · owns less than 5%
- T•••••• A••••• · Ceo/Foundercontrolsince 09/2020 · owns 25% to 50% of D••••• T••••••••• P•• L•••
Entity owners
- D••••• U•• L•• · Memberdirect · owns 75% or more
- D••••• T••••••••• P•• L••• · Ownerindirect · owns 75% or more of D••••• U•• L••
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 · 0 to 147Feb 1, 2022 to Mar 31, 2022
- Advisory employees · 1 to 2Feb 1, 2022 to Mar 31, 2022
- Individual clients · unset to 147.0Feb 1, 2022 to Mar 31, 2022
- Assets in custody · unset to 13280.0Feb 1, 2022 to Mar 31, 2022
- Custody of client assets · false to trueFeb 1, 2022 to Mar 31, 2022
- Employees · 1 to 2Feb 1, 2022 to Mar 31, 2022
- Insurance-licensed employees · 1 to 2Feb 1, 2022 to Mar 31, 2022
- Financial planning clients · unset to 0Feb 1, 2022 to Mar 31, 2022
- State-registered IARs · 1 to 2Feb 1, 2022 to Mar 31, 2022
- Discretionary RAUM · $0 to $13,280Feb 1, 2022 to Mar 31, 2022
- Individual RAUM · unset to 13280.0Feb 1, 2022 to Mar 31, 2022
- RAUM · $0 to $13,280Feb 1, 2022 to Mar 31, 2022
Signals
5 dated events
- M•••••• J•••• M•••••••• left D••••• W••••• for R•••• M•••• L•• (registered 2023-11-08)Mar 30, 2023 · Advisor changed firm · fact
- Evan Alexander Kulak no longer registered at D••••• W•••••; no later IA registration on IAPDMar 30, 2023 · Advisor departure · fact
- Alexander Evan Kulak (Financial Advisor Chief Compliance Officer) no longer on Schedule A of D••••• W••••• (listed 2022-04-13, absent 2022-05-23)May 23, 2022 · Control person left · inference
- M•••••• Adam Israel (Chief Compliance Officer) appeared on Schedule A of D••••• W•••••May 23, 2022 · Control person joined · fact
- D••••• W••••• filed its initial SEC registration (Form ADV)Feb 18, 2021 · 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