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

W••• I••••••••• L••

Former SEC-registered adviserMiami, FloridaCRD 314297SEC 801-121450IAPD
Latest filing Mar 31, 2022
First filing on the tape May 10, 2021 · 5 filings
RAUM
$137,172
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$137,172 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$137,172 as of Mar 31, 2022
May 10, 2021$0 then
HNW client RAUM$137,172 as of Mar 31, 2022
May 10, 2021$0 then
State-registered IARs (5.B.3)1 as of Mar 31, 2022
May 10, 20210 then
Employees (5.A)1 as of Mar 31, 2022
May 10, 20211 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2022; every figure names its basis
RAUM per advisor
$137,172derivedRAUM over IAPD advisors; not a book size
Clients per advisor
8derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$17,147derivedHNW RAUM over HNW clients
Average account
$17,147derivedRAUM 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
1.0derived1 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
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
yesreportedItem 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)
  • 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$137,172100%
Individual clients
0reported
HNW clients
8reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUMreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• R••••••• M••••• · Chief Executive Officer And Chief Compliance Officercontrol
      since 05/2021 · owns 75% or more
    Related persons
    Schedule D 7.A
    • W••• I••••••••• A••••• A••••••• D• I••••••••• L•••
      investment advisern
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Miami, Fl · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 0 to 8
      Nov 29, 2021 to Mar 31, 2022
    • HNW clients · 0 to 8
      Nov 29, 2021 to Mar 31, 2022
    • Financial planning clients · 0 to unset
      Nov 29, 2021 to Mar 31, 2022
    • State-registered IARs · 0 to 1
      Nov 29, 2021 to Mar 31, 2022
    • Discretionary RAUM · $0 to $137,172
      Nov 29, 2021 to Mar 31, 2022
    • HNW RAUM · $0 to $137,172
      Nov 29, 2021 to Mar 31, 2022
    • RAUM · $0 to $137,172
      Nov 29, 2021 to Mar 31, 2022
    • Advisory activities · 3 to 2
      Oct 10, 2021 to Nov 29, 2021
    • Assets in custody · unset to 0.0
      Oct 10, 2021 to Nov 29, 2021
    • Custody of client assets · false to true
      Oct 10, 2021 to Nov 29, 2021
    • Financial planning clients · unset to 0
      May 10, 2021 to Sep 21, 2021
    Signals
    2 dated events
    • R•••••• M••••• B•••• left W••• I••••••••• L•• for A•••••• A••••••• L•• (registered 2026-05-14)
      Dec 31, 2024 · Advisor changed firm · fact
    • W••• I••••••••• L•• filed its initial SEC registration (Form ADV)
      May 10, 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