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.

Former SEC-registered adviser

Wizest Inc.

Former SEC-registered adviserCRD 315156SEC 801-122077websiteIAPD
Latest filing Mar 5, 2025
First filing on the tape Jul 14, 2021 · 12 filings
SEC status approved since Sep 14, 2021
RAUM
$52,017
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$52,017 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
12 filings and snapshots on the tape
RAUM$52,017 as of Mar 5, 2025
Mar 31, 2022$0 then
HNW client RAUM$15,044 as of Mar 14, 2024
Mar 31, 2022$0 then
State-registered IARs (5.B.3)1 as of Mar 5, 2025
Mar 31, 20221 then
Employees (5.A)1 as of Mar 5, 2025
Mar 31, 20224 then
Private funds: no history
RAUM +100% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 5, 2025; every figure names its basis
RAUM per advisor
$52,017derivedRAUM 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
$1,530derivedRAUM 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
+100%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$52,017100%
Individual clients
34reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
34reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • William Littlefield · Chief Information Officercontrol
    since 03/2023 · owns 10% to 25%
  • M Paul Mallory · Chief Compliance Officercontrol
    since 05/2022 · owns less than 5%
  • Axel Thibon · Ceocontrol
    since 11/2018 · owns 25% to 50%
  • Alvarex Rafael Vallina · Chief Product Officercontrol
    since 11/2018 · owns 10% to 25%
  • Axel Thibon · Ceo And Ccocontrol
    since 11/2018 · owns 25% to 50% of Wizest, Inc
  • William Estoque · Chief Technology Officer
    since 03/2023 · owns less than 5%
  • Lazaro Gonzalez · Chief Marketing Officer
    since 08/2022 · owns 10% to 25%
Entity owners
  • Wizest, Inc · Owner
    direct · 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
OfficeAdvisorsJoinedLeftTeams outForming
Cleveland, Oh001
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 297 to 34
    Aug 19, 2024 to Mar 5, 2025
  • HNW clients · 7.0 to unset
    Aug 19, 2024 to Mar 5, 2025
  • Individual clients · 15 to 34
    Aug 19, 2024 to Mar 5, 2025
  • Employees · 5 to 1
    Aug 19, 2024 to Mar 5, 2025
  • Financial planning clients · 0 to 0
    Aug 19, 2024 to Mar 5, 2025
  • HQ city · unset to
    Aug 19, 2024 to Mar 5, 2025
  • HQ state · unset to
    Aug 19, 2024 to Mar 5, 2025
  • Discretionary RAUM · $25,977 to $52,017
    Aug 19, 2024 to Mar 5, 2025
  • HNW RAUM · 15044.0 to unset
    Aug 19, 2024 to Mar 5, 2025
  • Individual RAUM · $10,933 to $52,017
    Aug 19, 2024 to Mar 5, 2025
  • RAUM · $25,977 to $52,017
    Aug 19, 2024 to Mar 5, 2025
  • HQ city · SOUTH EUCLID to unset
    Mar 14, 2024 to Aug 19, 2024
  • HQ state · OH to unset
    Mar 14, 2024 to Aug 19, 2024
  • Accounts · 0 to 297
    Mar 29, 2023 to Mar 14, 2024
  • HNW clients · unset to 7.0
    Mar 29, 2023 to Mar 14, 2024
  • Individual clients · unset to 15.0
    Mar 29, 2023 to Mar 14, 2024
  • Employees · 4 to 5
    Mar 29, 2023 to Mar 14, 2024
  • Discretionary RAUM · $0 to $25,977
    Mar 29, 2023 to Mar 14, 2024
  • HNW RAUM · $0 to $15,044
    Mar 29, 2023 to Mar 14, 2024
  • Individual RAUM · $0 to $10,933
    Mar 29, 2023 to Mar 14, 2024
  • Pension RAUM · 0.0 to unset
    Mar 29, 2023 to Mar 14, 2024
  • RAUM · $0 to $25,977
    Mar 29, 2023 to Mar 14, 2024
  • Custody of client assets · true to false
    Mar 31, 2022 to Jun 8, 2022
  • Advisory employees · 2 to 1
    Sep 13, 2021 to Mar 31, 2022
  • Assets in custody · unset to 0.0
    Sep 13, 2021 to Mar 31, 2022
  • Custody of client assets · false to true
    Sep 13, 2021 to Mar 31, 2022
  • Employees · 3 to 4
    Sep 13, 2021 to Mar 31, 2022
  • State-registered IARs · 0 to 1
    Sep 13, 2021 to Mar 31, 2022
  • HNW RAUM · unset to 0.0
    Sep 13, 2021 to Mar 31, 2022
  • Individual RAUM · unset to 0.0
    Sep 13, 2021 to Mar 31, 2022
  • Pension RAUM · unset to 0.0
    Sep 13, 2021 to Mar 31, 2022
  • Pooled vehicle RAUM · unset to 0.0
    Sep 13, 2021 to Mar 31, 2022
Signals
7 dated events
  • Wizest Inc. no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $52,017)
    Feb 2, 2026 · Left the SEC roster · derived
  • Arcie Petty left Wizest Inc. for Simplicity Wealth (registered 2025-11-10)
    Dec 16, 2025 · Advisor changed firm · fact
  • Jad Hoche left Wizest Inc. for Hsbc Securities (Usa) Inc. (registered 2023-05-26)
    Apr 3, 2023 · Advisor changed firm · fact
  • Maria Estibaliz Incerromeo left Wizest Inc. for Banco Do Brasil Securities Llc (registered 2024-11-12)
    Mar 17, 2023 · Advisor changed firm · fact
  • Derdley Fleuridor left Wizest Inc. for Empower Advisory Group, Llc (registered 2026-02-05)
    Jan 24, 2023 · Advisor changed firm · fact
  • M Paul Mallory (Chief Compliance Officer) appeared on Schedule A of Wizest Inc.
    Jun 8, 2022 · Control person joined · fact
  • Wizest Inc. filed its initial SEC registration (Form ADV)
    Jul 14, 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