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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
P•• W•••••
Legal name P•• W•••••• L••
Latest filing May 1, 2024
First filing on the tape Oct 18, 2021 · 22 filings
RAUM
$83.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$82.6M 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
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$83.5M as of May 1, 2024
Mar 29, 2022$53.6M then
HNW client RAUM$49.1M as of May 1, 2024
Mar 29, 2022$22.7M then
State-registered IARs (5.B.3)2 as of May 1, 2024
Mar 29, 20223 then
Employees (5.A)2 as of May 1, 2024
Mar 29, 20224 then
Private funds: no history
RAUM +35% over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of May 1, 2024; every figure names its basis
- RAUM per advisor
- $41.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 108derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $170,122derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +35%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.9%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $1.1M, 4 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
- is an insurance broker or agent (6.A.6)
- 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$49.1M59%
- Individuals$33.4M40%
- Pension and profit-sharing plans$969,2471.2%
- Individual clients
- 186reported
- HNW clients
- 29reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 491reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1M for 4 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- 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 C••••••••• F•••••••• N••••••Jul 29, 2024 · RIA to affiliated broker-dealer or bank
- J••••• M•••••• W••••• to C••••••••• F•••••••• N••••••Jul 10, 2024 · RIA to affiliated broker-dealer or bank
- D•••• A••••••• K••••••• to T••••••• I••••••••• M••••••••• I•••Nov 30, 2023 · RIA to affiliated broker-dealer or bank
- R•••••• F•••• P•••••••• to A•••• C•••••• C••••Jun 2, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- R•••••• F•••• P•••••••• from N••• C•••••••••Apr 25, 2023 · Affiliated broker-dealer or bank to independent RIA
- J••••• M•••••• W••••• from S••••••••• A•••••• A•••••••• I•••Jan 18, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- D•••• A••••••• K••••••• from S••••••••• A•••••• A•••••••• I•••Jan 11, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• J••• M•••• from S••••••••• A•••••• A•••••••• I•••Jan 11, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from S••••••••• A•••••• A•••••••• I•••Jan 18, 2022 · North Reading, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• M••••••• J••• · Founding Partnercontrolsince 10/2021 · owns 25% to 50%
- W•••••• J•••••• M•••••• · Founding Partner/Ccocontrolsince 10/2021 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Freedom, Nh | 0 | 0 | 0 | ||
| North Reading, Ma · principal | 0 | 0 | 0 | ||
| Portsmouth, Nh | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Freedom, NH1 employees
What changed
consecutive filings, newest first
- Advisory activities · 4 to 3Mar 28, 2024 to Apr 22, 2024
- Accounts · 462 to 491Mar 14, 2024 to Mar 28, 2024
- HNW clients · 18 to 29Mar 14, 2024 to Mar 28, 2024
- Individual clients · 187 to 186Mar 14, 2024 to Mar 28, 2024
- Assets in custody · $1.7M to $1.1MMar 14, 2024 to Mar 28, 2024
- Discretionary RAUM · $61.7M to $83.5MMar 14, 2024 to Mar 28, 2024
- HNW RAUM · $26.5M to $49.1MMar 14, 2024 to Mar 28, 2024
- Individual RAUM · $34.5M to $33.4MMar 14, 2024 to Mar 28, 2024
- Pension RAUM · $725,282 to $969,247Mar 14, 2024 to Mar 28, 2024
- RAUM · $61.7M to $83.5MMar 14, 2024 to Mar 28, 2024
- Commission compensation · false to trueDec 4, 2023 to Jan 29, 2024
- Advisory employees · 3 to 2Oct 16, 2023 to Dec 1, 2023
- Employees · 4 to 2Oct 16, 2023 to Dec 1, 2023
- State-registered IARs · 3 to 2Oct 16, 2023 to Dec 1, 2023
- Other offices · 4 to 1Oct 16, 2023 to Dec 1, 2023
- Other offices · 1 to 4Mar 31, 2023 to Apr 26, 2023
- Accounts · 371 to 462Dec 8, 2022 to Mar 31, 2023
- HNW clients · 16 to 18Dec 8, 2022 to Mar 31, 2023
- Individual clients · 151 to 187Dec 8, 2022 to Mar 31, 2023
- Assets in custody · $4.4M to $1.7MDec 8, 2022 to Mar 31, 2023
- Discretionary RAUM · $53.6M to $61.7MDec 8, 2022 to Mar 31, 2023
- HNW RAUM · $22.7M to $26.5MDec 8, 2022 to Mar 31, 2023
- Individual RAUM · $30.1M to $34.5MDec 8, 2022 to Mar 31, 2023
- Pension RAUM · $797,267 to $725,282Dec 8, 2022 to Mar 31, 2023
- RAUM · $53.6M to $61.7MDec 8, 2022 to Mar 31, 2023
- Related adviser · true to falseDec 8, 2022 to Mar 31, 2023
- Accounts · 0 to 371Feb 4, 2022 to Mar 29, 2022
- Advisory employees · 0 to 3Feb 4, 2022 to Mar 29, 2022
- BD registered reps · 0 to 1Feb 4, 2022 to Mar 29, 2022
- HNW clients · unset to 16.0Feb 4, 2022 to Mar 29, 2022
- Individual clients · unset to 151.0Feb 4, 2022 to Mar 29, 2022
- Assets in custody · unset to 4367585.0Feb 4, 2022 to Mar 29, 2022
- Custody of client assets · false to trueFeb 4, 2022 to Mar 29, 2022
- Employees · 1 to 4Feb 4, 2022 to Mar 29, 2022
- State-registered IARs · 0 to 3Feb 4, 2022 to Mar 29, 2022
- Discretionary RAUM · $0 to $53.6MFeb 4, 2022 to Mar 29, 2022
- HNW RAUM · unset to 22721688.0Feb 4, 2022 to Mar 29, 2022
- Individual RAUM · unset to 30115371.0Feb 4, 2022 to Mar 29, 2022
- Pension RAUM · unset to 797267.0Feb 4, 2022 to Mar 29, 2022
- RAUM · $0 to $53.6MFeb 4, 2022 to Mar 29, 2022
Signals
11 dated events
- M•••••• J••• M•••• left P•• W••••• for C••••••••• F•••••••• N•••••• (registered 2024-05-28)Jul 29, 2024 · Advisor changed firm · fact
- J••••• M•••••• W••••• left P•• W••••• for C••••••••• F•••••••• N•••••• (registered 2024-06-03)Jul 10, 2024 · Advisor changed firm · fact
- A••••••• D•••• K••••••• (Founding Partner) no longer on Schedule A of P•• W••••• (listed 2023-10-16, absent 2023-12-01)Dec 1, 2023 · Control person left · inference
- D•••• A••••••• K••••••• left P•• W••••• for T••••••• I••••••••• M••••••••• I••• (registered 2023-12-21)Nov 30, 2023 · Advisor changed firm · fact
- R•••••• F•••• P•••••••• left P•• W••••• for A•••• C•••••• C•••• (registered 2023-07-21)Jun 2, 2023 · Advisor changed firm · fact
- 3 advisors left S••••••••• A•••••• A•••••••• I••• (North Reading, MA) for P•• W••••• on the same dayJan 18, 2022 · Team lift-out · derived
- Cooper Ashleigh Swayze (Managing Member) no longer on Schedule A of P•• W••••• (listed 2021-11-17, absent 2021-12-02)Dec 2, 2021 · Control person left · inference
- J••• M•••••• Lazzara (Founding Partner) appeared on Schedule A of P•• W•••••Nov 17, 2021 · Control person joined · fact
- Michael Joshua Wilson (Founding Partner/Cco) appeared on Schedule A of P•• W•••••Nov 17, 2021 · Control person joined · fact
- A••••••• D•••• K••••••• (Founding Partner) appeared on Schedule A of P•• W•••••Nov 17, 2021 · Control person joined · fact
- P•• W••••• filed its initial SEC registration (Form ADV)Oct 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