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.
SEC-registered adviser
P••••••••• W••••• M••••••••• L••
Latest filing May 22, 2026
First filing on the tape Jan 25, 2022 · 14 filings
SEC status approved since Feb 24, 2022
RAUM
$402M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$402M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$101M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$402M as of May 22, 2026
Mar 29, 2023$173M then
HNW client RAUM$395M as of May 22, 2026
Mar 29, 2023$169M then
State-registered IARs (5.B.3)3 as of May 22, 2026
Mar 29, 20232 then
Employees (5.A)5 as of May 22, 2026
Mar 29, 20233 then
Private funds: no history
RAUM +29% over the last fiscal year+33% a year over threeIARs 3 to 3
Practice profile
derived from the filing of May 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $101MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +42%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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
- High-net-worth individuals$395M98%
- Individuals$7.4M1.8%
- Corporations and businesses$287,0000.1%
- Individual clients
- 18reported
- HNW clients
- 185reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 205reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••• I••• L•••• | Boca Raton, Fl | Mar 23, 2022 | 29 y | 2 |
| R•••• J••••• F•••••••Certified Financial Planner | Boca Raton, Fl | Jan 1, 2025 | 11 y | 4 |
| M•••••• L••••Certified Financial Planner | Boca Raton, Fl | Dec 23, 2025 | 11 y | 0 |
| S•••••• P• V••••••• | Scarsdale, Ny | Jan 14, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- R•••• J••••• F••••••• from M•• C•••••• M••••••••• L••Jan 1, 2025 · RIA to RIA
- G••••• I••• L•••• from B• R•••• W••••• A•••••••• I•••Mar 23, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• G•••••• I••• · Managing Member/Ceocontrolsince 08/2017 · owns 75% or more
- Z••••••• G•••••• · Chief Compliance Officersince 11/2021 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Boca Raton, Fl · principal | 4 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 143 to 205Jun 4, 2025 to Mar 27, 2026
- Corporate clients · 0 to 2Jun 4, 2025 to Mar 27, 2026
- HNW clients · 131 to 185Jun 4, 2025 to Mar 27, 2026
- Individual clients · 12 to 18Jun 4, 2025 to Mar 27, 2026
- Financial planning clients · 51-100 to 0Jun 4, 2025 to Mar 27, 2026
- Discretionary RAUM · $312M to $402MJun 4, 2025 to Mar 27, 2026
- HNW RAUM · $308M to $395MJun 4, 2025 to Mar 27, 2026
- Individual RAUM · $4.0M to $7.4MJun 4, 2025 to Mar 27, 2026
- RAUM · $312M to $402MJun 4, 2025 to Mar 27, 2026
- Financial planning clients · 51-100 to 51-100May 21, 2025 to Jun 4, 2025
- Accounts · 91 to 143Mar 28, 2024 to Mar 31, 2025
- Advisory employees · 4 to 3Mar 28, 2024 to Mar 31, 2025
- HNW clients · 84 to 131Mar 28, 2024 to Mar 31, 2025
- Individual clients · 7 to 12Mar 28, 2024 to Mar 31, 2025
- State-registered IARs · 4 to 3Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $233M to $312MMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $233M to $308MMar 28, 2024 to Mar 31, 2025
- Individual RAUM · $550,000 to $4.0MMar 28, 2024 to Mar 31, 2025
- RAUM · $233M to $312MMar 28, 2024 to Mar 31, 2025
- Accounts · 63 to 91Dec 20, 2023 to Mar 28, 2024
- Advisory employees · 3 to 4Dec 20, 2023 to Mar 28, 2024
- Advisory activities · 4 to 5Dec 20, 2023 to Mar 28, 2024
- BD registered reps · 1 to 3Dec 20, 2023 to Mar 28, 2024
- Corporate clients · unset to 0.0Dec 20, 2023 to Mar 28, 2024
- HNW clients · 54 to 84Dec 20, 2023 to Mar 28, 2024
- Individual clients · 0 to 7Dec 20, 2023 to Mar 28, 2024
- Employees · 3 to 5Dec 20, 2023 to Mar 28, 2024
- Financial planning clients · 0 to 51-100Dec 20, 2023 to Mar 28, 2024
- State-registered IARs · 2 to 4Dec 20, 2023 to Mar 28, 2024
- Discretionary RAUM · $173M to $233MDec 20, 2023 to Mar 28, 2024
- HNW RAUM · $169M to $233MDec 20, 2023 to Mar 28, 2024
- Individual RAUM · $0 to $550,000Dec 20, 2023 to Mar 28, 2024
- RAUM · $173M to $233MDec 20, 2023 to Mar 28, 2024
- Wrap assets (manager) · 165574000.0 to unsetMar 29, 2023 to Aug 30, 2023
- Wrap assets (sponsor) · 0.0 to unsetMar 29, 2023 to Aug 30, 2023
- Accounts · 41 to 63Oct 10, 2022 to Mar 29, 2023
- Advisory employees · 2 to 3Oct 10, 2022 to Mar 29, 2023
- Corporate clients · 0.0 to unsetOct 10, 2022 to Mar 29, 2023
- HNW clients · 0 to 54Oct 10, 2022 to Mar 29, 2023
- Individual clients · 41 to 0Oct 10, 2022 to Mar 29, 2023
Signals
1 dated events
- P••••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 25, 2022 · 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.
How to reach
public business contact points only, each with its source
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $101Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026