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
A••••• A•••• M••••••••• L••
Legal name A•• W••••• A•••••••• L••
Latest filing Apr 28, 2026
First filing on the tape Dec 19, 2023 · 6 filings
SEC status approved since Feb 5, 2024
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$0 as of Apr 28, 2026
Mar 29, 2024$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 28, 2026
Mar 29, 20240 then
Employees (5.A)9 as of Apr 28, 2026
Mar 29, 20245 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 28, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 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 pooled vehicles, portfolio management for investment companiesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L•• I••••• S••••• L• | Hedge Fund | $11.0M | 10 | Dec 12, 2022 |
Owners and control persons
Schedule A and B, latest filing
- M•••••••• W••••••• H••• · President And Chief Compliance Officercontrolsince 11/2022 · owns less than 5%
Entity owners
- A••••• L•••• I••• · Activeindirect · owns 75% or more of L•••••••• M••••• A•••••••• L•• · public reporting company
- L•••••••• M••••• A•••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- L•• I••••• S••••• G•• L••pooled vehicle sponsorn
- R••••••• I••••••••• S•••••••• I•••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Business name · A•• W••••• A•••••••• L•• to A••••• A•••• M••••••••• L••Dec 2, 2025 to Mar 2, 2026
- Advisory employees · 1 to 5Mar 28, 2025 to Dec 2, 2025
- Advisory activities · 1 to 2Mar 28, 2025 to Dec 2, 2025
- BD registered reps · 1 to 2Mar 28, 2025 to Dec 2, 2025
- Pooled vehicle clients · unset to 2.0Mar 28, 2025 to Dec 2, 2025
- Employees · 5 to 9Mar 28, 2025 to Dec 2, 2025
- Pooled vehicle RAUM · unset to 0.0Mar 28, 2025 to Dec 2, 2025
- Business name · L•••••••• W••••• A•••••••• L•• to A•• W••••• A•••••••• L••Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Related adviser · false to trueMar 29, 2024 to Mar 28, 2025
- Legal name · L•••••••• W••••• A•••••••• L•• to A•• W••••• A•••••••• L••Dec 19, 2023 to Mar 29, 2024
Signals
1 dated events
- L•••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Dec 19, 2023 · 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
- Website
- a•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 407-358-3332reportedpublic record, Form ADV, Apr 28, 2026
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
- No RAUM reportedderiveda 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