DFX Intelligence

RIA Intelligence

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F•••••••• L••

No RAUM reportedSEC-registered· New York, New Yorkwebsite

No RAUM reported, based in New York, New York.

Composed from this adviser's Form ADV classification, location and filed figures.

Advisors
0
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

  1. 4 changes
    ownership and control

    0 control persons joined and 4 left Schedule A in the last 12 months.

    A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.

    FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →
Every filed figure, and the identifiersCRD 325157 · SEC 801-127505 · 17 filingsShow
CRD 325157SEC 801-127505First filing on the tape Feb 21, 2023, latest Sep 23, 2026SEC status approved since Mar 23, 2023IAPD
RAUM
Not disclosed
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
Not computed
derived; firm RAUM over IAPD count
Employees
1
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape

Filed figures over time · the tape starts Feb 21, 2023

Peer group: Other advisers, under $100M, 660 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$0 as of May 19, 2026
Jan 31, 2025$0 then
HNW client RAUM$0 as of May 19, 2026
Feb 1, 2024$0 then
State-registered IARs (5.B.3)0 as of May 19, 2026
Feb 1, 20240 then
Employees (5.A)1 as of May 19, 2026
Feb 1, 20243 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 23, 2026; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$0derivedHNW 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 office 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
-45%derived
Compensation
fixed fees, subscriptionreportedItem 5.E
Advisory activities
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
  • marketing includes testimonials (5.L.1.c)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
956reported
HNW clients
302reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
Class basis
RAUM: 0% private clients, 0% pooled funds, 0% institutions; related broker-dealer not reported; related bank not reportedderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• K•••••• A••••• · President, Managercontrol
        since 08/2022 · owns less than 5%
      • C•••• A••••••••• N•• · Chief Executive Officer, Managercontrol
        since 01/2023 · owns less than 5%
      • C••• A•••••• C••••••••• · Chief Compliance Officer, Chief Operating Officercontrol
        since 10/2022 · owns less than 5%
      • K••••••• D••••• A••• · Managercontrol
        since 08/2022 · owns less than 5%
      • S••••••• P•••••• J••••• · Managercontrol
        since 08/2022 · owns less than 5%
      All 9 control persons
      • K••••••• D••••• A••• · President, Managercontrol
        since 01/2018 · general partner, trustee or elected manager of W••••• L••• L••
      • K••••••• D••••• A••• · Stockholdercontrol
        since 10/2015 · owns 25% to 50% of W••••• L•••• I••
      • S••••••• P•••••• J••••• · Stockholdercontrol
        since 10/2015 · owns 25% to 50% of W••••• L•••• I••
      • S••••••• P•••••• J••••• · Chief Executive Officer, Managercontrol
        since 01/2018 · general partner, trustee or elected manager of W••••• L••• L••
      Entity owners
      • W••••• L••• L•• · Member
        direct · owns 75% or more
      • W••••• L•••• I•• · Member
        indirect · owns 75% or more of W••••• L••• L••
      Ownership changes
      1 Schedule A change between consecutive filings, latest first
      • Added W••••• L•••• I•• · Member control
        filing of Apr 12, 2023, against Mar 22, 2023 · owns 75% or more · entity
      Who runs the funds
      related persons named most often on the Form D filings of the firm's funds
      No Form D related person is on record for this firm's funds.
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • client count collapseChange between filings · filing Feb 13, 2026
        individual and HNW clients (Item 5.D) moved from 12,608.0 to 6,884.0 (-45.0%) between the annual amendments of 2025-02-19 and 2026-02-13; the peer median change was +7.0% (11 comparable advisers, 10.0th percentile of changes)
        peers: other advisers, under $100M (11) · 10% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Related bank · false to unset
        May 19, 2026 to Sep 23, 2026
      • Accounts · 0.0 to unset
        May 19, 2026 to Sep 23, 2026
      • HNW clients · 1,667 to 302
        May 19, 2026 to Sep 23, 2026
      • Individual clients · 5,217 to 956
        May 19, 2026 to Sep 23, 2026
      • Financial planning clients · to unset
        May 19, 2026 to Sep 23, 2026
      Full history · 39 changes
      • Discretionary RAUM · 0.0 to unset
        May 19, 2026 to Sep 23, 2026
      • Non-discretionary RAUM · 0.0 to unset
        May 19, 2026 to Sep 23, 2026
      • RAUM · 0.0 to unset
        May 19, 2026 to Sep 23, 2026
      • Related adviser · false to unset
        May 19, 2026 to Sep 23, 2026
      • Related broker-dealer · false to unset
        May 19, 2026 to Sep 23, 2026
      • Related insurance company · false to unset
        May 19, 2026 to Sep 23, 2026
      • Succession · false to unset
        May 19, 2026 to Sep 23, 2026
      • HQ city · CORAL GABLES to NEW YORK
        Feb 13, 2026 to May 19, 2026
      • HQ state · FL to NY
        Feb 13, 2026 to May 19, 2026
      • HNW clients · 1,865 to 1,667
        Nov 14, 2025 to Feb 13, 2026
      • Individual clients · 10,743 to 5,217
        Nov 14, 2025 to Feb 13, 2026
      • Employees · 2 to 1
        Nov 14, 2025 to Feb 13, 2026
      • HNW clients · 0 to 1,865
        Jan 31, 2025 to Feb 19, 2025
      • Individual clients · 0 to 10,743
        Jan 31, 2025 to Feb 19, 2025
      • Employees · 3 to 2
        Jan 31, 2025 to Feb 19, 2025
      • Financial planning clients · unset to
        Jan 31, 2025 to Feb 19, 2025
      • Accounts · unset to 0.0
        Jul 11, 2024 to Jan 31, 2025
      • Discretionary RAUM · unset to 0.0
        Jul 11, 2024 to Jan 31, 2025
      • Non-discretionary RAUM · unset to 0.0
        Jul 11, 2024 to Jan 31, 2025
      • RAUM · unset to 0.0
        Jul 11, 2024 to Jan 31, 2025
      • HQ city · SAN FRANCISCO to CORAL GABLES
        Feb 22, 2024 to Jun 25, 2024
      • HQ state · CA to FL
        Feb 22, 2024 to Jun 25, 2024
      • Advisory employees · 1 to 0
        Feb 1, 2024 to Feb 15, 2024
      • Charity clients · unset to 0.0
        Apr 12, 2023 to Feb 1, 2024
      • Corporate clients · unset to 0.0
        Apr 12, 2023 to Feb 1, 2024
      • HNW clients · unset to 0.0
        Apr 12, 2023 to Feb 1, 2024
      • Individual clients · unset to 0.0
        Apr 12, 2023 to Feb 1, 2024
      • Pension plan clients · unset to 0.0
        Apr 12, 2023 to Feb 1, 2024
      • Pooled vehicle clients · unset to 0.0
        Apr 12, 2023 to Feb 1, 2024
      • HNW RAUM · unset to 0.0
        Apr 12, 2023 to Feb 1, 2024
      • Individual RAUM · unset to 0.0
        Apr 12, 2023 to Feb 1, 2024
      • Pension RAUM · unset to 0.0
        Apr 12, 2023 to Feb 1, 2024
      • Pooled vehicle RAUM · unset to 0.0
        Apr 12, 2023 to Feb 1, 2024
      • Advisory employees · 0 to 1
        Feb 21, 2023 to Mar 2, 2023
      Signals
      16 dated events
      • ••• Locked
        May 19, 2026 · Control person left · inference
      • ••• Locked
        May 19, 2026 · ria hq relocated · fact
      • ••• Locked
        May 19, 2026 · ria indirect owner change · derived
      • ••• Locked
        May 19, 2026 · ria indirect owner change · fact
      • ••• Locked
        May 19, 2026 · ria indirect owner change · derived
      Full timeline · 16 events
      • ••• Locked
        May 19, 2026 · ria indirect owner change · derived
      • ••• Locked
        May 19, 2026 · ria indirect owner change · derived
      • ••• Locked
        May 19, 2026 · ria indirect owner change · fact
      • ••• Locked
        May 19, 2026 · ria indirect owner change · derived
      • ••• Locked
        May 19, 2026 · ria majority owner change · fact
      • ••• Locked
        May 19, 2026 · ria principal change · derived
      • ••• Locked
        May 19, 2026 · ria principal change · derived
      • ••• Locked
        May 19, 2026 · Control person left · inference
      • ••• Locked
        May 19, 2026 · Control person left · inference
      • ••• Locked
        May 19, 2026 · Control person left · inference
      • ••• Locked
        Feb 21, 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.
      Web presence
      addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

      Website (1), LinkedIn company page (1), Facebook (1), X (Twitter) (1), TikTok (2) · the addresses open with an account

      2 earlier addresses on Form ADV filings, the earliest seen Jul 11, 2024
      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Sep 23, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Sep 23, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: regulatory AUM, net advisor flow, 12 months, RAUM change, 1 year, private clients.