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.

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Former SEC-registered adviser

D• W••••• A•••••••

Former SEC-registered adviserCRD 331530SEC 801-130635IAPD
Legal name D• W••••• A••••••• L••
Latest filing Nov 11, 2024
First filing on the tape Jun 6, 2024 · 7 filings
RAUM
$6.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$6.7M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$6.7M
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
7 filings and snapshots on the tape
RAUM$6.7M as of Nov 11, 2024
Jun 6, 2024$0 then
HNW client RAUM$6.5M as of Nov 11, 2024
Nov 8, 2024$6.5M then
State-registered IARs (5.B.3)1 as of Nov 11, 2024
Jun 6, 20241 then
Employees (5.A)1 as of Nov 11, 2024
Jun 6, 20241 then
Private funds: no history
Practice profile
derived from the filing of Nov 11, 2024; every figure names its basis
RAUM per advisor
$6.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
9derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$810,750derivedHNW RAUM over HNW clients
Average account
$479,857derivedRAUM 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
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 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$6.5M97%
  • Individuals$232,0003.5%
Individual clients
1reported
HNW clients
8reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
14reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D•••• A•••• A•••••••Highland Park, IlAug 29, 202447 y1
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • A•••••••• D••••• A•••• · Managing Member, President, And Chief Compliance Officercontrol
      since 04/2024 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 0 to 14
      Oct 23, 2024 to Nov 8, 2024
    • Charity clients · unset to 0.0
      Oct 23, 2024 to Nov 8, 2024
    • Corporate clients · unset to 0.0
      Oct 23, 2024 to Nov 8, 2024
    • HNW clients · unset to 8.0
      Oct 23, 2024 to Nov 8, 2024
    • Individual clients · unset to 1.0
      Oct 23, 2024 to Nov 8, 2024
    • Pension plan clients · unset to 0.0
      Oct 23, 2024 to Nov 8, 2024
    • Pooled vehicle clients · unset to 0.0
      Oct 23, 2024 to Nov 8, 2024
    • Discretionary RAUM · $0 to $6.7M
      Oct 23, 2024 to Nov 8, 2024
    • HNW RAUM · unset to 6486000.0
      Oct 23, 2024 to Nov 8, 2024
    • Individual RAUM · unset to 232000.0
      Oct 23, 2024 to Nov 8, 2024
    • Pension RAUM · unset to 0.0
      Oct 23, 2024 to Nov 8, 2024
    • Pooled vehicle RAUM · unset to 0.0
      Oct 23, 2024 to Nov 8, 2024
    • RAUM · $0 to $6.7M
      Oct 23, 2024 to Nov 8, 2024
    • Other offices · 1 to 0
      Oct 8, 2024 to Oct 23, 2024
    • Other offices · 0 to 1
      Jun 6, 2024 to Oct 7, 2024
    Signals
    1 dated events
    • D• W••••• A••••••• filed its initial SEC registration (Form ADV)
      Jun 6, 2024 · 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
    $6.7Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026