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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SEC-registered adviser
P••••• W•••••
Legal name P• A•••••••• L••
Latest filing Jul 28, 2026
First filing on the tape May 12, 2025 · 6 filings
SEC status approved since Jun 23, 2025
RAUM
$132M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$127M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$33.0M
derived; firm RAUM over IAPD count
Employees
7
4 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$132M as of Jul 28, 2026
May 12, 2025$0 then
HNW client RAUM$101M as of Jul 28, 2026
Nov 20, 2025$102M then
State-registered IARs (5.B.3)4 as of Jul 28, 2026
May 12, 20253 then
Employees (5.A)7 as of Jul 28, 2026
May 12, 20258 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 28, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $33.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 121derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $452,739derivedHNW RAUM over HNW clients
- Average account
- $263,645derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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 assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $132MreportedItem 5.I
- 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$101M77%
- Individuals$25.7M19%
- Charitable organizations$2.9M2.2%
- Corporations and businesses$1.9M1.4%
- Individual clients
- 261reported
- HNW clients
- 224reported
- Pension plan clients
- n/areported
- Charitable clients
- 11reported
- Accounts
- 500reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| A••••• L••••••• | Tallahassee, Fl | Jul 24, 2025 | 10 y | 1 |
| N••••••• C•••••• C••••• | Tallahassee, Fl | Jul 24, 2025 | 13 y | 2 |
| P••• A••••• M•••••Certified Financial Planner | Tallahassee, Fl | Oct 27, 2025 | 11 y | 0 |
| N•••••••• I• W••••• | Tallahassee, Fl | Jul 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
- N••••••• C•••••• C••••• from M•• I•••••••• S•••••••• L••Jul 24, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- A••••• L••••••• from M•• I•••••••• S•••••••• L••Jul 24, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M•• I•••••••• S•••••••• L••Jul 21, 2025 · Tallahassee, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• N••••••• · Manager / Financial Advisor / Chief Compliance Officercontrolsince 04/2025 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Tallahassee, Fl · principal | 4 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Apr 15, 2026 to Jul 28, 2026
- State-registered IARs · 3 to 4Apr 15, 2026 to Jul 28, 2026
- Accounts · 506 to 500Nov 20, 2025 to Feb 13, 2026
- Charity clients · unset to 11.0Nov 20, 2025 to Feb 13, 2026
- HNW clients · 104 to 224Nov 20, 2025 to Feb 13, 2026
- Individual clients · 149 to 261Nov 20, 2025 to Feb 13, 2026
- Employees · 8 to 7Nov 20, 2025 to Feb 13, 2026
- Financial planning clients · 0 to 101-250Nov 20, 2025 to Feb 13, 2026
- Discretionary RAUM · $131M to $132MNov 20, 2025 to Feb 13, 2026
- HNW RAUM · $102M to $101MNov 20, 2025 to Feb 13, 2026
- Individual RAUM · $25.8M to $25.7MNov 20, 2025 to Feb 13, 2026
- RAUM · $131M to $132MNov 20, 2025 to Feb 13, 2026
- Accounts · 0 to 506Jul 15, 2025 to Nov 20, 2025
- Advisory employees · 4 to 3Jul 15, 2025 to Nov 20, 2025
- HNW clients · unset to 104.0Jul 15, 2025 to Nov 20, 2025
- Individual clients · unset to 149.0Jul 15, 2025 to Nov 20, 2025
- Employees · 7 to 8Jul 15, 2025 to Nov 20, 2025
- Financial planning clients · 0 to 0Jul 15, 2025 to Nov 20, 2025
- Discretionary RAUM · $0 to $131MJul 15, 2025 to Nov 20, 2025
- HNW RAUM · unset to 101650000.0Jul 15, 2025 to Nov 20, 2025
- Individual RAUM · unset to 25800000.0Jul 15, 2025 to Nov 20, 2025
- RAUM · $0 to $131MJul 15, 2025 to Nov 20, 2025
- Business name · P• A••••••• to P••••• W•••••May 12, 2025 to Jul 15, 2025
- Employees · 8 to 7May 12, 2025 to Jul 15, 2025
- Financial planning clients · unset to 0May 12, 2025 to Jul 15, 2025
- Wrap assets (manager) · unset to 0.0May 12, 2025 to Jul 15, 2025
- Wrap assets (sponsor) · unset to 0.0May 12, 2025 to Jul 15, 2025
Signals
1 dated events
- 2 advisors left M•• I•••••••• S•••••••• L•• (Tallahassee, FL) for P••••• W••••• on the same dayJul 21, 2025 · Team lift-out · derived
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
- Business phone
- 850-972-9725reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 850-739-7055reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- pwadvisors.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (850) 972-9725reportedpublic record, Form ADV, Jul 28, 2026
- Team page
- pwadvisors.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $33.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026