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
F•• W••••• M••••••••• L••
Latest filing May 27, 2015
First filing on the tape Mar 30, 2012 · 9 filings
RAUM
$634M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$610M as of Mar 30, 2015
Mar 30, 2012$435M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2015
Mar 30, 20120 then
Employees (5.A)19 as of Mar 30, 2015
Mar 28, 20138 then
Private funds: no history
RAUM +39% over the last fiscal year+13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 27, 2015; every figure names its basis
- RAUM per advisor
- $634MderivedRAUM 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
- $493,943derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 19.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 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
- is a broker-dealer (6.A.1)
- 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
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
- 1,283reported
- Financial planning clients
- 1-10reported
- 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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- C•••••• P• C•••••••• to H••• S••••••••• •••• I•••Jul 19, 2013 · Other
- K•••••• F•••••• D•••• to L•• F••• S•••••••• L••Dec 21, 2012 · Other
- M•••••• A•••••• B•••••••• to L•• F••• S•••••••• L••Nov 21, 2012 · Other
Joined, latest
- D••••• P••• L• F•••• from A••••••••• F•••••••• S•••••••• L••Oct 10, 2014 · Other
- N•••••••• E••••• J•••••• from M••••• S••••••Feb 12, 2014 · Other
- B•••• W• Y••••• from W•••• F•••• A•••••••Apr 22, 2013 · Other
- C•••••• P• C•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 2, 2013 · Other
- K•••••• F•••••• D•••• from C••••••••• W••••• S••••••••• L••Jun 17, 2011 · Other
- S••••• P•••••• F••• from S••••••• F•••••••• S•••••••• I•••Jan 21, 2011 · Other
- R••••• S••••• F••••• from S••••••• F•••••••• S•••••••• I•••Feb 10, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for F•• W••••• M••••••••• L••Mar 23, 2016 · Chatham, Nj · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• J••• A•••••• · President/Secretary/Managing Membercontrolsince 10/1994 · owns 75% or more
- G•••••• D••• F•••••• F•••••• M••• · Chief Compliance Officercontrolsince 05/2014 · owns less than 5%
- G••••• C••••••••• A••• · Municipal Principalcontrolsince 07/2011 · owns less than 5%
- M•••••• C•••• J•• · Crop/Sropcontrolsince 05/2014 · owns less than 5%
- M•••••• S••••• O•••••• · Finopcontrolsince 11/2011 · owns less than 5%
Related persons
Schedule D 7.A
- F•• W••••• M••••••••• L••broker-dealerinvestment adviseryRAUM $634M
Advisers that list F•• W••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Wilmington, DE
What changed
consecutive filings, newest first
- Accounts · 1,278 to 1,283Mar 30, 2015 to May 27, 2015
- Discretionary RAUM · $607M to $631MMar 30, 2015 to May 27, 2015
- Non-discretionary RAUM · $2.8M to $2.8MMar 30, 2015 to May 27, 2015
- RAUM · $610M to $634MMar 30, 2015 to May 27, 2015
- Accounts · 1,036 to 1,278Dec 11, 2014 to Mar 30, 2015
- Advisory employees · 7 to 11Dec 11, 2014 to Mar 30, 2015
- BD registered reps · 7 to 12Dec 11, 2014 to Mar 30, 2015
- Employees · 8 to 19Dec 11, 2014 to Mar 30, 2015
- Financial planning clients · 0 to 1-10Dec 11, 2014 to Mar 30, 2015
- Discretionary RAUM · $454M to $607MDec 11, 2014 to Mar 30, 2015
- Non-discretionary RAUM · $2.7M to $2.8MDec 11, 2014 to Mar 30, 2015
- RAUM · $457M to $610MDec 11, 2014 to Mar 30, 2015
- Advisory activities · 3 to 4May 20, 2014 to Oct 10, 2014
- Accounts · 963 to 1,036Mar 28, 2013 to Mar 28, 2014
- Business name · F•• A••••••• L•• to F•• W••••• M••••••••• L••Mar 28, 2013 to Mar 28, 2014
- Commission compensation · true to falseMar 28, 2013 to Mar 28, 2014
- Legal name · F•• A•••••••• L•• to F•• W••••• M••••••••• L••Mar 28, 2013 to Mar 28, 2014
- Discretionary RAUM · $379M to $454MMar 28, 2013 to Mar 28, 2014
- Non-discretionary RAUM · $8.2M to $2.7MMar 28, 2013 to Mar 28, 2014
- RAUM · $387M to $457MMar 28, 2013 to Mar 28, 2014
- Related adviser · false to trueMar 28, 2013 to Mar 28, 2014
- Succession · true to falseMar 28, 2013 to Mar 28, 2014
- Accounts · 933 to 963Mar 30, 2012 to Mar 28, 2013
- Advisory employees · unset to 7.0Mar 30, 2012 to Mar 28, 2013
- BD registered reps · unset to 7.0Mar 30, 2012 to Mar 28, 2013
- Employees · unset to 8.0Mar 30, 2012 to Mar 28, 2013
- State-registered IARs · 0 to 1Mar 30, 2012 to Mar 28, 2013
- Discretionary RAUM · $425M to $379MMar 30, 2012 to Mar 28, 2013
- Non-discretionary RAUM · $9.5M to $8.2MMar 30, 2012 to Mar 28, 2013
- RAUM · $435M to $387MMar 30, 2012 to Mar 28, 2013
- Succession · false to trueMar 30, 2012 to Mar 28, 2013
Signals
1 dated events
- F•• A••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 28, 2013 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- F•• W••••• M••••••••• L•• · Private Equityshared crd · intermediary
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
F•• W••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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