DFX Intelligence

W••••••••• M••••••••• C••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

W••••••••• M••••••••• C••••• L••

CRD 172386

BOSTON, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2fb9d0e9-9942-6566-2759-14fd74c518f9

Data as of Mar 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 1
On other graphs: 0
Observed: Aug 19, 2014 to Mar 29, 2018
11 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $17B••• Locked
Discretionary RAUM: $17B
Private client RAUM: $46.6Mderived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 0
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• K••••••• J•	MEMBER OF MANAGEMENT COMMITTEE	Na	yes	08/2014	Aug 19, 2014	Mar 29, 2018
M••••••• B••••• T••••••	MEMBER OF MANAGEMENT COMMITTEE	Na	yes	08/2014	Aug 19, 2014	Mar 29, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W••••••••• M••••••••• C•••••• L••	n/a	Asset manager	$1428B	N	yes	n/a
W••••••••• M••••••••• I••••••••• L••••••	n/a	Former SEC adviser	$101B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 29, 2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$17B	$15B	13.6%	$15B	3.5%	0	0	0	n/a

Relationships

Affiliated with (7)

→ W••••••••• M••••••••• C•••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ W••••••••• M••••••••• J•••• P•• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ W••••••••• M••••••••• I••••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ W••••••••• M••••••••• H••• K••• L••••••Registered adviser

Dated events

Occurred
Aug 19, 2014
First Form ADV filing
W••••••••• M••••••••• C••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2fb9d0e9-9942-6566-2759-14fd74c518f9
First observed: Aug 19, 2014
Last observed: Mar 29, 2018 103 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Controls (13)

← P••••••••• M••••••• H•••••OwnerMEMBER OF MANAGEMENT COMMITTEE, ownership code NA, individual
Aug 19, 2014 to presentfactForm ADV
← M••••• C••••••••• M••••••OwnerMEMBER OF MANAGEMENT COMMITTEE, ownership code NA, individual
Jan 2, 2015 to presentfactForm ADV
← T•••••• M••••••• C•••••OwnerMEMBER OF MANAGEMENT COMMITTEE, ownership code NA, individual
Aug 19, 2014 to presentfactForm ADV
← M••••••• B••••• T••••••OwnerMEMBER OF MANAGEMENT COMMITTEE, ownership code NA, individual
Aug 19, 2014 to presentfactForm ADV
← P•••••••• I•••••••• M••••OwnerMEMBER OF MANAGEMENT COMMITTEE, ownership code NA, individual
Mar 29, 2018 to presentfactForm ADV
← B••••••••• K••••••• J•OwnerMEMBER OF MANAGEMENT COMMITTEE, ownership code NA, individual
Aug 19, 2014 to presentfactForm ADV
← P••••• S••••• M•••••OwnerMEMBER OF MANAGEMENT COMMITTEE, ownership code NA, individual
Aug 19, 2014 to presentfactForm ADV
← M••••••• A•••• J•••••OwnerMEMBER OF MANAGEMENT COMMITTEE, ownership code NA, individual
Aug 19, 2014 to presentfactForm ADV
← S•••• A•••••• M•••••••OwnerMEMBER OF MANAGEMENT COMMITTEE, ownership code NA, individual
Aug 19, 2014 to presentfactForm ADV
← O•••••••• S•••••• S••••••OwnerMEMBER OF MANAGEMENT COMMITTEE, ownership code NA, individual
Aug 19, 2014 to presentfactForm ADV
← W••••••••• G•••• H••••••• L••OwnerMANAGING PARTNER, ownership code E, domestic entity
Aug 19, 2014 to presentfactForm ADV
← W••••••••• I••••••••• A••••••• H••••••• L••OwnerMEMBER OF LLC, ownership code E, domestic entity
Aug 19, 2014 to presentfactForm ADV
← W••••••••• M••••••••• G•••• L••OwnerMANAGING PARTNER, ownership code E, domestic entity
Jan 2, 2015 to presentfactForm ADV