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
W••••••••• F•••• M••••••••• C•••••••••
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 52 filings
SEC status approved since Sep 17, 1984
RAUM
$16B
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
39
34 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
52 filings and snapshots on the tape
RAUM$16B as of Mar 30, 2026
Mar 30, 2012$13B then
HNW client RAUM$0 as of Mar 30, 2026
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 30, 20120 then
Employees (5.A)39 as of Mar 30, 2026
Apr 1, 201340 then
Private funds: no history
RAUM +11% over the last fiscal year+7.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $1.6BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween 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 investment companiesreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- 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)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$16B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 10reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• G•••••• E• · Directorcontrolsince 06/2024 · owns less than 5%
- K•••••• J•••• J•••• · Presidentcontrolsince 10/2006 · owns less than 5%
- M••••••••• A••••••• R•••• · Directorcontrolsince 06/2024 · owns less than 5%
- R•••• A••••••• M•••••• · Executive Vice President, Chief Investment Officer, Directorcontrolsince 11/2014 · owns less than 5%
- W•••••• E•••• J••••••• · Chair Of The Board And Chief Executive Officercontrolsince 06/2022 · owns less than 5%
- B••••••• A•••••• J••• · Chief Compliance Officersince 08/2022 · owns less than 5%
- G•••••• M••••••• D•••••• · Executive Vice President, Head Of Equity And Non-Traditional Investmentssince 02/2016 · owns less than 5%
- M••••••••• J•••• C•••••• · Chief Operations Officersince 12/2019 · owns less than 5%
- T•••••• L•••• A••• · Executive Vice President & Chief Economistsince 02/2015 · owns less than 5%
- V••••• R••••• H••••• · Executive Vice President & Head Of Fixed Incomesince 05/2021 · owns less than 5%
Entity owners
- M•• B••• C••••••••• · 100% Shareholderdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- M•• S••••••••• I•••broker-dealerreal estaten
- M••••••••• A•• T•••••• T•••• C••••••broker-dealern
- P••••••• U••••• A•••••••• I•••investment advisernRAUM $845M
- W••••••••• T•••• C••••••n
- W••••••••• T•••• I••••••••• A•••••••• I•••investment adviserbankLP sponsornRAUM $18B
- W••••••••• T•••• I••••••••• M•••••••••investment adviserbankpooled vehicle sponsornRAUM $141M
- W••••••••• T•••• N••••••• A•••••••••custodiann
Advisers that list W••••••••• F•••• M••••••••• C••••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Baltimore, MD1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $14B to $16BMar 27, 2025 to Mar 30, 2026
- RAUM · $14B to $16BMar 27, 2025 to Mar 30, 2026
- Advisory employees · 30 to 34Aug 1, 2024 to Mar 27, 2025
- Employees · 35 to 39Aug 1, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Aug 1, 2024 to Mar 27, 2025
- Discretionary RAUM · $15B to $14BAug 1, 2024 to Mar 27, 2025
- RAUM · $15B to $14BAug 1, 2024 to Mar 27, 2025
- Advisory employees · 38 to 30Jun 22, 2023 to Mar 28, 2024
- BD registered reps · 7 to 0Jun 22, 2023 to Mar 28, 2024
- Employees · 38 to 35Jun 22, 2023 to Mar 28, 2024
- Insurance-licensed employees · 1 to 0Jun 22, 2023 to Mar 28, 2024
- Discretionary RAUM · $13B to $15BJun 22, 2023 to Mar 28, 2024
- RAUM · $13B to $15BJun 22, 2023 to Mar 28, 2024
- Advisory employees · 67 to 38Sep 7, 2022 to Mar 30, 2023
- BD registered reps · 13 to 7Sep 7, 2022 to Mar 30, 2023
- Employees · 67 to 38Sep 7, 2022 to Mar 30, 2023
- Discretionary RAUM · $13B to $13BSep 7, 2022 to Mar 30, 2023
- RAUM · $13B to $13BSep 7, 2022 to Mar 30, 2023
- Accounts · 12 to 10Jan 26, 2022 to Mar 30, 2022
- Discretionary RAUM · $13B to $13BJan 26, 2022 to Mar 30, 2022
- RAUM · $13B to $13BJan 26, 2022 to Mar 30, 2022
- Other offices · 2 to 1Oct 30, 2020 to Mar 29, 2021
- Discretionary RAUM · $13B to $13BOct 30, 2020 to Mar 29, 2021
- RAUM · $13B to $13BOct 30, 2020 to Mar 29, 2021
- Advisory employees · 64 to 67Oct 23, 2019 to Mar 27, 2020
- BD registered reps · 5 to 13Oct 23, 2019 to Mar 27, 2020
- Employees · 64 to 67Oct 23, 2019 to Mar 27, 2020
- Discretionary RAUM · $11B to $13BOct 23, 2019 to Mar 27, 2020
- RAUM · $11B to $13BOct 23, 2019 to Mar 27, 2020
- Advisory employees · 59 to 64Jun 27, 2018 to Mar 29, 2019
- BD registered reps · 1 to 5Jun 27, 2018 to Mar 29, 2019
- Employees · 59 to 64Jun 27, 2018 to Mar 29, 2019
- Insurance-licensed employees · 3 to 1Jun 27, 2018 to Mar 29, 2019
- Discretionary RAUM · $11B to $11BJun 27, 2018 to Mar 29, 2019
- RAUM · $11B to $11BJun 27, 2018 to Mar 29, 2019
- Accounts · 14 to 12Feb 26, 2018 to Mar 30, 2018
- Advisory employees · 55 to 59Feb 26, 2018 to Mar 30, 2018
- Advisory activities · 2 to 1Feb 26, 2018 to Mar 30, 2018
- Employees · 55 to 59Feb 26, 2018 to Mar 30, 2018
- Insurance-licensed employees · 5 to 3Feb 26, 2018 to Mar 30, 2018
Signals
18 dated events
- Wesley Eric Taylor (Director) no longer on Schedule A of W••••••••• F•••• M••••••••• C••••••••• (listed 2024-06-24, absent 2024-08-01)Aug 1, 2024 · Control person left · inference
- Powers Doris Meister (Chair Of The Board And Chief Executive Officer) no longer on Schedule A of W••••••••• F•••• M••••••••• C••••••••• (listed 2024-03-28, absent 2024-06-24)Jun 24, 2024 · Control person left · inference
- J Kevin Pearson (Director) no longer on Schedule A of W••••••••• F•••• M••••••••• C••••••••• (listed 2024-03-28, absent 2024-06-24)Jun 24, 2024 · Control person left · inference
- R•••• A•••••• M•••••••• (Executive Vice President) appeared on Schedule A of W••••••••• F•••• M••••••••• C•••••••••Jun 24, 2024 · Control person joined · fact
- E. G••••• B•••• (Executive Vice President) appeared on Schedule A of W••••••••• F•••• M••••••••• C•••••••••Jun 24, 2024 · Control person joined · fact
- Wesley Eric Taylor (Director) appeared on Schedule A of W••••••••• F•••• M••••••••• C•••••••••Jun 22, 2023 · Control person joined · fact
- Marie Denise Cramer (Director) no longer on Schedule A of W••••••••• F•••• M••••••••• C••••••••• (listed 2023-03-30, absent 2023-06-22)Jun 22, 2023 · Control person left · inference
- Eric Taylor (Director) no longer on Schedule A of W••••••••• F•••• M••••••••• C••••••••• (listed 2023-03-30, absent 2023-06-22)Jun 22, 2023 · Control person left · inference
- James William Farrell (Director) no longer on Schedule A of W••••••••• F•••• M••••••••• C••••••••• (listed 2022-09-07, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Jennifer Warren (Director) appeared on Schedule A of W••••••••• F•••• M••••••••• C•••••••••Mar 30, 2023 · Control person joined · fact
- Eric Taylor (Director) appeared on Schedule A of W••••••••• F•••• M••••••••• C•••••••••Mar 30, 2023 · Control person joined · fact
- Raymond David Breck (Chief Compliance Officer) no longer on Schedule A of W••••••••• F•••• M••••••••• C••••••••• (listed 2022-03-30, absent 2022-04-05)Apr 5, 2022 · Control person left · inference
- Ellen Mary Reilly (Group Vice President, Director) no longer on Schedule A of W••••••••• F•••• M••••••••• C••••••••• (listed 2022-01-26, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Douglas Christopher Randall (Senior Vice President) no longer on Schedule A of W••••••••• F•••• M••••••••• C••••••••• (listed 2019-10-23, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- Maas Jeffrey Seling (Vice President And Chief Operations Officer) no longer on Schedule A of W••••••••• F•••• M••••••••• C••••••••• (listed 2019-10-23, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- J Kevin Pearson (Director) appeared on Schedule A of W••••••••• F•••• M••••••••• C•••••••••Mar 29, 2019 · Control person joined · fact
- Adam Richard Shatzkin (Director) no longer on Schedule A of W••••••••• F•••• M••••••••• C••••••••• (listed 2018-06-27, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Francis Rene Jones (Director) no longer on Schedule A of W••••••••• F•••• M••••••••• C••••••••• (listed 2018-06-27, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (302) 651-8118reportedpublic record, Form ADV, Mar 30, 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
- Asset manager (funds and pooled vehicles)deriveda 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