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
W••••• C•••••• M••••••••• I••
Latest filing Oct 26, 2015
First filing on the tape Mar 12, 2012 · 6 filings
RAUM
$80.3M
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$190M as of Mar 18, 2015
Mar 12, 2012$216M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2015
Mar 12, 20120 then
Employees (5.A)5 as of Mar 18, 2015
Mar 20, 20136 then
Private funds: 1
RAUM -57% over the last fiscal year-28% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 26, 2015; every figure names its basis
- 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
- $723,202derivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.5%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 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)
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
- 111reported
- 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
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• P•••••••• L•••no longer reported | Hedge Fund | $5.3M | 7 | Mar 12, 2012 |
Owners and control persons
Schedule A and B, latest filing
- K•••••• D••••• J•• · Vice Presidentcontrolsince 04/2000 · owns less than 5%
- W•••••• A•••• E• · Ceocontrolsince 03/1976 · owns 75% or more
- W•••••• C•••• · President & Chief Compliance Officercontrolsince 03/2007 · owns less than 5%
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 · 240 to 111Mar 18, 2015 to Oct 26, 2015
- Advisory employees · 4 to 3Mar 18, 2015 to Oct 26, 2015
- Advisory activities · 2 to 1Mar 18, 2015 to Oct 26, 2015
- Employees · 5 to 4Mar 18, 2015 to Oct 26, 2015
- Discretionary RAUM · $190M to $80.3MMar 18, 2015 to Oct 26, 2015
- RAUM · $190M to $80.3MMar 18, 2015 to Oct 26, 2015
- Accounts · 245 to 240Mar 20, 2014 to Mar 18, 2015
- Employees · 6 to 5Mar 20, 2014 to Mar 18, 2015
- Discretionary RAUM · $187M to $190MMar 20, 2014 to Mar 18, 2015
- RAUM · $187M to $190MMar 20, 2014 to Mar 18, 2015
- Accounts · 270 to 245Mar 20, 2013 to Mar 20, 2014
- Discretionary RAUM · $190M to $187MMar 20, 2013 to Mar 20, 2014
- RAUM · $190M to $187MMar 20, 2013 to Mar 20, 2014
- Accounts · 280 to 270Mar 12, 2012 to Mar 20, 2013
- Advisory employees · unset to 4.0Mar 12, 2012 to Mar 20, 2013
- Advisory activities · 3 to 2Mar 12, 2012 to Mar 20, 2013
- Employees · unset to 6.0Mar 12, 2012 to Mar 20, 2013
- Private funds · 1 to unsetMar 12, 2012 to Mar 20, 2013
- Discretionary RAUM · $216M to $190MMar 12, 2012 to Mar 20, 2013
- Non-discretionary RAUM · $13,320 to $0Mar 12, 2012 to Mar 20, 2013
- RAUM · $216M to $190MMar 12, 2012 to Mar 20, 2013
Signals
No event on the tape.
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026