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••••••••• C••••••• L••
Latest filing Jun 18, 2026
First filing on the tape Mar 29, 2012 · 36 filings
SEC status approved since Nov 27, 1995
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.9%
$25.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.3B
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$1.3B as of Jun 18, 2026
Mar 29, 2012$1.0B then
HNW client RAUM$9.3M as of Jun 18, 2026
Mar 29, 2018$7.2M then
State-registered IARs (5.B.3)0 as of Jun 18, 2026
Mar 27, 20130 then
Employees (5.A)7 as of Jun 18, 2026
Mar 27, 20139 then
Private funds2 as of Jun 18, 2026
Mar 29, 20122 then
RAUM -29% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $1.3BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.3MderivedHNW RAUM over HNW clients
- Average account
- $16.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 46%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -29%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -59%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $172M, 2 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$506M38%
- State and municipal entities$268M20%
- Pooled investment vehicles$195M15%
- Pension and profit-sharing plans$171M13%
- Charitable organizations$139M10%
- Insurance companies$38.9M2.9%
- Individuals$16.0M1.2%
- High-net-worth individuals$9.3M0.7%
- Individual clients
- 62reported
- HNW clients
- 1reported
- Pension plan clients
- 1reported
- Charitable clients
- 4reported
- Accounts
- 80reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $15.7M managedreported
- Custody of client assets
- $172M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.02 fund_share=0.52 institutional_share=0.46 related_bd=true related_bank=true bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• A•••••••• W•••••••••Chartered Financial Analyst | Boston, Ma | Jan 21, 1996 | 30 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
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W••••••••• G••••• F•••• L••• | Hedge Fund | $143M | 33 | Mar 29, 2012 |
| W••••••••• L••••••••• F•••• L••• | Hedge Fund | $37.0M | 14 | Feb 2, 2015 |
| W••••••••• L••••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $28.0M | 21 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••• D•••••• C••••• · Chief Executive Officer And Presidentcontrolsince 03/2017 · owns less than 5%
- F•••••••• E••••••••• A•• · Chief Compliance Officercontrolsince 07/2016 · owns less than 5%
- K•••••• R•••••• L•••• · Chief Financial Officer, Treasurercontrolsince 03/2017 · owns less than 5%
- L•••••• H•• · Chief Operating Officer, Secretarycontrolsince 03/2017 · owns less than 5%
- P••••• T••• · Assistant Secretarycontrolsince 07/2017 · owns less than 5%
- A••••• A••••••••• D•••• · Stockholdersince 03/2017 · owns 25% to 50% of A•••• A••••••••• I•••
- A••••• H•••••• M••••• · Stockholdersince 03/2017 · owns 25% to 50% of A•••• A••••••••• I•••
- A••••• N•••••• D•••••••• · Stockholdersince 03/2017 · owns 25% to 50% of A•••• A••••••••• I•••
Entity owners
- A•••• G•••• H•••••••• L•• · Direct Parent Of Applicantdirect · owns 75% or more
- A•••• A••••••••• I••• · Indirect Parent Of Applicantindirect · owns 75% or more of A•••• G•••• H•••••••• L••
Related persons
Schedule D 7.A
- A•••• A••••••••• H••••••• I•• L••pooled vehicle sponsorn
- A•••• A••••••••• H•••••••• L••pooled vehicle sponsorn
- A•••• M••••••••• ••••••••• P••• L•••broker-dealern
- A•••• M••••••••• L••broker-dealerinvestment advisern
- F••• A•••• • C••••••• L••broker-dealern
- F••• A•••• M••••••••• L••investment adviserbanknRAUM $26B
- R•••••• I••••••••• L••investment advisernRAUM $710M
- W••••••••• L•••••• P•••••••••pooled vehicle sponsorn
- W••••••••• M••••••••• L••pooled vehicle sponsorn
Advisers that list W••••••••• C••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 31, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $1,890,281,033 to $1,343,099,761, advisors 0 to 0, private clients 154 to 63, offices 1 to 1 (2025-03-31 to 2026-03-31)peers: other advisers, $1B to $5B (247)
- client count collapseChange between filings · filing Mar 31, 2026individual and HNW clients (Item 5.D) moved from 154.0 to 63.0 (-59.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (37 comparable advisers, 6.0th percentile of changes)peers: other advisers, $1B to $5B (37) · 5.6% percentile
- RAUM down 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $1,890,281,033 to $1,343,099,761 (-29.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +11.0% (231 comparable advisers, 5.0th percentile of changes)peers: other advisers, $1B to $5B (231) · 5.2% percentile
What changed
consecutive filings, newest first
- Accounts · 172 to 80Mar 31, 2025 to Mar 31, 2026
- BD registered reps · 0 to 1Mar 31, 2025 to Mar 31, 2026
- Charity clients · 5 to 4Mar 31, 2025 to Mar 31, 2026
- Individual clients · 153 to 62Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $197M to $172MMar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.9B to $1.3BMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $9.2M to $9.3MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $74.0M to $16.0MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $184M to $171MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $232M to $195MMar 31, 2025 to Mar 31, 2026
- RAUM · $1.9B to $1.3BMar 31, 2025 to Mar 31, 2026
- Wrap assets (manager) · $73.8M to $15.7MMar 31, 2025 to Mar 31, 2026
- Accounts · 247 to 172Jan 2, 2025 to Mar 31, 2025
- Charity clients · 7 to 5Jan 2, 2025 to Mar 31, 2025
- Individual clients · 223 to 153Jan 2, 2025 to Mar 31, 2025
- Pension plan clients · 3 to 1Jan 2, 2025 to Mar 31, 2025
- Assets in custody · $181M to $197MJan 2, 2025 to Mar 31, 2025
- Employees · 8 to 7Jan 2, 2025 to Mar 31, 2025
- Financial planning clients · unset to Jan 2, 2025 to Mar 31, 2025
- Discretionary RAUM · $2.1B to $1.9BJan 2, 2025 to Mar 31, 2025
- HNW RAUM · $8.0M to $9.2MJan 2, 2025 to Mar 31, 2025
- Individual RAUM · $91.2M to $74.0MJan 2, 2025 to Mar 31, 2025
- Pension RAUM · $332M to $184MJan 2, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $220M to $232MJan 2, 2025 to Mar 31, 2025
- RAUM · $2.1B to $1.9BJan 2, 2025 to Mar 31, 2025
- Wrap assets (manager) · $91.1M to $73.8MJan 2, 2025 to Mar 31, 2025
- Accounts · 285 to 247Mar 31, 2023 to Mar 28, 2024
- Individual clients · 260 to 223Mar 31, 2023 to Mar 28, 2024
- Pooled vehicle clients · 4 to 5Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $172M to $181MMar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $2.3B to $2.1BMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $7.1M to $8.0MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $98.1M to $91.2MMar 31, 2023 to Mar 28, 2024
- Pension RAUM · $330M to $332MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $227M to $220MMar 31, 2023 to Mar 28, 2024
- RAUM · $2.3B to $2.1BMar 31, 2023 to Mar 28, 2024
- Wrap assets (manager) · $97.9M to $91.1MMar 31, 2023 to Mar 28, 2024
- Accounts · 312 to 285Jun 1, 2022 to Mar 31, 2023
- Individual clients · 287 to 260Jun 1, 2022 to Mar 31, 2023
- Assets in custody · $271M to $172MJun 1, 2022 to Mar 31, 2023
Signals
11 dated events
- W••••••••• C••••••• L•• reported RAUM $1.3B, down 29% from $1.9B (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- W••••••••• C••••••• L•• reported RAUM $2.3B, down 45% from $4.2B (2022-06-01 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- A•••••••• M•••••• W••••••••• (Manager, President) no l•••er on Schedule A of W••••••••• C••••••• L•• (listed 2022-06-01, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- W••••••••• C••••••• L•• reported RAUM $3.4B, up 75% from $1.9B (2020-06-30 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- W••••••••• C••••••• L•• reported RAUM $1.9B, up 50% from $1.3B (2019-05-21 to 2020-03-26)Mar 26, 2020 · RAUM change · derived
- C••••• D••••• C•••• (Manager) appeared on Schedule A of W••••••••• C••••••• L••Mar 26, 2020 · Control person joined · fact
- L•••• R••••• K••••• (Manager, Treasurer) appeared on Schedule A of W••••••••• C••••••• L••Mar 26, 2020 · Control person joined · fact
- Hal L••••• (Manager, Secretary) appeared on Schedule A of W••••••••• C••••••• L••Mar 26, 2020 · Control person joined · fact
- T••• P•••• (Assistant Secretary) appeared on Schedule A of W••••••••• C••••••• L••Mar 26, 2020 · Control person joined · fact
- G••••• H••••• Dai (Senior Managing Director, Chief Investment Officer) no l•••er on Schedule A of W••••••••• C••••••• L•• (listed 2019-05-21, absent 2020-03-26)Mar 26, 2020 · Control person left · inference
- M••• W••••••••• • C••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 10, 2014 · Succession (Item 4) · fact
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
- Firm profile
- linkedin.com/company/algerreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/m.a.-weatherbie-&-co.reportedpublic record, Form ADV, Sep 18, 2026
- Website
- A••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-951-2550reportedpublic record, Form ADV, Jun 18, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.3Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026