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••••••••• M••••••••• C•••••• L••
Latest filing Jul 9, 2026
First filing on the tape Dec 21, 2011 · 78 filings
SEC status approved since Oct 30, 1979
RAUM
$1428B
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1428B
derived; firm RAUM over IAPD count
Employees
1,868
497 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
77
reported on Schedule D
History
78 filings and snapshots on the tape
RAUM$1428B as of Jul 9, 2026
Mar 16, 2012$651B then
HNW client RAUM$0 as of Jul 9, 2026
Mar 29, 2018$1.2B then
State-registered IARs (5.B.3)1 as of Jul 9, 2026
Mar 28, 20130 then
Employees (5.A)1,868 as of Jul 9, 2026
Mar 28, 20131,500 then
Private funds77 as of Jul 9, 2026
Mar 16, 2012155 then
RAUM +9.4% over the last fiscal year+5.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jul 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- solo s•••• team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $1428BderivedRAUM 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
- $916MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 25%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1868.0derivedItem 5.A over advisors
- Advisors per office
- 0.1derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.4%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, fixed fees, 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
- yesreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- a related person acts as qualified custodian (9.D.2)
- controlled by a public reporting company (10.A)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$636B45%
- Pooled investment vehicles$327B23%
- Insurance companies$145B10%
- Other investment advisers$86B6.1%
- State and municipal entities$70B4.9%
- Pension and profit-sharing plans$66B4.6%
- Sovereign wealth funds$52B3.6%
- Charitable organizations$19B1.3%
- Banks and thrifts$15B1.0%
- Corporations and businesses$13B0.9%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 172reported
- Charitable clients
- 74reported
- Accounts
- 1,559reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $55.5M managedreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.74 institutional_share=0.25 related_bd=true related_bank=true bd_reps=63.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• L•••• W••••••• | Boston, Ma | Jan 17, 2014 | 16 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
165 reported on Schedule D 7.B.(1)
All funds of W••••••••• M••••••••• C•••••• L••
Owners and control persons
Schedule A and B, latest filing
- H••••• J•••• M•••• · Chief Executive Officercontrolsince 07/2021 · owns less than 5%
- K•••• S•••••• · Presidentcontrolsince 01/2021 · owns less than 5%
- K•••••• G••••••• S•••• · Head Of Legal, A••••••Ssince 08/2019 · owns less than 5%
- M•••••• E•••• K••••••• · Chief Financial Officersince 05/2023 · owns less than 5%
- S•••••• I••••• K• · Chief Compliance Officersince 07/2024 · owns less than 5%
Entity owners
- W••••••••• I••••••••• A••••••• H••••••• L•• · Managing Partnerdirect · owns 75% or more
- W••••••••• G•••• H••••••• L•• · Managing Partnerindirect · owns 75% or more of W••••••••• I••••••••• A••••••• H••••••• L••
- W••••••••• M••••••••• G•••• L•• · Managing Partnerindirect · owns 75% or more of W••••••••• G•••• H••••••• L••
Related persons
Schedule D 7.A
- C•••••• I••••••••• I• C•••••••• G• L••investment adviserpooled vehicle sponsorn
- W••••••••• A••••••••• I••••••••• G• L••• S•••• G••••• L••••••••• S•• R•••pooled vehicle sponsorn
- W••••••••• A••••••••• I•••••••••investment adviserbankpooled vehicle sponsornRAUM $92B
- W••••••••• B••••••••• I••••••••• I• G• L•••investment adviserpooled vehicle sponsorn
- W••••••••• C•••••• I••••••••• I• G• L•••investment adviserpooled vehicle sponsorn
- W••••••••• C•• G• L••investment adviserpooled vehicle sponsorn
- W••••••••• F•••• ••• L••investment adviserbankpooled vehicle sponsornRAUM $5.4B
- W••••••••• F•••• D••••••••• I•••broker-dealern
- W••••••••• G••••• P•••••• F••• M••••••••• ••••••••• L••••••pooled vehicle sponsorn
- W••••••••• H••••• H••••• I• G• L•••investment adviserpooled vehicle sponsorn
- W••••••••• L••••••••• S•• R•••investment adviserpooled vehicle sponsorn
- W••••••••• M••••••••• A•••••••• P•• L••investment advisern
- W••••••••• M••••••••• C••••• U••investment advisern
- W••••••••• M••••••••• C•• A••••••• L••investment advisern
- W••••••••• M••••••••• E••••• G•••investment adviserbankn
- W••••••••• M••••••••• F•••• L••investment adviserpooled vehicle sponsorn
- W••••••••• M••••••••• H••• K••• L••••••investment adviserbanknRAUM $14B
- W••••••••• M••••••••• I••••••••• L••••••investment adviserbankn
- W••••••••• M••••••••• J•••• P•• L••investment adviserbanknRAUM $18B
- W••••••••• M••••••••• S•••••••• P••• L•••investment adviserbankn
- W••••••••• M••••••••• S••••••••• G•••investment advisern
- W••••••••• P•••••• F••• M••••••••• ••••••••• L••••••pooled vehicle sponsorn
- W••••••••• T•••• C••••••• N•custodiann
- W••••••••• V•••••• I••••••••• I• G• L•••investment adviserpooled vehicle sponsorn
Advisers that list W••••••••• M••••••••• C•••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY33 employees
- Radnor, PA14 employees
- San Francisco, CA7 employees
- Chicago, IL7 employees
- Palm Beach, FL4 employees
- Needham, MA1 employees
What changed
consecutive filings, newest first
- Accounts · 1,540 to 1,559Jan 2, 2026 to Mar 31, 2026
- Advisory employees · 479 to 497Jan 2, 2026 to Mar 31, 2026
- BD registered reps · 64 to 63Jan 2, 2026 to Mar 31, 2026
- Charity clients · 72 to 74Jan 2, 2026 to Mar 31, 2026
- Corporate clients · 36 to 40Jan 2, 2026 to Mar 31, 2026
- Pension plan clients · 186 to 172Jan 2, 2026 to Mar 31, 2026
- Pooled vehicle clients · 422 to 408Jan 2, 2026 to Mar 31, 2026
- Employees · 1,869 to 1,868Jan 2, 2026 to Mar 31, 2026
- Private funds · 81 to 77Jan 2, 2026 to Mar 31, 2026
- Discretionary RAUM · $1217B to $1326BJan 2, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $89B to $102BJan 2, 2026 to Mar 31, 2026
- Pension RAUM · $68B to $66BJan 2, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $264B to $327BJan 2, 2026 to Mar 31, 2026
- RAUM · $1306B to $1428BJan 2, 2026 to Mar 31, 2026
- Wrap assets (manager) · $61.1M to $55.5MJan 2, 2026 to Mar 31, 2026
- Private funds · 79 to 81Mar 31, 2025 to Aug 12, 2025
- Accounts · 1,559 to 1,540Jan 2, 2025 to Mar 31, 2025
- Advisory employees · 541 to 479Jan 2, 2025 to Mar 31, 2025
- BD registered reps · 70 to 64Jan 2, 2025 to Mar 31, 2025
- Corporate clients · 39 to 36Jan 2, 2025 to Mar 31, 2025
- Pension plan clients · 193 to 186Jan 2, 2025 to Mar 31, 2025
- Pooled vehicle clients · 467 to 422Jan 2, 2025 to Mar 31, 2025
- Employees · 2,021 to 1,869Jan 2, 2025 to Mar 31, 2025
- Financial planning clients · unset to Jan 2, 2025 to Mar 31, 2025
- Private funds · 84 to 79Jan 2, 2025 to Mar 31, 2025
- Discretionary RAUM · $1193B to $1217BJan 2, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $89B to $89BJan 2, 2025 to Mar 31, 2025
- Pension RAUM · $72B to $68BJan 2, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $262B to $264BJan 2, 2025 to Mar 31, 2025
- RAUM · $1283B to $1306BJan 2, 2025 to Mar 31, 2025
- Wrap assets (manager) · $76.9M to $61.1MJan 2, 2025 to Mar 31, 2025
- Private funds · 82 to 84Jul 10, 2024 to Jan 2, 2025
- Private funds · 89 to 82Mar 29, 2024 to Jul 1, 2024
- Wrap assets (manager) · $86.4M to $76.9MMar 29, 2024 to Jul 1, 2024
- Accounts · 1,338 to 1,559Jan 10, 2024 to Mar 29, 2024
- Advisory employees · 587 to 541Jan 10, 2024 to Mar 29, 2024
- BD registered reps · 74 to 70Jan 10, 2024 to Mar 29, 2024
- Charity clients · 67 to 72Jan 10, 2024 to Mar 29, 2024
- Corporate clients · 45 to 39Jan 10, 2024 to Mar 29, 2024
- Pension plan clients · 198 to 193Jan 10, 2024 to Mar 29, 2024
Signals
4 dated events
- Marie Jean Hynes (Chief Executive Officer) appeared on Schedule A of W••••••••• M••••••••• C•••••• L••Jul 1, 2021 · Control person joined · fact
- Joseph Brendan Swords (Chief Executive Officer) no longer on Schedule A of W••••••••• M••••••••• C•••••• L•• (listed 2021-03-31, absent 2021-07-01)Jul 1, 2021 · Control person left · inference
- Stephen Klar (President) appeared on Schedule A of W••••••••• M••••••••• C•••••• L••Jan 7, 2021 · Control person joined · fact
- W••••••••• M••••••••• C••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 2, 2015 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- W••••••••• M••••••••• C•••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/wellington-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- W•••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 617-951-5000reportedpublic record, Form ADV, Jul 9, 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
- $1428Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026