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••• D••••••• • C••• I••

Former SEC-registered adviserNorwood, MassachusettsCRD 106705SEC 801-27959IAPD
Latest filing Mar 22, 2016
First filing on the tape Mar 1, 2012 · 16 filings
RAUM
$1.6B
reported, Item 5.F
Discretionary
41%
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
10
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$1.6B as of Mar 22, 2016
Mar 1, 2012$662M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 22, 2016
Mar 21, 20133 then
Employees (5.A)10 as of Mar 22, 2016
Mar 21, 20135 then
Private funds: no history
RAUM +2.1% over the last fiscal year+41% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 22, 2016; every figure names its basis
RAUM per advisor
$526MderivedRAUM 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
$2.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
41%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+2.1%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
788reported
Financial planning clients
0reported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • D•••••••• W••••••• E•••••• · Owner, Ceo, Director, Treasurercontrol
      since 08/1988 · owns 50% to 75%
    • D•••••• W••••••• B•••••• · Vice President/Chief Compliance Officercontrol
      since 01/2002 · owns 10% to 25%
    • M••••• A••••••••• C••••• · Managing Directorcontrol
      since 04/2011 · owns 10% to 25%
    • T•••••••• J••••••• R••••• · Executive Vice Presidentcontrol
      since 10/1999 · owns 10% to 25%
    • C••••• G•••••• M••••• · Vp Operations
      since 06/1994 · 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 · 5,000 to 788
      Aug 25, 2015 to Mar 22, 2016
    • Discretionary RAUM · $849M to $641M
      Aug 25, 2015 to Mar 22, 2016
    • Non-discretionary RAUM · $696M to $937M
      Aug 25, 2015 to Mar 22, 2016
    • RAUM · $1.5B to $1.6B
      Aug 25, 2015 to Mar 22, 2016
    • Legal name · D••••••• W E & CO INC to W••• D••••••• • C••• I••
      Apr 7, 2015 to Apr 15, 2015
    • Business name · W••• D••••••• • C••• I••• to W••• D••••••• • C••• I••
      Apr 7, 2015 to Apr 7, 2015
    • Accounts · 3,866 to 5,000
      Apr 29, 2014 to Mar 31, 2015
    • Discretionary RAUM · $408M to $849M
      Apr 29, 2014 to Mar 31, 2015
    • Non-discretionary RAUM · $328M to $696M
      Apr 29, 2014 to Mar 31, 2015
    • RAUM · $736M to $1.5B
      Apr 29, 2014 to Mar 31, 2015
    • Accounts · 771 to 3,866
      Mar 21, 2013 to Mar 28, 2014
    • BD registered reps · 0 to 1
      Mar 21, 2013 to Mar 28, 2014
    • Employees · 5 to 10
      Mar 21, 2013 to Mar 28, 2014
    • Discretionary RAUM · $335M to $408M
      Mar 21, 2013 to Mar 28, 2014
    • Non-discretionary RAUM · $225M to $328M
      Mar 21, 2013 to Mar 28, 2014
    • RAUM · $560M to $736M
      Mar 21, 2013 to Mar 28, 2014
    • Discretionary RAUM · $408M to $408M
      Mar 28, 2014 to Mar 28, 2014
    • Non-discretionary RAUM · $328M to $328M
      Mar 28, 2014 to Mar 28, 2014
    • RAUM · $736M to $736M
      Mar 28, 2014 to Mar 28, 2014
    • Accounts · 3,234 to 771
      Mar 1, 2012 to Mar 21, 2013
    • Advisory employees · unset to 3.0
      Mar 1, 2012 to Mar 21, 2013
    • BD registered reps · unset to 0.0
      Mar 1, 2012 to Mar 21, 2013
    • Employees · unset to 5.0
      Mar 1, 2012 to Mar 21, 2013
    • State-registered IARs · unset to 3.0
      Mar 1, 2012 to Mar 21, 2013
    • Discretionary RAUM · $142M to $335M
      Mar 1, 2012 to Mar 21, 2013
    • Non-discretionary RAUM · $520M to $225M
      Mar 1, 2012 to Mar 21, 2013
    • RAUM · $662M to $560M
      Mar 1, 2012 to Mar 21, 2013
    • Related adviser · true to false
      Mar 1, 2012 to Mar 21, 2013
    • Related broker-dealer · true to false
      Mar 1, 2012 to Mar 21, 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