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.

SEC-registered adviser

Westwind Capital

Independent wealth managerLas Cruces, New MexicoCRD 106802SEC 801-43661website IAPD

Latest filing Aug 3, 2026

First filing on the tape Jan 24, 2012 · 37 filings

SEC status approved since Apr 7, 1993

RAUM

$796M

reported, Item 5.F

Discretionary

99%

of RAUM

Private clients

93%

$738M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$159M

derived; firm RAUM over IAPD count

Employees

7 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

37 filings and snapshots on the tape

RAUM$796M as of Aug 3, 2026

Jan 24, 2012$108M then

HNW client RAUM$525M as of Aug 3, 2026

Feb 12, 2018$123M then

State-registered IARs (5.B.3)4 as of Aug 3, 2026

Feb 7, 20130 then

Employees (5.A)10 as of Aug 3, 2026

Feb 7, 20135 then

Private funds: no history

RAUM +11% over the last fiscal year+18% a year over threeIARs 5 to 4offices 1 to 0

Practice profile

derived from the filing of Aug 3, 2026; every figure names its basis

Archetypes, each a printed rule

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control

RAUM per advisor: $159MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 194derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.3MderivedHNW RAUM over HNW clients
Average account: $373,502derivedRAUM over accounts (5.F.2.f)
Discretionary: 99%derivedof RAUM
Institutional: 4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +11%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +8.7%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody: $217M, 389 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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$525M66%
Individuals$213M27%
Corporations and businesses$25.0M3.1%
Pension and profit-sharing plans$21.9M2.7%
Charitable organizations$11.4M1.4%

Individual clients: 742reported
HNW clients: 230reported
Pension plan clients: 135reported
Charitable clients: 14reported
Accounts: 2,131reported
Financial planning clients: 26-50reported
Wrap fee programs: noreported
Custody of client assets: $217M for 389 clientsreported
Compensation: % of AUMreported
Class basis: private_client_share=0.93 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

5 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Eric Marshall Walton	Las Cruces, Nm	Oct 21, 2003	23 y	0
Patrick M GroomsCertified Financial Planner, Chartered Financial Analyst	Las Cruces, Nm	Aug 31, 2016	16 y	2
Scott Michael LieberwirthCertified Financial Planner	Las Cruces, Nm	Dec 8, 2020	15 y	0
Jonathan Michael Stirling	Centennial, Co	Jan 21, 2022	15 y	0
Jolie Tixier	Las Cruces, Nm	Nov 28, 2023	15 y	0

Advisor movement

1 left, 0 joined in 12 months

net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months

Left, latest

Marco A Rodriguez to LPL Financial LLC
Aug 3, 2026 · RIA to affiliated broker-dealer or bank
Charles J Wagner to Cambridge Investment Research Advisors, Inc.
Sep 22, 2010 · Other
William Dale Byford to Carter Bain Wealth Management
Sep 8, 2003 · Other

Joined, latest

Marco A Rodriguez from Finhabits Advisors, LLC
Apr 19, 2022 · RIA to RIA
Patrick M Grooms from U.S. Bancorp Investments, Inc.
Aug 31, 2016 · Other
William Dale Byford from Morgan Stanley Dw Inc.
Jan 31, 2003 · Other

Every departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
Spence Asset Management Strategic Opportunities Fund I, LP	Real Estate Fund	$2.2M	9	Jun 4, 2024

Owners and control persons

Schedule A and B, latest filing

Marshall Eric Walton · Presidentcontrol
since 01/2010 · owns 50% to 75%
Christine Sheila Walton · Chief Compliance Officercontrol
since 09/2010 · owns less than 5%
M Patrick Grooms · Shareholder
since 01/2018 · owns less than 5%
Frederick Scott Kozney · Shareholder
since 01/2018 · owns 10% to 25%
William James Spence · Director
since 01/2010 · owns 10% to 25%

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Las Cruces, Nm · principal	5	0	1

Offices

Schedule D 1.F, the 25 largest

Centennial, CO1 employees

What changed

consecutive filings, newest first

Advisory employees · 8 to 7
Apr 7, 2026 to Aug 3, 2026
State-registered IARs · 5 to 4
Apr 7, 2026 to Aug 3, 2026
Other offices · 1 to 0
Apr 7, 2026 to Aug 3, 2026
Assets in custody · $0 to $217M
Jan 15, 2026 to Apr 7, 2026
Custody of client assets · false to true
Jan 15, 2026 to Apr 7, 2026
Accounts · 1,945 to 2,131
Nov 6, 2025 to Jan 15, 2026
Advisory employees · 7 to 8
Nov 6, 2025 to Jan 15, 2026
Charity clients · 13 to 14
Nov 6, 2025 to Jan 15, 2026
HNW clients · 217 to 230
Nov 6, 2025 to Jan 15, 2026
Individual clients · 677 to 742
Nov 6, 2025 to Jan 15, 2026
Pension plan clients · 100 to 135
Nov 6, 2025 to Jan 15, 2026
Employees · 7 to 10
Nov 6, 2025 to Jan 15, 2026
Discretionary RAUM · $709M to $789M
Nov 6, 2025 to Jan 15, 2026
HNW RAUM · $478M to $525M
Nov 6, 2025 to Jan 15, 2026
Individual RAUM · $178M to $213M
Nov 6, 2025 to Jan 15, 2026
Non-discretionary RAUM · $5.9M to $6.7M
Nov 6, 2025 to Jan 15, 2026
Pension RAUM · $21.1M to $21.9M
Nov 6, 2025 to Jan 15, 2026
RAUM · $715M to $796M
Nov 6, 2025 to Jan 15, 2026
Accounts · 1,832 to 1,945
Aug 9, 2024 to Feb 25, 2025
Corporate clients · 7 to 10
Aug 9, 2024 to Feb 25, 2025
HNW clients · 200 to 217
Aug 9, 2024 to Feb 25, 2025
Individual clients · 612 to 677
Aug 9, 2024 to Feb 25, 2025
Pension plan clients · 92 to 100
Aug 9, 2024 to Feb 25, 2025
Pooled vehicle clients · 1 to 0
Aug 9, 2024 to Feb 25, 2025
Assets in custody · $253,473 to $0
Aug 9, 2024 to Feb 25, 2025
Custody of client assets · true to false
Aug 9, 2024 to Feb 25, 2025
Financial planning clients · 26-50 to 26-50
Aug 9, 2024 to Feb 25, 2025
Private funds · 1 to unset
Aug 9, 2024 to Feb 25, 2025
Discretionary RAUM · $618M to $709M
Aug 9, 2024 to Feb 25, 2025
HNW RAUM · $411M to $478M
Aug 9, 2024 to Feb 25, 2025
Individual RAUM · $155M to $178M
Aug 9, 2024 to Feb 25, 2025
Non-discretionary RAUM · $5.7M to $5.9M
Aug 9, 2024 to Feb 25, 2025
Pension RAUM · $21.0M to $21.1M
Aug 9, 2024 to Feb 25, 2025
Pooled vehicle RAUM · $2.2M to $0
Aug 9, 2024 to Feb 25, 2025
RAUM · $623M to $715M
Aug 9, 2024 to Feb 25, 2025
Advisory employees · 8 to 7
Jun 18, 2024 to Aug 9, 2024
Employees · 8 to 7
Jun 18, 2024 to Aug 9, 2024
State-registered IARs · 6 to 5
Jun 18, 2024 to Aug 9, 2024
Advisory employees · 7 to 8
Jun 11, 2024 to Jun 18, 2024
Employees · 7 to 8
Jun 11, 2024 to Jun 18, 2024

Signals

3 dated events

Marco A Rodriguez left Westwind Capital for Lpl Financial Llc (registered 2026-07-09)
Aug 3, 2026 · Advisor changed firm · fact
Westwind Capital reported RAUM $621.1M, up 29% from $482.9M (2024-01-12 to 2024-01-18)
Jan 18, 2024 · RAUM change · derived
Westwind Capital reported RAUM $492.5M, up 59% from $310.0M (2020-05-01 to 2021-01-26)
Jan 26, 2021 · RAUM change · derived

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

Business email: info@ww-capital.comreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 575-556-8500reportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 720-399-0885reportedpublished by the firm, firm site, Sep 16, 2026
Website: ww-capital.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: 575-556-8500reportedpublic record, Form ADV, Aug 3, 2026
Contact form: ww-capital.com/contact-usreportedpublished by the firm, firm site, Sep 16, 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: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $159Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Across the graphs

Westwind Capital is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

Checking your plan…