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••• H••• A•••• M••••••••• C••• L•••••
Latest filing Mar 18, 2019
First filing on the tape Mar 29, 2012 · 9 filings
RAUM
$87.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$75.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$87.0M as of Mar 18, 2019
Mar 29, 2012$1.7B then
HNW client RAUM$72.9M as of Mar 18, 2019
Mar 19, 2018$101M then
State-registered IARs (5.B.3)0 as of Mar 18, 2019
Mar 29, 20120 then
Employees (5.A)4 as of Mar 18, 2019
Mar 26, 201320 then
Private funds: no history
RAUM -50% over the last fiscal year-40% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2019; 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
- $5.2MderivedHNW RAUM over HNW clients
- Average account
- $4.6MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -50%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -18%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- 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
- High-net-worth individuals$72.9M97%
- Individuals$2.2M2.9%
- Individual clients
- 4reported
- HNW clients
- 14reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 19reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• W••••••• R••••• · Chief Investment Officercontrolsince 07/1994 · owns 75% or more
- H•••• W••••••• R••••• · Presidentcontrolsince 07/1994 · owns 75% or more of K••••••• C••••
- M•••••• C••••• J••• · Chief Compliance Officersince 06/2015 · owns less than 5%
Entity owners
- K••••••• C•••• · Managerdirect · owns less than 5%
Related persons
Schedule D 7.A
- W••• H••• C•• L••investment advisernRAUM $244M
- W•• E••••• P•••••••• L•••••pooled vehicle sponsorn
- W•• P••••••• I•• L•••••pooled vehicle sponsorn
Advisers that list W••• H••• A•••• M••••••••• C••• L••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Morristown, NJ1 employees
What changed
consecutive filings, newest first
- Accounts · 24 to 19Mar 19, 2018 to Mar 18, 2019
- Advisory employees · 6 to 2Mar 19, 2018 to Mar 18, 2019
- HNW clients · 16 to 14Mar 19, 2018 to Mar 18, 2019
- Individual clients · 6 to 4Mar 19, 2018 to Mar 18, 2019
- Pension plan clients · 1.0 to unsetMar 19, 2018 to Mar 18, 2019
- Employees · 9 to 4Mar 19, 2018 to Mar 18, 2019
- HQ city · STUART to unsetMar 19, 2018 to Mar 18, 2019
- HQ state · FL to unsetMar 19, 2018 to Mar 18, 2019
- Discretionary RAUM · $174M to $87.0MMar 19, 2018 to Mar 18, 2019
- HNW RAUM · $101M to $72.9MMar 19, 2018 to Mar 18, 2019
- Individual RAUM · $2.9M to $2.2MMar 19, 2018 to Mar 18, 2019
- Pension RAUM · 56701979.0 to unsetMar 19, 2018 to Mar 18, 2019
- RAUM · $174M to $87.0MMar 19, 2018 to Mar 18, 2019
- Accounts · 27 to 24Mar 22, 2017 to Mar 19, 2018
- Advisory employees · 7 to 6Mar 22, 2017 to Mar 19, 2018
- HNW clients · unset to 16.0Mar 22, 2017 to Mar 19, 2018
- Individual clients · unset to 6.0Mar 22, 2017 to Mar 19, 2018
- Pension plan clients · unset to 1.0Mar 22, 2017 to Mar 19, 2018
- Employees · 11 to 9Mar 22, 2017 to Mar 19, 2018
- Other offices · unset to 1.0Mar 22, 2017 to Mar 19, 2018
- Discretionary RAUM · $405M to $174MMar 22, 2017 to Mar 19, 2018
- HNW RAUM · unset to 101323256.0Mar 22, 2017 to Mar 19, 2018
- Individual RAUM · unset to 2887520.0Mar 22, 2017 to Mar 19, 2018
- Pension RAUM · unset to 56701979.0Mar 22, 2017 to Mar 19, 2018
- RAUM · $405M to $174MMar 22, 2017 to Mar 19, 2018
- Accounts · 30 to 27Mar 21, 2016 to Mar 22, 2017
- Advisory employees · 8 to 7Mar 21, 2016 to Mar 22, 2017
- Employees · 13 to 11Mar 21, 2016 to Mar 22, 2017
- Discretionary RAUM · $406M to $405MMar 21, 2016 to Mar 22, 2017
- RAUM · $406M to $405MMar 21, 2016 to Mar 22, 2017
- Accounts · 35 to 30Mar 23, 2015 to Mar 21, 2016
- Advisory employees · 9 to 8Mar 23, 2015 to Mar 21, 2016
- Employees · 14 to 13Mar 23, 2015 to Mar 21, 2016
- Discretionary RAUM · $600M to $406MMar 23, 2015 to Mar 21, 2016
- RAUM · $600M to $406MMar 23, 2015 to Mar 21, 2016
- Advisory employees · 12 to 9Mar 31, 2014 to Mar 23, 2015
- Employees · 19 to 14Mar 31, 2014 to Mar 23, 2015
- Discretionary RAUM · $866M to $600MMar 31, 2014 to Mar 23, 2015
- RAUM · $866M to $600MMar 31, 2014 to Mar 23, 2015
- Accounts · 41 to 35Mar 26, 2013 to Mar 31, 2014
Signals
1 dated events
- W••• H••• A•••• M••••••••• C••• L••••• reported RAUM $173.7M, down 57% from $405.2M (2017-03-22 to 2018-03-19)Mar 19, 2018 · 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.
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