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•• I••••••••• I•••
Latest filing Mar 30, 2016
First filing on the tape Feb 14, 2012 · 17 filings
RAUM
$1.0B
reported, Item 5.F
Discretionary
72%
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
31
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$1.0B as of Mar 30, 2016
Mar 30, 2012$14B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 21, 201324 then
Employees (5.A)31 as of Mar 30, 2016
Mar 21, 201373 then
Private funds: no history
RAUM -88% over the last fiscal year-58% a year over threeIARs 9 to 0
Practice profile
derived from the filing of Mar 30, 2016; 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 72%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -88%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%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 pooled vehicles, 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
- 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
- 860reported
- Financial planning clients
- n/areported
- 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
Left, latest
- T••••• M•••••• S•••••• to A•••• P••••••• • M••••••••• I•••Jul 29, 2016 · Other
- A••••• K••• Q• L• to G••••• A•••••••• L••Jul 29, 2016 · Other
- A••• J••••• K••••••• to M••••••Jul 29, 2016 · Other
- E•••• C• M•••• to G••••• A•••••••• L••Jul 29, 2016 · Other
- J•••• R•••••• S••••• to A••••••••• F•••••••• S•••••••• L••Jul 29, 2016 · Other
- L••• M•••• D••••••••• to J••• M••••• P•••••• W••••• A••••••• L••Jul 29, 2016 · Other
- M•••••• R••••• N••••• to S••• A••••••• S••••••• L•• C•Jul 29, 2016 · Other
- J•••••• C•••••• C••••• to J••• M••••• P•••••• W••••• A••••••• L••Sep 19, 2014 · Other
- T•••••• S•••••• to W••••••• I•••••••••Feb 7, 2014 · Other
- J••••• M•••••• G•••••••• to D••••• C•••••• M•••••••••May 16, 2013 · Other
- A•••••••• P••••• L••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 15, 2013 · Other
- D••••• L••••••• R••••• to P•••••• I••••••••• M••••••••• I••Feb 7, 2012 · Other
- D•••••• D••• T••• to W•••••• A••••••• L•Jan 25, 2012 · Other
- P••••• C•••• H••••••• to M••••• S••••••Jan 12, 2012 · Other
- D••••• C•••• Y•••• to Q•••••• C•••••• M•••••••••Jan 12, 2012 · Other
Joined, latest
- L••• M•••• D••••••••• from O•••• F•• I•••Nov 20, 2012 · Other
- E•••• C• M•••• from D••••• G••••• I••••••••• L••Apr 1, 2010 · Other
- J•••• R•••••• S••••• from B••••••• G•••• L••Apr 27, 2007 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for G••••• A•••••••• L••Jul 29, 2016 · San Francisco, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• L•••••••• S•••••• · Chief Compliance Officercontrolsince 08/2013 · owns less than 5%
- P••••• K••••••• E• · Chief Operational Officercontrolsince 11/2012 · owns less than 5%
- R•••••••• H• P••• · Directorcontrolsince 04/2013 · owns less than 5%
- T•••••• A•••••• L•••• · Chief Executive Officer/ President/ Directorcontrolsince 01/2013 · owns less than 5%
- V••••••• J••••••• S••••• · Directorcontrolsince 07/2003 · owns less than 5%
- S•••••• T•••••••• H••••• · Chairmansince 04/2009 · owns less than 5%
Entity owners
- L•••• N••••• I••••••••• M••••••••• I••• · Ownerdirect · owns 75% or more
- L•••• N••••• C••••••• L•• · Shareholderindirect · owns 50% to 75% of L•••• N••••• I••••••••• M••••••••• I•••
Related persons
Schedule D 7.A
- H••••••• I••••••••• L••investment adviseryRAUM $879M
Advisers that list W•• I••••••••• I••• as a related person
- 147816 y
Offices
Schedule D 1.F, the 25 largest
- Denver, CO
- New York, NY
What changed
consecutive filings, newest first
- Accounts · 10,414 to 860Jan 25, 2016 to Mar 30, 2016
- Advisory employees · 7 to 6Jan 25, 2016 to Mar 30, 2016
- BD registered reps · 12 to 3Jan 25, 2016 to Mar 30, 2016
- Employees · 56 to 31Jan 25, 2016 to Mar 30, 2016
- Insurance-licensed employees · 1 to 0Jan 25, 2016 to Mar 30, 2016
- State-registered IARs · 9 to 0Jan 25, 2016 to Mar 30, 2016
- Discretionary RAUM · $6.9B to $724MJan 25, 2016 to Mar 30, 2016
- Non-discretionary RAUM · $1.5B to $276MJan 25, 2016 to Mar 30, 2016
- RAUM · $8.4B to $1.0BJan 25, 2016 to Mar 30, 2016
- Accounts · 18,953 to 10,414Jan 12, 2015 to Mar 30, 2015
- BD registered reps · 9 to 12Jan 12, 2015 to Mar 30, 2015
- Business name · W•• I••••••••• M••••••••• I••• to W•• I••••••••• I•••Jan 12, 2015 to Mar 30, 2015
- Employees · 53 to 56Jan 12, 2015 to Mar 30, 2015
- Insurance-licensed employees · 0 to 1Jan 12, 2015 to Mar 30, 2015
- State-registered IARs · 11 to 9Jan 12, 2015 to Mar 30, 2015
- Legal name · W•• I••••••••• M••••••••• I••• to W•• I••••••••• I•••Jan 12, 2015 to Mar 30, 2015
- Discretionary RAUM · $13B to $6.9BJan 12, 2015 to Mar 30, 2015
- Non-discretionary RAUM · $0 to $1.5BJan 12, 2015 to Mar 30, 2015
- RAUM · $13B to $8.4BJan 12, 2015 to Mar 30, 2015
- Accounts · 21,609 to 18,953Aug 20, 2013 to Mar 28, 2014
- Advisory employees · 16 to 7Aug 20, 2013 to Mar 28, 2014
- BD registered reps · 8 to 9Aug 20, 2013 to Mar 28, 2014
- Assets in custody · unset to 0.0Aug 20, 2013 to Mar 28, 2014
- Employees · 73 to 53Aug 20, 2013 to Mar 28, 2014
- Insurance-licensed employees · 1 to 0Aug 20, 2013 to Mar 28, 2014
- State-registered IARs · 24 to 11Aug 20, 2013 to Mar 28, 2014
- Discretionary RAUM · $14B to $13BAug 20, 2013 to Mar 28, 2014
- Non-discretionary RAUM · $187M to $0Aug 20, 2013 to Mar 28, 2014
- RAUM · $14B to $13BAug 20, 2013 to Mar 28, 2014
- Accounts · 24,438 to 21,609Feb 11, 2013 to Mar 21, 2013
- Advisory employees · 15 to 16Feb 11, 2013 to Mar 21, 2013
- BD registered reps · 12 to 8Feb 11, 2013 to Mar 21, 2013
- Employees · 82 to 73Feb 11, 2013 to Mar 21, 2013
- State-registered IARs · 29 to 24Feb 11, 2013 to Mar 21, 2013
- Discretionary RAUM · $13B to $14BFeb 11, 2013 to Mar 21, 2013
- Non-discretionary RAUM · $188M to $187MFeb 11, 2013 to Mar 21, 2013
- RAUM · $14B to $14BFeb 11, 2013 to Mar 21, 2013
- Advisory employees · unset to 15.0Aug 7, 2012 to Jan 4, 2013
- BD registered reps · unset to 12.0Aug 7, 2012 to Jan 4, 2013
- Employees · unset to 82.0Aug 7, 2012 to Jan 4, 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