DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

W••••••• A••••••• L••

Former SEC-registered adviserW•••••••, ConnecticutCRD 108143SEC 801-54967IAPD
Latest filing Mar 30, 2016
First filing on the tape Mar 29, 2012 · 5 filings
RAUM
$696M
reported, Item 5.F
Discretionary
100%
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
5
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$696M as of Mar 30, 2016
Mar 29, 2012$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 29, 20120 then
Employees (5.A)5 as of Mar 30, 2016
Mar 28, 20135 then
Private funds: no history
RAUM -30% over the last fiscal year-12% a year over threeIARs 0 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
$348MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-30%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
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)
  • 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
2reported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • N••••••• E•••••• H••••• · Managing Membercontrol
        since 10/1997 · owns 50% to 75%
      • K••••• A•••••• J••• · Chairmancontrol
        since 07/1983 · owns 75% or more of W••••••• A•••• M•••••••••, Inc.
      • W••••••••• T••••• A••• · Chief Compliance Officer
        since 08/2004 · owns less than 5%
      Entity owners
      • W••••••• A•••• M••••••••• I•• · Member
        direct · owns 50% to 75%
      • R••••• H• O••••• I••••••••• T••••• M•••••• C•••••• T•••••• · Trust
        indirect · owns F of W••••••• A•••• M•••••••••, Inc.
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $992M to $696M
        Mar 27, 2015 to Mar 30, 2016
      • RAUM · $992M to $696M
        Mar 27, 2015 to Mar 30, 2016
      • BD registered reps · 4 to 3
        Mar 28, 2014 to Mar 27, 2015
      • Discretionary RAUM · $1.1B to $992M
        Mar 28, 2014 to Mar 27, 2015
      • RAUM · $1.1B to $992M
        Mar 28, 2014 to Mar 27, 2015
      • Discretionary RAUM · $1.0B to $1.1B
        Mar 28, 2013 to Mar 28, 2014
      • RAUM · $1.0B to $1.1B
        Mar 28, 2013 to Mar 28, 2014
      • Advisory employees · unset to 4.0
        Mar 29, 2012 to Mar 28, 2013
      • BD registered reps · unset to 4.0
        Mar 29, 2012 to Mar 28, 2013
      • Employees · unset to 5.0
        Mar 29, 2012 to Mar 28, 2013
      • Discretionary RAUM · $1.0B to $1.0B
        Mar 29, 2012 to Mar 28, 2013
      • RAUM · $1.0B to $1.0B
        Mar 29, 2012 to Mar 28, 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