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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SEC-registered adviser
M•••• M••••••••• C•••••••••
Latest filing Feb 17, 2026
First filing on the tape Mar 30, 2012 · 32 filings
SEC status approved since May 9, 1995
RAUM
$93.2M
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
10
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$93.2M as of Feb 17, 2026
Mar 30, 2012$123M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 17, 2026
Mar 30, 20120 then
Employees (5.A)10 as of Feb 17, 2026
Mar 28, 20138 then
Private funds: no history
RAUM +79% over the last fiscal year+30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 17, 2026; 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
- $31.1MderivedRAUM 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
- +79%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)
- 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
- Investment companies$93.2M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=7.0derived
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
- K•••••••• R••••••• L•••• · Secretary, General Counsel, And Chief Compliance Officercontrolsince 12/2014 · owns less than 5%
- K•••••••• D••••• · Assistant Secretary, Assistant General Counsel, And Assistant Compliance Officercontrolsince 09/2017 · owns less than 5%
- O••••••• T•••••• F•••••• · Chief Financial Officer, Chief Accounting Officer, Treasurer, And Directorcontrolsince 06/2005 · owns less than 5%
- W••••••• M•••• C••••••• · Executive Vice President And Chief Investment Strategistcontrolsince 06/2012 · owns less than 5%
- W••••••• T•••••• B•••••• · Director, Chairman, President, Chief Executive Officer, And Chief Legal Officercontrolsince 03/1995 · owns less than 5%
- W••••••• M•••• C••••••• · Trustee Of W•••••• F••••• T••••controlsince 05/2012 · owns 25% to 50% of W•••••• F••••• T••••
- W••••••• T•••••• B•••••• · Trustee Of W•••••• F••••• T••••controlsince 05/2012 · owns 25% to 50% of W•••••• F••••• T••••
- W••••••• W••••••• M••••••• · Trustee Of W•••••• F••••• T••••controlsince 04/2021 · owns 25% to 50% of W•••••• F••••• T••••
- W••••••• W••••••••• B••• · Trustee Of W•••••• F••••• T••••controlsince 04/2021 · owns 25% to 50% of W•••••• F••••• T••••
Entity owners
- W•••••• • C•• I••••••••• · Parent Companydirect · owns 75% or more
- W•••••• F••••• T•••• · Shareholder Of Class A And Class B Stock Of W•••••• & Co.indirect · owns 75% or more of W•••••• • C•• I•••••••••
Related persons
Schedule D 7.A
- B•••• A••••••• L••investment advisernRAUM $307M
- M•••• S••••••••• G••••• I•••broker-dealern
Advisers that list M•••• M••••••••• C••••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Feb 17, 2026RAUM (Item 5.F) moved from $52,074,128 to $93,174,932 (+79.0%) between the annual amendments of 2025-02-03 and 2026-02-17; the peer median change was -12.0% (97 comparable advisers, 100.0th percentile of changes)peers: asset managers, under $100M (97) · 100% percentile
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Jan 2, 2026 to Feb 17, 2026
- BD registered reps · 8 to 7Jan 2, 2026 to Feb 17, 2026
- Employees · 11 to 10Jan 2, 2026 to Feb 17, 2026
- Discretionary RAUM · $52.1M to $93.2MJan 2, 2026 to Feb 17, 2026
- RAUM · $52.1M to $93.2MJan 2, 2026 to Feb 17, 2026
- HQ city · ROCHESTER to WALPOLEFeb 3, 2025 to Jan 2, 2026
- HQ state · NY to NHFeb 3, 2025 to Jan 2, 2026
- Financial planning clients · unset to Feb 1, 2024 to Feb 3, 2025
- Discretionary RAUM · $49.6M to $52.1MFeb 1, 2024 to Feb 3, 2025
- RAUM · $49.6M to $52.1MFeb 1, 2024 to Feb 3, 2025
- Discretionary RAUM · $42.8M to $49.6MFeb 10, 2023 to Feb 1, 2024
- RAUM · $42.8M to $49.6MFeb 10, 2023 to Feb 1, 2024
- BD registered reps · 7 to 8Dec 1, 2022 to Feb 10, 2023
- Employees · 9 to 11Dec 1, 2022 to Feb 10, 2023
- Discretionary RAUM · $54.9M to $42.8MDec 1, 2022 to Feb 10, 2023
- RAUM · $54.9M to $42.8MDec 1, 2022 to Feb 10, 2023
- HQ city · MILLBROOK to ROCHESTERMar 2, 2022 to Dec 1, 2022
- Discretionary RAUM · $50.2M to $54.9MJul 14, 2021 to Feb 18, 2022
- RAUM · $50.2M to $54.9MJul 14, 2021 to Feb 18, 2022
- HQ city · NEW YORK to MILLBROOKMay 5, 2021 to Jul 14, 2021
- Employees · 10 to 9Jan 29, 2020 to Feb 17, 2021
- Discretionary RAUM · $51.7M to $50.2MJan 29, 2020 to Feb 17, 2021
- RAUM · $51.7M to $50.2MJan 29, 2020 to Feb 17, 2021
- BD registered reps · 8 to 7Jul 29, 2019 to Jan 29, 2020
- Discretionary RAUM · $40.0M to $51.7MJul 29, 2019 to Jan 29, 2020
- RAUM · $40.0M to $51.7MJul 29, 2019 to Jan 29, 2020
- BD registered reps · 7 to 8Feb 22, 2018 to Feb 8, 2019
- Discretionary RAUM · $48.2M to $40.0MFeb 22, 2018 to Feb 8, 2019
- RAUM · $48.2M to $40.0MFeb 22, 2018 to Feb 8, 2019
- Advisory employees · 5 to 4Sep 6, 2017 to Feb 22, 2018
- BD registered reps · 8 to 7Sep 6, 2017 to Feb 22, 2018
- Charity clients · unset to 0.0Sep 6, 2017 to Feb 22, 2018
- Corporate clients · unset to 0.0Sep 6, 2017 to Feb 22, 2018
- HNW clients · unset to 0.0Sep 6, 2017 to Feb 22, 2018
- Individual clients · unset to 0.0Sep 6, 2017 to Feb 22, 2018
- Pension plan clients · unset to 0.0Sep 6, 2017 to Feb 22, 2018
- Pooled vehicle clients · unset to 0.0Sep 6, 2017 to Feb 22, 2018
- Other offices · unset to 0.0Sep 6, 2017 to Feb 22, 2018
- Discretionary RAUM · $46.3M to $48.2MSep 6, 2017 to Feb 22, 2018
- RAUM · $46.3M to $48.2MSep 6, 2017 to Feb 22, 2018
Signals
3 dated events
- Mccollum William W•••••• (Trustee Of W•••••• F••••• T••••) appeared on Schedule A of M•••• M••••••••• C•••••••••May 5, 2021 · Control person joined · fact
- B••• W•••••••• W•••••• (Trustee Of W•••••• F••••• T••••) appeared on Schedule A of M•••• M••••••••• C•••••••••May 5, 2021 · Control person joined · fact
- Mccollum William W•••••• (Vice President) no longer on Schedule A of M•••• M••••••••• C••••••••• (listed 2019-02-08, absent 2019-07-29)Jul 29, 2019 · Control person left · inference
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
- Website
- FOXBYCORP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-785-0900reportedpublic record, Form ADV, Feb 17, 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
- Asset manager (funds and pooled vehicles)deriveda 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