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••••••• A••••••••• I••

Former SEC-registered adviserCleveland, OhioCRD 108969SEC 801-54970IAPD
Latest filing Mar 1, 2022
First filing on the tape Mar 26, 2012 · 18 filings
RAUM
$369M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$356M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$369M as of Mar 1, 2022
Mar 26, 2012$109M then
HNW client RAUM$315M as of Mar 1, 2022
Mar 26, 2018$180M then
State-registered IARs (5.B.3)6 as of Mar 1, 2022
Mar 28, 20135 then
Employees (5.A)7 as of Mar 1, 2022
Mar 28, 20137 then
Private funds: no history
RAUM +26% over the last fiscal year+20% a year over threeIARs 7 to 6
Practice profile
derived from the filing of Mar 1, 2022; every figure names its basis
RAUM per advisor
$61.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
41derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$597,070derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+26%derivedbetween the last two annual amendments
Advisor growth, one year
-14%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.8%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$85.9M, 114 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$315M85%
  • Individuals$41.1M11%
  • Charitable organizations$8.9M2.4%
  • Corporations and businesses$4.2M1.1%
Individual clients
129reported
HNW clients
118reported
Pension plan clients
n/areported
Charitable clients
7reported
Accounts
618reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$85.9M for 114 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• C••••••••• W•••••• · President, Chief Executive Officer, Chief Investment Officer, Treasurer, And Chief Compliance Officercontrol
      since 04/2019 · owns 25% to 50%
    • B••••• T•••••• W••••••• · Secretarycontrol
      since 04/2019 · owns 5% to 10%
    • H••••• M•••• Q•••• · Executive Vice Presidentcontrol
      since 04/2019 · owns 5% to 10%
    • B••••• C••••••••• W•••••• · Trusteecontrol
      since 12/2021 · owns F of W•••••• W• B•••• S•••••• L••••••• A••••• T••••
    • B••••• T•••••• W••••••• · Trusteecontrol
      since 12/2021 · owns F of W•••••• W• B•••• S•••••• L••••••• A••••• T••••
    Entity owners
    • W•••••• W• B•••• S•••••• L••••••• A••••• T•••• · Shareholder
      direct · owns 50% to 75%
    Related persons
    Schedule D 7.A
    • T••••• W• B••••
      n
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 603 to 618
      Sep 22, 2021 to Mar 1, 2022
    • Advisory employees · 7 to 6
      Sep 22, 2021 to Mar 1, 2022
    • Charity clients · 9 to 7
      Sep 22, 2021 to Mar 1, 2022
    • HNW clients · 113 to 118
      Sep 22, 2021 to Mar 1, 2022
    • Individual clients · 132 to 129
      Sep 22, 2021 to Mar 1, 2022
    • Assets in custody · $72.2M to $85.9M
      Sep 22, 2021 to Mar 1, 2022
    • Employees · 8 to 7
      Sep 22, 2021 to Mar 1, 2022
    • Financial planning clients · 1-10 to 11-25
      Sep 22, 2021 to Mar 1, 2022
    • State-registered IARs · 7 to 6
      Sep 22, 2021 to Mar 1, 2022
    • Discretionary RAUM · $292M to $369M
      Sep 22, 2021 to Mar 1, 2022
    • HNW RAUM · $240M to $315M
      Sep 22, 2021 to Mar 1, 2022
    • Individual RAUM · $38.8M to $41.1M
      Sep 22, 2021 to Mar 1, 2022
    • Non-discretionary RAUM · $154,208 to $184,387
      Sep 22, 2021 to Mar 1, 2022
    • RAUM · $292M to $369M
      Sep 22, 2021 to Mar 1, 2022
    • Accounts · 594 to 603
      Jun 29, 2020 to Mar 31, 2021
    • Charity clients · 8 to 9
      Jun 29, 2020 to Mar 31, 2021
    • HNW clients · 112 to 113
      Jun 29, 2020 to Mar 31, 2021
    • Individual clients · 131 to 132
      Jun 29, 2020 to Mar 31, 2021
    • Assets in custody · $61.9M to $72.2M
      Jun 29, 2020 to Mar 31, 2021
    • Discretionary RAUM · $261M to $292M
      Jun 29, 2020 to Mar 31, 2021
    • HNW RAUM · $209M to $240M
      Jun 29, 2020 to Mar 31, 2021
    • Individual RAUM · $33.3M to $38.8M
      Jun 29, 2020 to Mar 31, 2021
    • Non-discretionary RAUM · $169,923 to $154,208
      Jun 29, 2020 to Mar 31, 2021
    • Pension RAUM · 10096130.0 to unset
      Jun 29, 2020 to Mar 31, 2021
    • RAUM · $262M to $292M
      Jun 29, 2020 to Mar 31, 2021
    • Accounts · 509 to 594
      May 15, 2019 to Mar 27, 2020
    • Advisory employees · 6 to 7
      May 15, 2019 to Mar 27, 2020
    • Charity clients · 6 to 8
      May 15, 2019 to Mar 27, 2020
    • Corporate clients · 1.0 to unset
      May 15, 2019 to Mar 27, 2020
    • HNW clients · 78 to 112
      May 15, 2019 to Mar 27, 2020
    • Individual clients · 114 to 131
      May 15, 2019 to Mar 27, 2020
    • Pension plan clients · 2.0 to unset
      May 15, 2019 to Mar 27, 2020
    • Employees · 7 to 8
      May 15, 2019 to Mar 27, 2020
    • State-registered IARs · 6 to 7
      May 15, 2019 to Mar 27, 2020
    • Discretionary RAUM · $212M to $261M
      May 15, 2019 to Mar 27, 2020
    • HNW RAUM · $156M to $209M
      May 15, 2019 to Mar 27, 2020
    • Individual RAUM · $36.7M to $33.3M
      May 15, 2019 to Mar 27, 2020
    • Non-discretionary RAUM · $157,972 to $169,923
      May 15, 2019 to Mar 27, 2020
    • Pension RAUM · $11.4M to $10.1M
      May 15, 2019 to Mar 27, 2020
    • RAUM · $213M to $262M
      May 15, 2019 to Mar 27, 2020
    Signals
    6 dated events
    • B•••••• S•••••• N••••• left W••••••• A••••••••• I•• for M•• C•••••• M••••••••• L•• (registered 2022-07-11)
      Jul 5, 2022 · Advisor changed firm · fact
    • M••• Q•••• H•••• left W••••••• A••••••••• I•• for M•• C•••••• M••••••••• L•• (registered 2022-07-11)
      Jul 5, 2022 · Advisor changed firm · fact
    • C••••••••• W•••••• B•••• left W••••••• A••••••••• I•• for M•• C•••••• M••••••••• L•• (registered 2022-07-15)
      Jul 5, 2022 · Advisor changed firm · fact
    • T••••• J••••• N•••••• left W••••••• A••••••••• I•• for T••••• N••••••• S••• P••••••••• (registered 2025-10-10)
      Jul 5, 2022 · Advisor changed firm · fact
    • W••••••• A••••••••• I••'s advisors moved to M•• C•••••• M••••••••• L•• (Cleveland, OH): 3 of 4 registered, on the same day
      Jul 5, 2022 · Firm absorbed (people side) · derived
    • W••••••• William Baker (Chairman Of The Board Of Directors) no longer on Schedule A of W••••••• A••••••••• I•• (listed 2021-09-22, absent 2022-03-01)
      Mar 1, 2022 · 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.
    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