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••••••••• C•••••• M•••••••••
Legal name W••••••••• C•••••• M••••••••• I•••
Latest filing Mar 28, 2019
First filing on the tape Feb 28, 2012 · 22 filings
RAUM
$385M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$385M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$385M as of Mar 28, 2019
Feb 28, 2012$1.0B then
HNW client RAUM$85.8M as of Mar 28, 2019
Mar 23, 2018$89.8M then
State-registered IARs (5.B.3)3 as of Mar 28, 2019
Mar 21, 20137 then
Employees (5.A)11 as of Mar 28, 2019
Mar 21, 201312 then
Private funds: no history
RAUM -13% over the last fiscal year-8.8% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 28, 2019; every figure names its basis
- RAUM per advisor
- $128MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 454derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $186,461derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -41%derived
- Compensation
- percentage of assets, hourly, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$299M78%
- High-net-worth individuals$85.8M22%
- Individual clients
- 1,322reported
- HNW clients
- 41reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,064reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $154M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, 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
- M•••••• G••• B••• to C•••••••• F••••••••• I•••Apr 11, 2019 · Other
- D••••• J••••• G•••• to S••• F•••••••• A•••••••Mar 7, 2019 · RIA to RIA
- R••• S••••• C••••••• to T•••• A•••• M•••••••••Aug 28, 2017 · Other
- B•••• E•••• to G••••••• R•••• C•••••• L••Feb 23, 2016 · Other
- E••• D•••••• S•••••• to O•••• P•••••••• S••••••••• L••Dec 16, 2015 · Other
- E••• M•••••• H••••• to O•••• P•••••••• S••••••••• L••Mar 5, 2015 · Other
- T•••••• J••••• C••••••••• to S••••• W••••• A•••••••• I•••Jun 24, 2010 · Other
Joined, latest
- D••••• J••••• G•••• from R••••• B••• • C••• L••Jul 28, 2014 · Other
- T•••••• J••••• C••••••••• from E•••••••• W••••• M••••••••• I••Aug 7, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• M••••••• G••• · Presidentcontrolsince 07/2001 · owns 75% or more
- Z•••••• A••• T••••• · Chief Compliance Officercontrolsince 02/2010 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,297 to 2,064Mar 23, 2018 to Mar 28, 2019
- HNW clients · 38 to 41Mar 23, 2018 to Mar 28, 2019
- Individual clients · 2,259 to 1,322Mar 23, 2018 to Mar 28, 2019
- Employees · 9 to 11Mar 23, 2018 to Mar 28, 2019
- Discretionary RAUM · $437M to $384MMar 23, 2018 to Mar 28, 2019
- HNW RAUM · $89.8M to $85.8MMar 23, 2018 to Mar 28, 2019
- Individual RAUM · $350M to $299MMar 23, 2018 to Mar 28, 2019
- Non-discretionary RAUM · $3.1M to $841,355Mar 23, 2018 to Mar 28, 2019
- RAUM · $440M to $385MMar 23, 2018 to Mar 28, 2019
- Wrap assets (manager) · $167M to $154MMar 23, 2018 to Mar 28, 2019
- Accounts · 2,668 to 2,297Mar 14, 2017 to Mar 23, 2018
- HNW clients · unset to 38.0Mar 14, 2017 to Mar 23, 2018
- Individual clients · unset to 2259.0Mar 14, 2017 to Mar 23, 2018
- Employees · 8 to 9Mar 14, 2017 to Mar 23, 2018
- Other offices · unset to 0.0Mar 14, 2017 to Mar 23, 2018
- Discretionary RAUM · $444M to $437MMar 14, 2017 to Mar 23, 2018
- HNW RAUM · unset to 89842660.0Mar 14, 2017 to Mar 23, 2018
- Individual RAUM · unset to 350239001.0Mar 14, 2017 to Mar 23, 2018
- Non-discretionary RAUM · $3.1M to $3.1MMar 14, 2017 to Mar 23, 2018
- RAUM · $447M to $440MMar 14, 2017 to Mar 23, 2018
- Wrap assets (manager) · unset to 167045999.0Mar 14, 2017 to Mar 23, 2018
- Wrap assets (sponsor) · unset to 0.0Mar 14, 2017 to Mar 23, 2018
- Accounts · 3,324 to 2,668Nov 29, 2016 to Mar 14, 2017
- Insurance-licensed employees · 1 to 0Nov 29, 2016 to Mar 14, 2017
- State-registered IARs · 4 to 3Nov 29, 2016 to Mar 14, 2017
- Discretionary RAUM · $506M to $444MNov 29, 2016 to Mar 14, 2017
- Non-discretionary RAUM · $1.1M to $3.1MNov 29, 2016 to Mar 14, 2017
- RAUM · $507M to $447MNov 29, 2016 to Mar 14, 2017
- Accounts · 4,764 to 3,324Sep 18, 2015 to Mar 24, 2016
- Employees · 12 to 8Sep 18, 2015 to Mar 24, 2016
- State-registered IARs · 6 to 4Sep 18, 2015 to Mar 24, 2016
- Discretionary RAUM · $786M to $506MSep 18, 2015 to Mar 24, 2016
- Non-discretionary RAUM · $1.9M to $1.1MSep 18, 2015 to Mar 24, 2016
- RAUM · $788M to $507MSep 18, 2015 to Mar 24, 2016
- Accounts · 6,150 to 4,764Nov 25, 2014 to Mar 30, 2015
- Advisory employees · 2 to 3Nov 25, 2014 to Mar 30, 2015
- Employees · 13 to 12Nov 25, 2014 to Mar 30, 2015
- State-registered IARs · 7 to 6Nov 25, 2014 to Mar 30, 2015
- Discretionary RAUM · $1.1B to $786MNov 25, 2014 to Mar 30, 2015
- Non-discretionary RAUM · $0 to $1.9MNov 25, 2014 to Mar 30, 2015
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