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••••••• M••••••••• C•••••••••

Former SEC-registered adviserChicago, IllinoisCRD 110354SEC 801-11728IAPD
Latest filing Jun 26, 2023
First filing on the tape Nov 29, 2011 · 22 filings
RAUM
$799M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
62%
$492M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 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$799M as of Mar 23, 2023
Mar 26, 2012$421M then
HNW client RAUM$492M as of Mar 23, 2023
Mar 22, 2018$481M then
State-registered IARs (5.B.3)2 as of Mar 23, 2023
Mar 26, 20120 then
Employees (5.A)5 as of Mar 23, 2023
Mar 26, 20134 then
Private funds: no history
RAUM -41% over the last fiscal year-3.1% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Jun 26, 2023; every figure names its basis
RAUM per advisor
$799MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
97derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.2MderivedHNW RAUM over HNW clients
Average account
$7.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
29%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-41%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-4.0%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • High-net-worth individuals$492M62%
  • Pension and profit-sharing plans$186M23%
  • Corporations and businesses$78.0M9.8%
  • Charitable organizations$42.8M5.4%
  • Individuals$607,0860.1%
Individual clients
2reported
HNW clients
95reported
Pension plan clients
5reported
Charitable clients
5reported
Accounts
113reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • G••••••• P••••• L••••• · President & Chief Executive Officercontrol
    since 05/2023 · owns less than 5%
  • P••••• G•••••• J••••• A•• · Trusteecontrol
    since 05/2023 · owns 75% or more of Perlow Gift Trust For Julie U/A/D 12/1/98
  • P••••• G•••••• J••••• A•• · Trusteecontrol
    since 05/2023 · owns 75% or more of Michael Perlow Revocable Trust U/A/D 9/26/77
  • P••••• G•••••• J••••• A•• · Trusteecontrol
    since 05/2023 · owns 75% or more of Perlow Gift Trust For Lloyd U/A/D 12/1/98
  • P•••••• L••••• J••••• · Trusteecontrol
    since 05/2023 · owns 75% or more of Michael Perlow Revocable Trust U/A/D 9/26/77
  • P•••••• L••••• J••••• · Trusteecontrol
    since 05/2023 · owns 75% or more of Perlow Gift Trust For Lloyd U/A/D 12/1/98
  • M••••• C••••••• A•• · Chief Compliance Officer
    since 05/2023 · owns less than 5%
  • M•••• J•••••• P••••• · Trustee
    since 05/2023 · owns F of Perlow Gift Trust For Julie U/A/D 12/1/98
Entity owners
  • M•••••• P••••• R•••••••• T•••• U•••• 9•••••• · Shareholder
    direct · owns 75% or more
  • P••••• G••• T•••• F•• J•••• U•••• 1•••••• · Shareholder
    direct · owns 10% to 25%
  • P••••• G••• T•••• F•• L•••• U•••• 1•••••• · Shareholder
    direct · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Chicago, Il · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 2 to 1
    Mar 23, 2023 to Jun 2, 2023
  • Employees · 5 to 4
    Mar 23, 2023 to Jun 2, 2023
  • State-registered IARs · 2 to 1
    Mar 23, 2023 to Jun 2, 2023
  • Accounts · 119 to 113
    Jul 25, 2022 to Mar 23, 2023
  • Charity clients · 7 to 5
    Jul 25, 2022 to Mar 23, 2023
  • HNW clients · 100 to 95
    Jul 25, 2022 to Mar 23, 2023
  • Individual clients · 1 to 2
    Jul 25, 2022 to Mar 23, 2023
  • Discretionary RAUM · $1.4B to $799M
    Jul 25, 2022 to Mar 23, 2023
  • HNW RAUM · $836M to $492M
    Jul 25, 2022 to Mar 23, 2023
  • Individual RAUM · $119,219 to $607,086
    Jul 25, 2022 to Mar 23, 2023
  • Pension RAUM · $323M to $186M
    Jul 25, 2022 to Mar 23, 2023
  • RAUM · $1.4B to $799M
    Jul 25, 2022 to Mar 23, 2023
  • Accounts · 114 to 119
    Mar 23, 2021 to Mar 23, 2022
  • Charity clients · 6 to 7
    Mar 23, 2021 to Mar 23, 2022
  • HNW clients · 96 to 100
    Mar 23, 2021 to Mar 23, 2022
  • Discretionary RAUM · $1.2B to $1.4B
    Mar 23, 2021 to Mar 23, 2022
  • HNW RAUM · $770M to $836M
    Mar 23, 2021 to Mar 23, 2022
  • Individual RAUM · $167,355 to $119,219
    Mar 23, 2021 to Mar 23, 2022
  • Pension RAUM · $304M to $323M
    Mar 23, 2021 to Mar 23, 2022
  • RAUM · $1.2B to $1.4B
    Mar 23, 2021 to Mar 23, 2022
  • Accounts · 108 to 114
    Jun 9, 2020 to Mar 23, 2021
  • Corporate clients · 7 to 6
    Jun 9, 2020 to Mar 23, 2021
  • HNW clients · 89 to 96
    Jun 9, 2020 to Mar 23, 2021
  • Discretionary RAUM · $878M to $1.2B
    Jun 9, 2020 to Mar 23, 2021
  • HNW RAUM · $555M to $770M
    Jun 9, 2020 to Mar 23, 2021
  • Individual RAUM · $143,171 to $167,355
    Jun 9, 2020 to Mar 23, 2021
  • Pension RAUM · $200M to $304M
    Jun 9, 2020 to Mar 23, 2021
  • RAUM · $878M to $1.2B
    Jun 9, 2020 to Mar 23, 2021
  • Accounts · 112 to 108
    Mar 25, 2019 to Mar 25, 2020
  • Corporate clients · 8 to 7
    Mar 25, 2019 to Mar 25, 2020
  • HNW clients · 91 to 89
    Mar 25, 2019 to Mar 25, 2020
  • Individual clients · 2 to 1
    Mar 25, 2019 to Mar 25, 2020
  • Discretionary RAUM · $672M to $878M
    Mar 25, 2019 to Mar 25, 2020
  • HNW RAUM · $425M to $555M
    Mar 25, 2019 to Mar 25, 2020
  • Individual RAUM · $811,026 to $143,171
    Mar 25, 2019 to Mar 25, 2020
  • Pension RAUM · $154M to $200M
    Mar 25, 2019 to Mar 25, 2020
  • RAUM · $672M to $878M
    Mar 25, 2019 to Mar 25, 2020
  • Accounts · 113 to 112
    Mar 22, 2018 to Mar 25, 2019
  • HNW clients · 92 to 91
    Mar 22, 2018 to Mar 25, 2019
  • Discretionary RAUM · $751M to $672M
    Mar 22, 2018 to Mar 25, 2019
Signals
9 dated events
  • Peter Loring Goldman left Westwood Management Corporation for Chicago Capital, Llc (registered 2024-01-09)
    Jan 2, 2024 · Advisor changed firm · fact
  • (Nmn) Michael Perlow (President & Chief Compliance Officer) no longer on Schedule A of Westwood Management Corporation (listed 2023-03-23, absent 2023-06-02)
    Jun 2, 2023 · Control person left · inference
  • Loring Peter Goldman (President & Chief Executive Officer) appeared on Schedule A of Westwood Management Corporation
    Jun 2, 2023 · Control person joined · fact
  • Ann Julie Perlow Greene (Trustee) appeared on Schedule A of Westwood Management Corporation
    Jun 2, 2023 · Control person joined · fact
  • Joshua Lloyd Perlow (Trustee) appeared on Schedule A of Westwood Management Corporation
    Jun 2, 2023 · Control person joined · fact
  • Westwood Management Corporation reported RAUM $799.3M, down 41% from $1.4B (2022-07-25 to 2023-03-23)
    Mar 23, 2023 · RAUM change · derived
  • Westwood Management Corporation reported RAUM $1.2B, up 42% from $878.3M (2020-06-09 to 2021-03-23)
    Mar 23, 2021 · RAUM change · derived
  • Westwood Management Corporation reported RAUM $878.3M, up 31% from $671.7M (2019-03-25 to 2020-03-25)
    Mar 25, 2020 · RAUM change · derived
  • Westwood Management Corporation reported RAUM $750.9M, up 30% from $578.3M (2017-03-24 to 2018-03-22)
    Mar 22, 2018 · RAUM change · derived
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