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.

Former SEC-registered adviser

West Capital Management, Inc.

Former SEC-registered adviserPhiladelphia, PennsylvaniaCRD 110572SEC 801-55880IAPD
Latest filing Mar 31, 2016
First filing on the tape Mar 30, 2012 · 9 filings
RAUM
$651M
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
17
13 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$651M as of Mar 31, 2016
Mar 30, 2012$480M then
HNW client RAUM: no history
State-registered IARs (5.B.3)13 as of Mar 31, 2016
Mar 30, 20120 then
Employees (5.A)17 as of Mar 31, 2016
Mar 27, 201312 then
Private funds: no history
RAUM +8.1% over the last fiscal year+7.4% a year over threeIARs 11 to 13
Practice profile
derived from the filing of Mar 31, 2016; every figure names its basis
RAUM per advisor
$50.1MderivedRAUM 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
$395,541derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
13.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.1%derivedbetween the last two annual amendments
Advisor growth, one year
+18%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
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
1,647reported
Financial planning clients
251-500reported
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
Left, latest
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
    • Francis Dane Czaplicki · Director Of Researchcontrol
      since 06/2008 · owns less than 5%
    • Joseph Christopher Topolewski · Chief Compliance Officercontrol
      since 03/2009 · owns 10% to 25%
    • Edward Matthew West · Chief Executive Officercontrol
      since 02/1994 · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,487 to 1,647
      Mar 26, 2015 to Mar 31, 2016
    • Advisory employees · 11 to 13
      Mar 26, 2015 to Mar 31, 2016
    • Employees · 15 to 17
      Mar 26, 2015 to Mar 31, 2016
    • Financial planning clients · 0 to 251-500
      Mar 26, 2015 to Mar 31, 2016
    • State-registered IARs · 11 to 13
      Mar 26, 2015 to Mar 31, 2016
    • Discretionary RAUM · $531M to $650M
      Mar 26, 2015 to Mar 31, 2016
    • Non-discretionary RAUM · $71.8M to $1.9M
      Mar 26, 2015 to Mar 31, 2016
    • RAUM · $602M to $651M
      Mar 26, 2015 to Mar 31, 2016
    • Accounts · 1,027 to 1,487
      Mar 31, 2014 to Mar 26, 2015
    • Employees · 13 to 15
      Mar 31, 2014 to Mar 26, 2015
    • Discretionary RAUM · $461M to $531M
      Mar 31, 2014 to Mar 26, 2015
    • Non-discretionary RAUM · $71.4M to $71.8M
      Mar 31, 2014 to Mar 26, 2015
    • RAUM · $533M to $602M
      Mar 31, 2014 to Mar 26, 2015
    • Accounts · 1,029 to 1,027
      Dec 19, 2013 to Mar 31, 2014
    • Advisory employees · 10 to 11
      Dec 19, 2013 to Mar 31, 2014
    • Employees · 12 to 13
      Dec 19, 2013 to Mar 31, 2014
    • State-registered IARs · 10 to 11
      Dec 19, 2013 to Mar 31, 2014
    • Discretionary RAUM · $383M to $461M
      Dec 19, 2013 to Mar 31, 2014
    • Non-discretionary RAUM · $144M to $71.4M
      Dec 19, 2013 to Mar 31, 2014
    • RAUM · $527M to $533M
      Dec 19, 2013 to Mar 31, 2014
    • Accounts · 989 to 1,029
      Sep 25, 2012 to Mar 27, 2013
    • Advisory employees · unset to 10.0
      Sep 25, 2012 to Mar 27, 2013
    • Employees · unset to 12.0
      Sep 25, 2012 to Mar 27, 2013
    • State-registered IARs · 0 to 10
      Sep 25, 2012 to Mar 27, 2013
    • Discretionary RAUM · $323M to $383M
      Sep 25, 2012 to Mar 27, 2013
    • Non-discretionary RAUM · $157M to $144M
      Sep 25, 2012 to Mar 27, 2013
    • RAUM · $480M to $527M
      Sep 25, 2012 to Mar 27, 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