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•••• I••••••••• L••
Latest filing Sep 29, 2017
First filing on the tape Mar 27, 2012 · 16 filings
RAUM
$224M
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
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$224M as of Mar 23, 2017
Mar 27, 2012$81.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 23, 2017
Feb 27, 20134 then
Employees (5.A)4 as of Mar 23, 2017
Feb 27, 20134 then
Private funds: no history
RAUM +21% over the last fiscal year+17% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Sep 29, 2017; every figure names its basis
- RAUM per advisor
- $56.1MderivedRAUM 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
- $235,986derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $1.3M, 4 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
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
- 951reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.3M for 4 clientsreported
- Compensation
- % of AUM, 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
Left, latest
- H•••• M••••••• C••• to T•• W•••• G••••• L••Mar 15, 2018 · Other
- C••••• S•••••• W•••••• to T•• W•••• G••••• L••Mar 15, 2018 · Other
- E•••••••• L••••• M•••• to T•• W•••• G••••• L••Dec 18, 2012 · Other
Joined, latest
- H•••• M••••••• C••• from T•• W•••• G••••• L••Dec 19, 2012 · Other
- E•••••••• L••••• M•••• from G• F•••••••• A•••••••• I•••Mar 14, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for T•• W•••• G••••• L••Mar 15, 2018 · Birmingham, Al
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••• S••••••• H•••• · Membercontrolsince 08/1999 · owns 75% or more
- W••••••• C••••••• G•••••• · Chief Compliance Officercontrolsince 01/2005 · owns 10% to 25%
- P•••• J••••• W•••••• · Membersince 05/2010 · owns 5% to 10%
Related persons
Schedule D 7.A
- T•• W•••• G••••• L••investment advisernRAUM $3.7B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 872 to 951Sep 16, 2016 to Mar 23, 2017
- Assets in custody · $900,090 to $1.3MSep 16, 2016 to Mar 23, 2017
- Discretionary RAUM · $215M to $224MSep 16, 2016 to Mar 23, 2017
- RAUM · $215M to $224MSep 16, 2016 to Mar 23, 2017
- Discretionary RAUM · $186M to $215MAug 9, 2016 to Sep 16, 2016
- RAUM · $186M to $215MAug 9, 2016 to Sep 16, 2016
- Business name · F••••••• P••••••• P••••••••• L•• to W•••• I••••••••• L••Jun 27, 2016 to Jun 27, 2016
- Legal name · F••••••• P••••••• P••••••••• L•• to W•••• I••••••••• L••Jun 27, 2016 to Jun 27, 2016
- Accounts · 800 to 872Dec 9, 2015 to Feb 17, 2016
- Assets in custody · $0 to $900,090Dec 9, 2015 to Feb 17, 2016
- Discretionary RAUM · $170M to $186MDec 9, 2015 to Feb 17, 2016
- RAUM · $170M to $186MDec 9, 2015 to Feb 17, 2016
- Accounts · 794 to 800Oct 29, 2014 to Mar 11, 2015
- Assets in custody · $721,664 to $0Oct 29, 2014 to Mar 11, 2015
- Discretionary RAUM · $140M to $170MOct 29, 2014 to Mar 11, 2015
- RAUM · $140M to $170MOct 29, 2014 to Mar 11, 2015
- Accounts · 680 to 794Feb 27, 2013 to Mar 8, 2014
- Assets in custody · unset to 721664.0Feb 27, 2013 to Mar 8, 2014
- Custody of client assets · false to trueFeb 27, 2013 to Mar 8, 2014
- Discretionary RAUM · $105M to $140MFeb 27, 2013 to Mar 8, 2014
- RAUM · $105M to $140MFeb 27, 2013 to Mar 8, 2014
- Accounts · 631 to 680Mar 27, 2012 to Feb 27, 2013
- Advisory employees · unset to 4.0Mar 27, 2012 to Feb 27, 2013
- Employees · unset to 4.0Mar 27, 2012 to Feb 27, 2013
- Financial planning clients · 101-250 to 251-500Mar 27, 2012 to Feb 27, 2013
- State-registered IARs · unset to 4.0Mar 27, 2012 to Feb 27, 2013
- Discretionary RAUM · $81.5M to $105MMar 27, 2012 to Feb 27, 2013
- RAUM · $81.5M to $105MMar 27, 2012 to Feb 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