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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SEC-registered adviser
W••••• S•••• • P••••••• L••••••
Latest filing Mar 30, 2026
First filing on the tape Dec 16, 2011 · 48 filings
SEC status approved since Sep 29, 1983
RAUM
$67B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$67B
derived; firm RAUM over IAPD count
Employees
162
43 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$67B as of Mar 30, 2026
Mar 30, 2012$47B then
HNW client RAUM$0 as of Mar 30, 2026
Mar 30, 2018$823M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Apr 1, 20130 then
Employees (5.A)162 as of Mar 30, 2026
Apr 1, 201390 then
Private funds10 as of Mar 31, 2014
Mar 30, 201210 then
RAUM -15% over the last fiscal year-4.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $67BderivedRAUM 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
- $390MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 47%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 162.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -15%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$24B39%
- Investment companies$19B31%
- Pooled investment vehicles$10B17%
- Pension and profit-sharing plans$5.9B9.6%
- Insurance companies$1.7B2.8%
- Other investment advisers$728M1.2%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 42reported
- Charitable clients
- 0reported
- Accounts
- 171reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.45 institutional_share=0.47 related_bd=true related_bank=true bd_reps=3.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W••••• G•••• S•••• | Edinburgh | Aug 29, 2005 | 43 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W••••• S•••• E•••••• G••••• F••• L••no longer reported | Other Private Fund | $25.0M | 2 | Mar 30, 2012 |
| W••••• S•••• I••••••••• F••• F•• C••••••••• R•••••••• T••••• L••no longer reported | Other Private Fund | $14.6M | 4 | Mar 30, 2012 |
| W••••• S•••• E••••••• M•••••• F••• L••no longer reported | Other Private Fund | $1,511 | 1 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H••••••••• R•••••• A•••••••• · Directorcontrolsince 02/2019 · owns less than 5%
- H••••••••• J•••• E•••••••• · Managing Directorcontrolsince 01/2010 · owns less than 5%
- L•••••• R••• M••••••• · Directorcontrolsince 06/2008 · owns less than 5%
- M••••••••• C••••••• E••••• · Directorcontrolsince 03/2009 · owns less than 5%
- N••••••• A•••• L••••• · Chief Compliance Officercontrolsince 09/2009 · owns less than 5%
- O••••••• J••• P••• · Directorcontrolsince 02/2023 · owns less than 5%
- P•••••• S••••••• N•••• · Directorcontrolsince 06/2020 · owns less than 5%
- S••••• B••••••• L•••••• · Company Secretarycontrolsince 01/2024 · owns less than 5%
- S••••• H••••••• •••• · Directorcontrolsince 12/2020 · owns less than 5%
- S••••••• T••••• · Executive Director - Governance And Operationscontrolsince 11/2023 · owns less than 5%
- W•••• R••••••• W•••••• · Directorcontrolsince 02/2023 · owns less than 5%
Entity owners
- B••• I••••••••• A•••• M••••••••• ••••••••• L•••••• · Ownerdirect · owns 75% or more
- B•• M••••• I••• L•• · Ownerindirect · owns 75% or more of M•• I••••••••• C•••••••••
- B•• M••••• I••••••••• A•••• M••••••••• G•••• L•••••• · Ownerindirect · owns 75% or more of B••• I••••••••• A•••• M••••••••• ••••••••• L••••••
- B•• M••••• I••••••••• M••••••••• ••••••• L•• · Ownerindirect · owns 75% or more of B•• M••••• I••••••••• A•••• M••••••••• G•••• L••••••
- M•• I••••••••• C••••••••• · Ownerindirect · owns 75% or more of B•• M••••• I••••••••• M••••••••• ••••••• L••
- T•• B••• O• N•• Y••• M••••• C••••••••• · Ownerindirect · owns 75% or more of B•• M••••• I••• L•• · public reporting company
Related persons
Schedule D 7.A
- A•• I••••••••• L•••investment adviserbanknRAUM $1.9B
- B•• M••••• A•••••••• I•••investment adviserbanknRAUM $33B
- B•• M••••• A••••••• D• P••••••••• L•••investment advisern
- B•• M••••• A•••• M••••••••• C••••• L••••••broker-dealerinvestment adviserbankpooled vehicle sponsorn
- B•• M••••• B•••• S•••n
- B•• M••••• C•••••• M••••••• L••broker-dealern
- B•• M••••• E•• I••••••••• A••••••• L••investment adviserbanknRAUM $11B
- B•• M••••• F••• M••••••••• ••••••••• S•••broker-dealerinvestment adviserpooled vehicle sponsorn
- B•• M••••• F••• M••••••• L••••••pooled vehicle sponsorn
- B•• M••••• I• K•••• L••••••investment advisern
- B•• M••••• I••••••••• M••••••••• L••••••investment adviserpooled vehicle sponsorn
- B•• M••••• I••••••••• A••••••• I•••investment adviserbanknRAUM $419B
- B•• M••••• I••••••••• M••••••••• ••••••••• L••••••investment advisern
- B•• M••••• I••••••••• M••••••••• E••• L••••••broker-dealerinvestment adviserpooled vehicle sponsorn
- B•• M••••• I••••••••• M••••••••• H••• K••• L••••••broker-dealerinvestment advisern
- B•• M••••• I••••••••• M••••••••• J•••• L••••••investment advisernRAUM $32B
- B•• M••••• I••••••••• M••••••••• S•••••••• P••• L••••••investment advisern
- B•• M••••• N••••••• A•••••••••investment advisern
- B•• M••••• S••••••••• C•••••••••broker-dealerinvestment adviserreal estatenRAUM $8.4B
- B•• M••••• S••••••• F••••••••• D••••••••• D• T•••••• E• V•••••• M••••••••• ••••• S•••broker-dealerinvestment advisern
- B•• M••••• T•••• C•••••• O• I•••••••n
- B•• M••••• T•••• O• D•••••••investment advisern
- C••• M••••• G••••• S••••••••• S••••••• C••••••n
- C••• M••••• T•••• C••••••n
- I•••••• I••••••••• A•••••••• P•• L••••••investment advisern
- I•••••• I••••••••• F•••• M••••••••• L••••••investment adviserpooled vehicle sponsorn
- I•••••• I•••••••••investment adviserbanknRAUM $3.0B
- I•••••• I••••••••• M••••••••• ••••••• L••••••investment adviserbankn
- I•••••• I••••••••• M••••••••• E••••• L••••••pooled vehicle sponsorn
- I•••••• I•••••••••investment adviserbanknRAUM $171B
Advisers that list W••••• S•••• • P••••••• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Edinburgh, United Kingdom20 employees
What changed
consecutive filings, newest first
- Accounts · 185 to 171Jan 5, 2026 to Mar 30, 2026
- Advisory employees · 42 to 43Jan 5, 2026 to Mar 30, 2026
- Pension plan clients · 46 to 42Jan 5, 2026 to Mar 30, 2026
- Employees · 159 to 162Jan 5, 2026 to Mar 30, 2026
- Discretionary RAUM · $78B to $67BJan 5, 2026 to Mar 30, 2026
- Pension RAUM · $6.9B to $5.9BJan 5, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $11B to $10BJan 5, 2026 to Mar 30, 2026
- RAUM · $78B to $67BJan 5, 2026 to Mar 30, 2026
- Financial planning clients · unset to Mar 28, 2025 to Jul 4, 2025
- Accounts · 190 to 185Aug 12, 2024 to Mar 28, 2025
- Advisory employees · 41 to 42Aug 12, 2024 to Mar 28, 2025
- Pension plan clients · 50 to 46Aug 12, 2024 to Mar 28, 2025
- Pooled vehicle clients · 18 to 16Aug 12, 2024 to Mar 28, 2025
- Employees · 155 to 159Aug 12, 2024 to Mar 28, 2025
- HQ state · unset to Aug 12, 2024 to Mar 28, 2025
- Discretionary RAUM · $82B to $78BAug 12, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $1.5B to $0Aug 12, 2024 to Mar 28, 2025
- Pension RAUM · $9.3B to $6.9BAug 12, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $11B to $11BAug 12, 2024 to Mar 28, 2025
- RAUM · $84B to $78BAug 12, 2024 to Mar 28, 2025
- Accounts · 189 to 190Nov 9, 2023 to Mar 28, 2024
- Advisory employees · 42 to 41Nov 9, 2023 to Mar 28, 2024
- Pension plan clients · 49 to 50Nov 9, 2023 to Mar 28, 2024
- Employees · 154 to 155Nov 9, 2023 to Mar 28, 2024
- Discretionary RAUM · $74B to $82BNov 9, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $1.3B to $1.5BNov 9, 2023 to Mar 28, 2024
- Pension RAUM · $7.1B to $9.3BNov 9, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $10B to $11BNov 9, 2023 to Mar 28, 2024
- RAUM · $75B to $84BNov 9, 2023 to Mar 28, 2024
- Accounts · 199 to 189Apr 6, 2022 to Mar 30, 2023
- Pension plan clients · 53 to 49Apr 6, 2022 to Mar 30, 2023
- Employees · 148 to 154Apr 6, 2022 to Mar 30, 2023
- Discretionary RAUM · $106B to $74BApr 6, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $1.6B to $1.3BApr 6, 2022 to Mar 30, 2023
- Pension RAUM · $13B to $7.1BApr 6, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $13B to $10BApr 6, 2022 to Mar 30, 2023
- RAUM · $108B to $75BApr 6, 2022 to Mar 30, 2023
- Accounts · 190 to 199Mar 26, 2021 to Mar 31, 2022
- HNW clients · 13 to 0Mar 26, 2021 to Mar 31, 2022
- Pension plan clients · 55 to 53Mar 26, 2021 to Mar 31, 2022
Signals
14 dated events
- J••• Colin Wood (Company Secretary) no longer on Schedule A of W••••• S•••• • P••••••• L•••••• (listed 2023-11-09, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- L•••••• B•••••• S•••• (Company Secretary) appeared on Schedule A of W••••• S•••• • P••••••• L••••••Mar 28, 2024 · Control person joined · fact
- T••••• S•••••• (Executive Director - Governance And Operations) appeared on Schedule A of W••••• S•••• • P••••••• L••••••Nov 9, 2023 · Control person joined · fact
- Downie James Smith (Director) no longer on Schedule A of W••••• S•••• • P••••••• L•••••• (listed 2023-03-30, absent 2023-07-19)Jul 19, 2023 · Control person left · inference
- William Richard Watt (Director) appeared on Schedule A of W••••• S•••• • P••••••• L••••••Mar 30, 2023 · Control person joined · fact
- J••• P••• O•••••• (Director) appeared on Schedule A of W••••• S•••• • P••••••• L••••••Mar 30, 2023 · Control person joined · fact
- W••••• S•••• • P••••••• L•••••• reported RAUM $75.3B, down 30% from $108.0B (2022-04-06 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- W••••• S•••• • P••••••• L•••••• reported RAUM $95.0B, up 28% from $74.0B (2020-08-06 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- (Nmi) Hanneke Smits (Director) appeared on Schedule A of W••••• S•••• • P••••••• L••••••Mar 26, 2021 · Control person joined · fact
- Niles Stephen Potter (Director) appeared on Schedule A of W••••• S•••• • P••••••• L••••••Mar 26, 2021 · Control person joined · fact
- Randolph J••• Miller (Director) no longer on Schedule A of W••••• S•••• • P••••••• L•••••• (listed 2020-08-06, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- Evan Mitchell Harris (Director) no longer on Schedule A of W••••• S•••• • P••••••• L•••••• (listed 2020-08-06, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- A•••••••• R••••• H••••••••• (Director) appeared on Schedule A of W••••• S•••• • P••••••• L••••••Mar 29, 2019 · Control person joined · fact
- Randolph J••• Miller (Director) appeared on Schedule A of W••••• S•••• • P••••••• L••••••Mar 29, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- bny.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 44-131-225-1357reportedpublic record, Form ADV, Mar 30, 2026
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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $67Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026