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••••••••• M••••••••• L••••••
Latest filing Jul 21, 2025
First filing on the tape Mar 30, 2012 · 27 filings
SEC status approved since Sep 5, 2001
RAUM
$17B
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
6.9%
$1.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
184
50 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$17B as of Jul 21, 2025
Mar 30, 2012$5.6B then
HNW client RAUM$1.2B as of Jul 21, 2025
Dec 20, 2017$4.6B then
State-registered IARs (5.B.3)0 as of Jul 21, 2025
Mar 28, 20130 then
Employees (5.A)184 as of Jul 21, 2025
Mar 28, 2013110 then
Private funds: no history
RAUM +23% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 21, 2025; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $567,657derivedHNW RAUM over HNW clients
- Average account
- $4.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -24%derived
- Compensation
- percentage of assets, fixed fees, commissions, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$9.9B66%
- Charitable organizations$1.9B12%
- High-net-worth individuals$1.2B7.9%
- Corporations and businesses$1.2B7.7%
- Pension and profit-sharing plans$944M6.3%
- Individual clients
- 0reported
- HNW clients
- 2,092reported
- Pension plan clients
- 736reported
- Charitable clients
- 191reported
- Accounts
- 4,078reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, commissionsreported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• M••••••• D•••• · Chief Operating Officercontrolsince 07/2019 · owns less than 5%
- C••••••• A••••• S•••••• S•••• · Chief Financial Officercontrolsince 09/2023 · owns less than 5%
- C••••• D••••••• T•••••• E••••• · Executive Directorcontrolsince 07/2024 · owns less than 5%
- D••••• S••••••••• S•••• · Non-Executive Directorcontrolsince 01/2021 · owns less than 5%
- M••••••••• G••• A••••• · Chief Executive Officercontrolsince 07/2024 · owns less than 5%
- M•••••• D•••• · Non-Executive Directorcontrolsince 08/2013 · owns less than 5%
- M•••••• S•••••• T•••••• M•••••• · Non-Executive Directorcontrolsince 07/2024 · owns less than 5%
- N•••••• A••••••••• W••••••• L••••• · Non-Executive Directorcontrolsince 12/2022 · owns less than 5%
- R•••••• F••••••••• D•••• S•••••• · Chairmancontrolsince 08/2017 · owns less than 5%
- S•••• H••••• · Chief Compliance Officercontrolsince 09/2010 · owns less than 5%
Entity owners
- W••••••• I••••••••• M••••••••• G•••• L•••••• · Shareholderdirect · owns 75% or more
- F••• V• U•• L•• · Sole Shareholderindirect · owns 75% or more of L• E••••• A••••••• V• L•
- L• E••••• A••••••• V• L• · General Partnerindirect · owns F of L• E••••• P••••••• V•• L•
- L• E••••• A••••••• V• L• · General Partnerindirect · owns F of L• S•••••• H••••••• L•
- L• E••••• A••••••• V• L• · General Partnerindirect · owns F of L• E••••• P••••••• V• L•
- L• E••••• P••••••• V• L• · Shareholderindirect · owns 50% to 75% of L• S•••••• H••••••• L•
- L• E••••• P••••••• V•• L• · Shareholderindirect · owns 75% or more of L• S•••••• I••••••••• H••••••• I••
- L• S•••••• H••••••• L• · Sole Shareholderindirect · owns 75% or more of S•••••• H••••• L••••••
- L• S•••••• I••••••••• H••••••• I•• · Shareholderindirect · owns 25% to 50% of L• S•••••• H••••••• L•
- L••••• M•••••• H••••••• L•• · Sole Shareholderindirect · owns 75% or more of L••••• M•••••• P••••••• L••
- L••••• M•••••• P••••••• L•• · Sole Shareholderindirect · owns 75% or more of F••• V• U•• L••
- S•••••• B•••• L•••••• · Sole Shareholderindirect · owns 75% or more of W••••••• I••••••••• M••••••••• G•••• L••••••
- S•••••• H••••• L•••••• · Shareholderindirect · owns 50% to 75% of S•••••• T••••
- S•••••• M•••• L•••••• · Sole Shareholderindirect · owns 75% or more of S•••••• B•••• L••••••
- S•••••• T•••• · Sole Shareholderindirect · owns 75% or more of S•••••• M•••• L••••••
Related persons
Schedule D 7.A
- L••••• A•• C•••••• A•••• M••••••••• L•••investment adviserLP sponsorn
- W1m Wealth Management L••••••investment adviserLP sponsornRAUM $25B
- L••••• A•• C•••••• W••••• M••••••••• E••••• A••• S••••••• A••••••investment adviserLP sponsorn
- L••••• M••••••investment adviseryRAUM $5.2B
- W••••••• W••••• L••investment advisern
Advisers that list W•• I••••••••• M••••••••• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Business name · W••••••• I••••••••• M••••••••• L•••••• to W•• I••••••••• M••••••••• L••••••Mar 26, 2025 to Jul 21, 2025
- Financial planning clients · unset to Mar 26, 2025 to Jul 21, 2025
- Legal name · W••••••• I••••••••• M••••••••• L•••••• to W•• I••••••••• M••••••••• L••••••Mar 26, 2025 to Jul 21, 2025
- Accounts · 3,862 to 4,078Jul 31, 2024 to Mar 26, 2025
- Advisory employees · 51 to 50Jul 31, 2024 to Mar 26, 2025
- Charity clients · 175 to 191Jul 31, 2024 to Mar 26, 2025
- Corporate clients · 273 to 245Jul 31, 2024 to Mar 26, 2025
- HNW clients · 1,947 to 2,092Jul 31, 2024 to Mar 26, 2025
- Pension plan clients · 673 to 736Jul 31, 2024 to Mar 26, 2025
- HQ state · unset to Jul 31, 2024 to Mar 26, 2025
- Discretionary RAUM · $14B to $16BJul 31, 2024 to Mar 26, 2025
- HNW RAUM · $1.4B to $1.2BJul 31, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $1.4B to $1.4BJul 31, 2024 to Mar 26, 2025
- Pension RAUM · $826M to $944MJul 31, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $8.4B to $9.9BJul 31, 2024 to Mar 26, 2025
- RAUM · $16B to $17BJul 31, 2024 to Mar 26, 2025
- Accounts · 3,580 to 3,862Feb 29, 2024 to Jul 31, 2024
- Charity clients · 167 to 175Feb 29, 2024 to Jul 31, 2024
- Corporate clients · 0 to 273Feb 29, 2024 to Jul 31, 2024
- HNW clients · 2,752 to 1,947Feb 29, 2024 to Jul 31, 2024
- Pension plan clients · 621 to 673Feb 29, 2024 to Jul 31, 2024
- Employees · 163 to 184Feb 29, 2024 to Jul 31, 2024
- Discretionary RAUM · $13B to $14BFeb 29, 2024 to Jul 31, 2024
- HNW RAUM · $4.4B to $1.4BFeb 29, 2024 to Jul 31, 2024
- Non-discretionary RAUM · $981M to $1.4BFeb 29, 2024 to Jul 31, 2024
- Pension RAUM · $721M to $826MFeb 29, 2024 to Jul 31, 2024
- Pooled vehicle RAUM · $7.2B to $8.4BFeb 29, 2024 to Jul 31, 2024
- RAUM · $14B to $16BFeb 29, 2024 to Jul 31, 2024
- Accounts · 3,194 to 3,580Mar 3, 2023 to Feb 29, 2024
- Advisory employees · 44 to 51Mar 3, 2023 to Feb 29, 2024
- Charity clients · 157 to 167Mar 3, 2023 to Feb 29, 2024
- HNW clients · 2,516 to 2,752Mar 3, 2023 to Feb 29, 2024
- Pension plan clients · 485 to 621Mar 3, 2023 to Feb 29, 2024
- Pooled vehicle clients · 36 to 40Mar 3, 2023 to Feb 29, 2024
- Employees · 170 to 163Mar 3, 2023 to Feb 29, 2024
- Discretionary RAUM · $10B to $13BMar 3, 2023 to Feb 29, 2024
- HNW RAUM · $3.7B to $4.4BMar 3, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $822M to $981MMar 3, 2023 to Feb 29, 2024
- Pension RAUM · $501M to $721MMar 3, 2023 to Feb 29, 2024
- Pooled vehicle RAUM · $5.6B to $7.2BMar 3, 2023 to Feb 29, 2024
Signals
16 dated events
- W•• I••••••••• M••••••••• L•••••• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $17.1B)Apr 1, 2026 · Left the SEC roster · derived
- D•••• Welch (Chief Financial Officer) no longer on Schedule A of W•• I••••••••• M••••••••• L•••••• (listed 2024-02-29, absent 2024-07-31)Jul 31, 2024 · Control person left · inference
- Duncan Saville (Owner) no longer on Schedule A of W•• I••••••••• M••••••••• L•••••• (listed 2024-02-29, absent 2024-07-31)Jul 31, 2024 · Control person left · inference
- Alan Algernon Percy (Director) no longer on Schedule A of W•• I••••••••• M••••••••• L•••••• (listed 2024-02-29, absent 2024-07-31)Jul 31, 2024 · Control person left · inference
- Charles Jillings (Non-Executive Director) no longer on Schedule A of W•• I••••••••• M••••••••• L•••••• (listed 2024-02-29, absent 2024-07-31)Jul 31, 2024 · Control person left · inference
- Nicholas Geoffrey Tucker (Chief Executive Officer) no longer on Schedule A of W•• I••••••••• M••••••••• L•••••• (listed 2024-02-29, absent 2024-07-31)Jul 31, 2024 · Control person left · inference
- A••••• Guy Mcglashan (Chief Executive Officer) appeared on Schedule A of W•• I••••••••• M••••••••• L••••••Jul 31, 2024 · Control person joined · fact
- Timothy Edward Dominic Crabb (Executive Director) appeared on Schedule A of W•• I••••••••• M••••••••• L••••••Jul 31, 2024 · Control person joined · fact
- Matthew Stephen Thomas Murphy (Non-Executive Director) appeared on Schedule A of W•• I••••••••• M••••••••• L••••••Jul 31, 2024 · Control person joined · fact
- Singh Ananth Steven Chhoker (Chief Financial Officer) appeared on Schedule A of W•• I••••••••• M••••••••• L••••••Jul 31, 2024 · Control person joined · fact
- W•• I••••••••• M••••••••• L•••••• reported RAUM $13.9B, up 26% from $11.0B (2023-03-03 to 2024-02-29)Feb 29, 2024 · RAUM change · derived
- W••••••• L••••• A•••••••• N••••• (Non-Executive Director) appeared on Schedule A of W•• I••••••••• M••••••••• L••••••Mar 3, 2023 · Control person joined · fact
- S•••• S•••••••• D•••• (Non-Executive Director) appeared on Schedule A of W•• I••••••••• M••••••••• L••••••Oct 21, 2021 · Control person joined · fact
- Nicholas Geoffrey Tucker (Chief Executive Officer) appeared on Schedule A of W•• I••••••••• M••••••••• L••••••Dec 22, 2020 · Control person joined · fact
- N••• R••••• A••••• F•••••• (Chief Executive Officer) no longer on Schedule A of W•• I••••••••• M••••••••• L•••••• (listed 2018-12-13, absent 2019-07-23)Jul 23, 2019 · Control person left · inference
- D•••• Michael Allen (Chief Operating Officer) appeared on Schedule A of W•• I••••••••• M••••••••• L••••••Jul 23, 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.
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