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•••• G••••• F••••••••• L••

Former SEC-registered adviserMckinney, TexasCRD 114258SEC 801-121906IAPD
Latest filing Oct 29, 2024
First filing on the tape Feb 29, 2012 · 15 filings
RAUM
$144M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
99%
$143M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$144M as of Feb 29, 2024
Feb 29, 2012$44.5M then
HNW client RAUM$95.9M as of Feb 29, 2024
Mar 15, 2022$115M then
State-registered IARs (5.B.3)2 as of Feb 29, 2024
Mar 15, 20222 then
Employees (5.A)4 as of Feb 29, 2024
Mar 15, 20222 then
Private funds: no history
RAUM +2.2% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Oct 29, 2024; every figure names its basis
RAUM per advisor
$72.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
134derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$199,804derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+2.2%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-3.6%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$142MreportedItem 5.I
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
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$95.9M67%
  • Individuals$47.2M33%
  • Corporations and businesses$748,4840.5%
  • Charitable organizations$239,6190.2%
Individual clients
211reported
HNW clients
57reported
Pension plan clients
n/areported
Charitable clients
2reported
Accounts
721reported
Financial planning clients
26-50reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
Joined, latest
none on the tape
    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
      • W••••• P•••• D••••• · Owner / Advisor / Ccocontrol
        since 09/1995 · owns 75% or more
      Related persons
      Schedule D 7.A
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Mckinney, Tx · principal000
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 736 to 721
        Oct 31, 2023 to Feb 29, 2024
      • Corporate clients · 2 to 3
        Oct 31, 2023 to Feb 29, 2024
      • Individual clients · 221 to 211
        Oct 31, 2023 to Feb 29, 2024
      • Employees · 5 to 4
        Oct 31, 2023 to Feb 29, 2024
      • HNW RAUM · $95.4M to $95.9M
        Oct 31, 2023 to Feb 29, 2024
      • Individual RAUM · $44.7M to $47.2M
        Oct 31, 2023 to Feb 29, 2024
      • Non-discretionary RAUM · $141M to $144M
        Oct 31, 2023 to Feb 29, 2024
      • RAUM · $141M to $144M
        Oct 31, 2023 to Feb 29, 2024
      • Accounts · 696 to 736
        Nov 9, 2022 to Mar 27, 2023
      • Advisory activities · 3 to 2
        Nov 9, 2022 to Mar 27, 2023
      • HNW clients · 63 to 57
        Nov 9, 2022 to Mar 27, 2023
      • Individual clients · 210 to 221
        Nov 9, 2022 to Mar 27, 2023
      • Financial planning clients · 11-25 to 26-50
        Nov 9, 2022 to Mar 27, 2023
      • HNW RAUM · $115M to $95.4M
        Nov 9, 2022 to Mar 27, 2023
      • Individual RAUM · $42.4M to $44.7M
        Nov 9, 2022 to Mar 27, 2023
      • Non-discretionary RAUM · $158M to $141M
        Nov 9, 2022 to Mar 27, 2023
      • RAUM · $158M to $141M
        Nov 9, 2022 to Mar 27, 2023
      • Employees · 2 to 5
        Mar 15, 2022 to Oct 11, 2022
      • Accounts · 645 to 696
        Sep 17, 2021 to Mar 15, 2022
      • Charity clients · unset to 2.0
        Sep 17, 2021 to Mar 15, 2022
      • Corporate clients · unset to 2.0
        Sep 17, 2021 to Mar 15, 2022
      • HNW clients · 58 to 63
        Sep 17, 2021 to Mar 15, 2022
      • Individual clients · 218 to 210
        Sep 17, 2021 to Mar 15, 2022
      • Financial planning clients · 26-50 to 11-25
        Sep 17, 2021 to Mar 15, 2022
      • HNW RAUM · $86.7M to $115M
        Sep 17, 2021 to Mar 15, 2022
      • Individual RAUM · $42.7M to $42.4M
        Sep 17, 2021 to Mar 15, 2022
      • Non-discretionary RAUM · $130M to $158M
        Sep 17, 2021 to Mar 15, 2022
      • RAUM · $130M to $158M
        Sep 17, 2021 to Mar 15, 2022
      • Accounts · 318 to 645
        Aug 6, 2012 to Jun 29, 2021
      • Advisory employees · unset to 2.0
        Aug 6, 2012 to Jun 29, 2021
      • Advisory activities · 2 to 3
        Aug 6, 2012 to Jun 29, 2021
      • BD registered reps · 0 to 2
        Aug 6, 2012 to Jun 29, 2021
      • Business name · P••• D• W••••• C•• to W•••• G••••• F••••••••• L••
        Aug 6, 2012 to Jun 29, 2021
      • HNW clients · unset to 58.0
        Aug 6, 2012 to Jun 29, 2021
      • Individual clients · unset to 218.0
        Aug 6, 2012 to Jun 29, 2021
      • Employees · unset to 2.0
        Aug 6, 2012 to Jun 29, 2021
      • State-registered IARs · unset to 2.0
        Aug 6, 2012 to Jun 29, 2021
      • Legal name · P••• D••••• W•••• to W•••• G••••• F••••••••• L••
        Aug 6, 2012 to Jun 29, 2021
      • Other offices · unset to 0.0
        Aug 6, 2012 to Jun 29, 2021
      • Organization form · Sole Proprietorship to Limited Liability Company
        Aug 6, 2012 to Jun 29, 2021
      Signals
      6 dated events
      • L••• B••• G••••• left W•••• G••••• F••••••••• L•• for A•••• F•••••••• A•••••••• L•• (registered 2025-09-22)
        Oct 29, 2024 · Advisor changed firm · fact
      • Beth Lori G••••• (Co-Owner / Advisor / Chief Compliance Officer) no longer on Schedule A of W•••• G••••• F••••••••• L•• (listed 2024-02-29, absent 2024-10-29)
        Oct 29, 2024 · Control person left · inference
      • K•••• J••••••• M••••• left W•••• G••••• F••••••••• L•• for A•••• F•••••••• A•••••••• L•• (registered 2024-12-05)
        Oct 21, 2024 · Advisor changed firm · fact
      • 2 advisors left W•••• G••••• F••••••••• L•• (Mckinney, TX) for A•••• F•••••••• A•••••••• L•• within 8 days
        Oct 21, 2024 · Team lift-out · derived
      • Beth Lori G••••• (Co-Owner/Advisor) appeared on Schedule A of W•••• G••••• F••••••••• L••
        Jun 29, 2021 · Control person joined · fact
      • W•••• G••••• F••••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 29, 2021 · First SEC registration · 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