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••• • W•••• I••••••••• A•••••••• L•••••
Latest filing Jan 27, 2014
First filing on the tape Mar 26, 2012 · 4 filings
RAUM
$110M
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$110M as of Jan 27, 2014
Mar 26, 2012$92.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Jan 27, 2014
Mar 26, 20120 then
Employees (5.A)3 as of Jan 27, 2014
Mar 21, 20134 then
Private funds: no history
RAUM +19% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Jan 27, 2014; every figure names its basis
- RAUM per advisor
- $36.8MderivedRAUM 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
- $397,112derivedRAUM 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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $1.9M, 10 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.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
- 278reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.9M for 10 clientsreported
- Compensation
- % of AUMreported
- 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
- G••••• B••••• W••• to P••••••••• W••• • W••••• I•••Feb 20, 2014 · Other
- C•••••• B•••• W•••• to P••••••••• W••• • W••••• I•••Feb 20, 2014 · Other
- C•••••• S••••••• N••••• to P••••••••• W••• • W••••• I•••Feb 20, 2014 · Other
- B•••••• P•••• to W•••• F•••• A•••••••Oct 4, 2010 · Other
- J••• M•••••• S•••• to U•• F•••••••• S••••••• I•••Aug 5, 2005 · Other
Joined, latest
- B•••••• P•••• from B••• O• A•••••• I••••••••• S•••••••• I•••Jul 19, 2010 · Other
- G••••• B••••• W••• from S•••• • S••••••••• L••Jul 3, 2002 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••• C••••••• B•••• · Manager, Chief Compliance Officercontrolsince 06/2002 · owns 50% to 75%
- W•••• G•••••• B••••• · Managercontrolsince 06/2002 · owns 50% to 75%
Related persons
Schedule D 7.A
- P••••••••• W••• • W••••• I•••investment advisernRAUM $1.0B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 269 to 278Mar 21, 2013 to Jan 27, 2014
- Assets in custody · $904,291 to $1.9MMar 21, 2013 to Jan 27, 2014
- Employees · 4 to 3Mar 21, 2013 to Jan 27, 2014
- Insurance-licensed employees · 0 to 2Mar 21, 2013 to Jan 27, 2014
- Discretionary RAUM · $93.1M to $110MMar 21, 2013 to Jan 27, 2014
- RAUM · $93.1M to $110MMar 21, 2013 to Jan 27, 2014
- Accounts · 264 to 269Jan 2, 2013 to Mar 21, 2013
- Assets in custody · $631,438 to $904,291Jan 2, 2013 to Mar 21, 2013
- Discretionary RAUM · $92.8M to $93.1MJan 2, 2013 to Mar 21, 2013
- RAUM · $92.8M to $93.1MJan 2, 2013 to Mar 21, 2013
- Advisory employees · unset to 3.0Mar 26, 2012 to Jan 2, 2013
- Employees · unset to 4.0Mar 26, 2012 to Jan 2, 2013
- State-registered IARs · 0 to 3Mar 26, 2012 to Jan 2, 2013
- Related adviser · false to trueMar 26, 2012 to Jan 2, 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