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••••••• G••••• I•••••••••
Legal name W••••••• G••••• I••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 30, 2012 · 21 filings
SEC status approved since Jan 31, 2003
RAUM
$9.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$3.2B
derived; firm RAUM over IAPD count
Employees
30
14 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$9.5B as of Mar 27, 2026
Mar 30, 2012$5.1B then
HNW client RAUM$0 as of Mar 27, 2026
Mar 23, 2018$133M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 20, 20133 then
Employees (5.A)30 as of Mar 27, 2026
Mar 20, 201318 then
Private funds3 as of Mar 27, 2026
Mar 30, 20122 then
RAUM -20% over the last fiscal year+0.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- $3.2BderivedRAUM 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
- $728MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 41%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 10.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -20%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, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $5.3B, 5 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
- 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
- Pooled investment vehicles$5.5B59%
- Charitable organizations$2.6B27%
- State and municipal entities$1.3B13%
- Investment companies$57.2M0.6%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 13reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.3B for 5 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.59 institutional_share=0.41 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• L•• W•••Chartered Financial Analyst | Boston, Ma | Jun 2, 2005 | 23 y | 0 |
| M••••••• M••• R•••••••Chartered Financial Analyst | Boston, Ma | Jun 9, 2005 | 39 y | 0 |
| S••••• A•• S•••••• | Boston, Ma | Jul 28, 2005 | 37 y | 0 |
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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•• E••••••• M•••••• F•••• L•• | Other Private Fund | $4.6B | 312 | Mar 30, 2012 |
| W•• E••••••• M•••••• S•••••• C•••••••• F•••• L•• | Other Private Fund | $480M | 53 | Mar 30, 2012 |
| W•• D•••••••• M•••••• E•••••• F•••• L•• | Other Private Fund | $291M | 41 | Mar 28, 2016 |
| W•• E••••••• M•••••• R••••••• F•••• L•• | Other Private Fund | $2.6M | 2 | Mar 30, 2023 |
Owners and control persons
Schedule A and B, latest filing
- M•••••• N••• · Chief Compliance Officercontrolsince 01/2020 · owns less than 5%
- N••••••• J••••••• B•••• · Chief Financial Officercontrolsince 06/2024 · owns less than 5%
- R•••••••• M•••••••• M••• · Principal/Chief Executive Officercontrolsince 01/2003 · owns 50% to 75%
- S••••••• S•••••• A•• · Chief Operating Officercontrolsince 01/2020 · owns less than 5%
- W•••• B••••• L•• · Principalcontrolsince 01/2003 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list W••••••• G••••• I••••••••• as a related person
- 334219 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boston, Ma | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Park City, UT3 employees
What changed
consecutive filings, newest first
- Accounts · 43 to 13Jan 20, 2026 to Mar 27, 2026
- Advisory employees · 21 to 14Jan 20, 2026 to Mar 27, 2026
- Charity clients · 6 to 2Jan 20, 2026 to Mar 27, 2026
- Corporate clients · unset to 0.0Jan 20, 2026 to Mar 27, 2026
- Pension plan clients · 5 to 0Jan 20, 2026 to Mar 27, 2026
- Pooled vehicle clients · 8 to 6Jan 20, 2026 to Mar 27, 2026
- Assets in custody · $5.2B to $5.3BJan 20, 2026 to Mar 27, 2026
- Employees · 38 to 30Jan 20, 2026 to Mar 27, 2026
- Private funds · 5 to 3Jan 20, 2026 to Mar 27, 2026
- Discretionary RAUM · $12B to $9.5BJan 20, 2026 to Mar 27, 2026
- Pension RAUM · $771M to $0Jan 20, 2026 to Mar 27, 2026
- Pooled vehicle RAUM · $5.4B to $5.5BJan 20, 2026 to Mar 27, 2026
- RAUM · $12B to $9.5BJan 20, 2026 to Mar 27, 2026
- Related adviser · false to trueJan 20, 2026 to Mar 27, 2026
- HQ city · BOSTON to PARK CITYMar 31, 2025 to Jan 20, 2026
- HQ state · MA to UTMar 31, 2025 to Jan 20, 2026
- Accounts · 28 to 43Aug 1, 2024 to Mar 31, 2025
- Advisory employees · 20 to 21Aug 1, 2024 to Mar 31, 2025
- Pension plan clients · 6 to 5Aug 1, 2024 to Mar 31, 2025
- Pooled vehicle clients · 7 to 8Aug 1, 2024 to Mar 31, 2025
- Assets in custody · $5.4B to $5.2BAug 1, 2024 to Mar 31, 2025
- Employees · 36 to 38Aug 1, 2024 to Mar 31, 2025
- Financial planning clients · unset to Aug 1, 2024 to Mar 31, 2025
- State-registered IARs · 3 to 2Aug 1, 2024 to Mar 31, 2025
- Private funds · 4 to 5Aug 1, 2024 to Mar 31, 2025
- Discretionary RAUM · $12B to $12BAug 1, 2024 to Mar 31, 2025
- Pension RAUM · $930M to $771MAug 1, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $5.5B to $5.4BAug 1, 2024 to Mar 31, 2025
- RAUM · $12B to $12BAug 1, 2024 to Mar 31, 2025
- Accounts · 23 to 28Mar 30, 2023 to Mar 27, 2024
- Advisory employees · 19 to 20Mar 30, 2023 to Mar 27, 2024
- Charity clients · 5 to 6Mar 30, 2023 to Mar 27, 2024
- Corporate clients · 0.0 to unsetMar 30, 2023 to Mar 27, 2024
- Pension plan clients · 5 to 6Mar 30, 2023 to Mar 27, 2024
- Assets in custody · $4.3B to $5.4BMar 30, 2023 to Mar 27, 2024
- Employees · 35 to 36Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $9.4B to $12BMar 30, 2023 to Mar 27, 2024
- Pension RAUM · $482M to $930MMar 30, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $4.4B to $5.5BMar 30, 2023 to Mar 27, 2024
- RAUM · $9.4B to $12BMar 30, 2023 to Mar 27, 2024
Signals
4 dated events
- B•••• J•••••• N•••••• (Chief Financial Officer) appeared on Schedule A of W••••••• G••••• I•••••••••Aug 1, 2024 · Control person joined · fact
- W••••••• G••••• I••••••••• reported RAUM $12.2B, up 30% from $9.4B (2023-03-30 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- N••• M••••• (Chief Compliance Officer) appeared on Schedule A of W••••••• G••••• I•••••••••Jan 14, 2020 · Control person joined · fact
- W••••••• G••••• I••••••••• reported RAUM $11.3B, up 27% from $8.9B (2017-03-31 to 2018-03-23)Mar 23, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- W••••••• G••••• I••••••••• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/westwood-global-investmentsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-428-4040reportedpublic record, Form ADV, Mar 27, 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
- $3.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026