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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
W••••• A••••••••• L••
Legal name W••••• A••••••••• I• L••
Latest filing Apr 27, 2026
First filing on the tape Mar 30, 2012 · 17 filings
SEC status approved since Jan 22, 2004
RAUM
$476M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
96%
$457M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$476M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$476M as of Apr 27, 2026
Mar 30, 2012$177M then
HNW client RAUM$440M as of Apr 27, 2026
Mar 29, 2018$255M then
State-registered IARs (5.B.3)0 as of Apr 27, 2026
Mar 30, 20120 then
Employees (5.A)4 as of Apr 27, 2026
Apr 2, 20134 then
Private funds: no history
RAUM +7.9% over the last fiscal year+9.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $476MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 143derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $3.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$440M94%
- Individuals$17.1M3.7%
- Charitable organizations$8.3M1.8%
- Corporations and businesses$2.0M0.4%
- Individual clients
- 31reported
- HNW clients
- 112reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 151reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••••• J•••• W•••••Chartered Investment Counselor | Pasadena, Ca | Sep 7, 2025 | 36 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• K••••••• B•••• · Vice President, Chief Compliance Officercontrolsince 03/2006 · owns less than 5%
- W•••••• K••••••••• J•••• · Presidentcontrolsince 01/2003 · owns 50% to 75%
- W•••••• W•••••• R••••• · Membercontrolsince 01/2003 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 147 to 151Apr 15, 2025 to Apr 27, 2026
- HNW clients · 99 to 112Apr 15, 2025 to Apr 27, 2026
- Individual clients · 26 to 31Apr 15, 2025 to Apr 27, 2026
- Discretionary RAUM · $395M to $468MApr 15, 2025 to Apr 27, 2026
- HNW RAUM · $369M to $440MApr 15, 2025 to Apr 27, 2026
- Individual RAUM · $16.0M to $17.1MApr 15, 2025 to Apr 27, 2026
- Non-discretionary RAUM · $46.2M to $8.2MApr 15, 2025 to Apr 27, 2026
- RAUM · $441M to $476MApr 15, 2025 to Apr 27, 2026
- Accounts · 137 to 147Mar 19, 2024 to Apr 15, 2025
- HNW clients · 97 to 99Mar 19, 2024 to Apr 15, 2025
- Individual clients · 36 to 26Mar 19, 2024 to Apr 15, 2025
- Financial planning clients · 1-10 to 1-10Mar 19, 2024 to Apr 15, 2025
- Discretionary RAUM · $365M to $395MMar 19, 2024 to Apr 15, 2025
- HNW RAUM · $333M to $369MMar 19, 2024 to Apr 15, 2025
- Individual RAUM · $23.1M to $16.0MMar 19, 2024 to Apr 15, 2025
- Non-discretionary RAUM · $26.9M to $46.2MMar 19, 2024 to Apr 15, 2025
- RAUM · $392M to $441MMar 19, 2024 to Apr 15, 2025
- Accounts · 158 to 137Mar 23, 2023 to Mar 19, 2024
- Advisory employees · 3 to 4Mar 23, 2023 to Mar 19, 2024
- HNW clients · 98 to 97Mar 23, 2023 to Mar 19, 2024
- Individual clients · 48 to 36Mar 23, 2023 to Mar 19, 2024
- Employees · 3 to 4Mar 23, 2023 to Mar 19, 2024
- Discretionary RAUM · $332M to $365MMar 23, 2023 to Mar 19, 2024
- HNW RAUM · $295M to $333MMar 23, 2023 to Mar 19, 2024
- Individual RAUM · $28.3M to $23.1MMar 23, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $26.7M to $26.9MMar 23, 2023 to Mar 19, 2024
- RAUM · $359M to $392MMar 23, 2023 to Mar 19, 2024
- Accounts · 142 to 158Mar 30, 2022 to Mar 23, 2023
- Advisory employees · 4 to 3Mar 30, 2022 to Mar 23, 2023
- HNW clients · 92 to 98Mar 30, 2022 to Mar 23, 2023
- Individual clients · 28 to 48Mar 30, 2022 to Mar 23, 2023
- Employees · 4 to 3Mar 30, 2022 to Mar 23, 2023
- Discretionary RAUM · $374M to $332MMar 30, 2022 to Mar 23, 2023
- HNW RAUM · $349M to $295MMar 30, 2022 to Mar 23, 2023
- Individual RAUM · $14.6M to $28.3MMar 30, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $30.1M to $26.7MMar 30, 2022 to Mar 23, 2023
- RAUM · $404M to $359MMar 30, 2022 to Mar 23, 2023
- Accounts · 160 to 142Apr 1, 2021 to Mar 30, 2022
- Charity clients · 2.0 to unsetApr 1, 2021 to Mar 30, 2022
- Corporate clients · 1.0 to unsetApr 1, 2021 to Mar 30, 2022
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.
How to reach
public business contact points only, each with its source
- Website
- W•••••ASSOCIATES.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 626-683-3150reportedpublic record, Form ADV, Apr 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $476Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026