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••••• M••••••••• L••
Latest filing Jun 1, 2020
First filing on the tape Feb 28, 2012 · 35 filings
RAUM
$865M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
91%
$789M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
12 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$865M as of Mar 3, 2020
Feb 28, 2012$139M then
HNW client RAUM$465M as of Mar 3, 2020
Mar 29, 2018$217M then
State-registered IARs (5.B.3)13 as of Mar 3, 2020
Mar 22, 20136 then
Employees (5.A)13 as of Mar 3, 2020
Mar 22, 20138 then
Private funds: no history
RAUM +26% over the last fiscal year+29% a year over threeIARs 13 to 12offices 5 to 4
Practice profile
derived from the filing of Jun 1, 2020; every figure names its basis
- RAUM per advisor
- $72.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $348,254derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 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
- 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 securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$465M54%
- Individuals$324M37%
- Banks and thrifts$37.3M4.3%
- Pension and profit-sharing plans$19.2M2.2%
- Other investment advisers$13.4M1.6%
- Corporations and businesses$4.8M0.6%
- Charitable organizations$1.4M0.2%
- Individual clients
- 756reported
- HNW clients
- 233reported
- Pension plan clients
- 16reported
- Charitable clients
- n/areported
- Accounts
- 2,484reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $3.4M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- K••• H••••••••• T•••••••• to E••••••• W••••• A•••••••Jul 10, 2020 · RIA to RIA
- D•••• C•••••• P••••••• to E••••••• W••••• A•••••••Jul 10, 2020 · RIA to RIA
- J•••• A••••• B••••• to E••••••• W••••• A•••••••Jul 10, 2020 · RIA to RIA
- C••••••••• J•••• B•••• to E••••••• W••••• A•••••••Jul 10, 2020 · RIA to RIA
- J•••••• B•••• H••••••• to E••••••• W••••• A•••••••Jul 10, 2020 · RIA to RIA
- P••• T•••••• to E••••••• W••••• A•••••••Jul 10, 2020 · RIA to RIA
- K•••• L••• B••••••• to E••••••• W••••• A•••••••Jul 10, 2020 · RIA to RIA
- P•••• J•••• H••• to E••••••• W••••• A•••••••Jul 10, 2020 · RIA to RIA
- L•••• M•••••• K•••• to E••••••• W••••• A•••••••Jul 10, 2020 · RIA to RIA
- C•••• M•••••• W••••••• to E••••••• W••••• A•••••••Jul 10, 2020 · RIA to RIA
- S••• K•••• to E••••••• W••••• A•••••••Jul 10, 2020 · RIA to RIA
- M•••••• J••••• H••••• to D••••• W•••••• L••May 27, 2020 · RIA to RIA
- B•••• S•••••• J•••• to P••••••••• C•••••• A•••••••• L••Feb 5, 2015 · Other
- T••••• M•••••• S•••••• to P••••••••• C•••••• A•••••••• L••Feb 5, 2015 · Other
Joined, latest
- D•••• C•••••• P••••••• from C•••••• S••••• • C••• I•••Apr 30, 2019 · Affiliated broker-dealer or bank to independent RIA
- K•••• L••• B••••••• from T• A••••••••• I•••May 7, 2018 · Other
- K••• H••••••••• T•••••••• from A••••• A•• P••••••• S•••••••Mar 7, 2017 · Other
- C•••• M•••••• W••••••• from F••••• I•••••••••Mar 29, 2016 · Other
- J•••• A••••• B••••• from P•••••••• C•••••• M••••••••• I••Feb 10, 2016 · Other
- C••••••••• J•••• B•••• from P•••••••• C•••••• M••••••••• I••Dec 16, 2015 · Other
- B•••• S•••••• J•••• from B••• O• A•••••• I••••••••• S•••••••• I•••Apr 17, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 11 left for E••••••• W••••• A•••••••Jul 10, 2020 · H•••Ersville, Nc · Firm absorbed
- 2 left for P••••••••• C•••••• A•••••••• L••Feb 5, 2015 · H•••Ersville, Nc
- 2 joined from P•••••••• C•••••• M••••••••• I••Feb 3, 2016 · Charlotte, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• L••••• M•••••• · President, Managercontrolsince 11/2003 · owns less than 5%
- K••••• M••• L••• · Chief Compliance Officer, Managercontrolsince 02/2017 · owns less than 5%
- K••••• L••••• M•••••• · President And Shareholdercontrolsince 11/2015 · owns 50% to 75% of W••••••••• H•••••••• I•••
Entity owners
- W••••••••• H•••••••• I••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- San Diego, CA1 employees
- Stamford, CT1 employees
- Youngstown, OH1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 13 to 12Mar 3, 2020 to Jun 1, 2020
- Employees · 13 to 12Mar 3, 2020 to Jun 1, 2020
- State-registered IARs · 13 to 12Mar 3, 2020 to Jun 1, 2020
- Accounts · 2,028 to 2,484Jan 22, 2020 to Mar 3, 2020
- Advisory employees · 15 to 13Jan 22, 2020 to Mar 3, 2020
- Corporate clients · 8 to 9Jan 22, 2020 to Mar 3, 2020
- HNW clients · 146 to 233Jan 22, 2020 to Mar 3, 2020
- Individual clients · 674 to 756Jan 22, 2020 to Mar 3, 2020
- Pension plan clients · 15 to 16Jan 22, 2020 to Mar 3, 2020
- Assets in custody · $185M to $226MJan 22, 2020 to Mar 3, 2020
- Employees · 18 to 13Jan 22, 2020 to Mar 3, 2020
- Financial planning clients · 0 to 26-50Jan 22, 2020 to Mar 3, 2020
- State-registered IARs · 15 to 13Jan 22, 2020 to Mar 3, 2020
- Other offices · 5 to 4Jan 22, 2020 to Mar 3, 2020
- Discretionary RAUM · $638M to $858MJan 22, 2020 to Mar 3, 2020
- HNW RAUM · $295M to $465MJan 22, 2020 to Mar 3, 2020
- Individual RAUM · $285M to $324MJan 22, 2020 to Mar 3, 2020
- Non-discretionary RAUM · $5.0M to $7.0MJan 22, 2020 to Mar 3, 2020
- Pension RAUM · $19.0M to $19.2MJan 22, 2020 to Mar 3, 2020
- RAUM · $643M to $865MJan 22, 2020 to Mar 3, 2020
- Wrap assets (manager) · $3.4M to $3.4MJan 22, 2020 to Mar 3, 2020
- Advisory employees · 14 to 15Jun 17, 2019 to Sep 18, 2019
- Employees · 17 to 18Jun 17, 2019 to Sep 18, 2019
- State-registered IARs · 14 to 15Jun 17, 2019 to Sep 18, 2019
- Advisory employees · 13 to 14Mar 12, 2019 to Apr 30, 2019
- Employees · 16 to 17Mar 12, 2019 to Apr 30, 2019
- State-registered IARs · 13 to 14Mar 12, 2019 to Apr 30, 2019
- Accounts · 2,118 to 2,028Feb 25, 2019 to Mar 12, 2019
- HNW clients · 172 to 146Feb 25, 2019 to Mar 12, 2019
- Individual clients · 671 to 674Feb 25, 2019 to Mar 12, 2019
- Discretionary RAUM · $681M to $638MFeb 25, 2019 to Mar 12, 2019
- HNW RAUM · $333M to $295MFeb 25, 2019 to Mar 12, 2019
- Individual RAUM · $290M to $285MFeb 25, 2019 to Mar 12, 2019
- Non-discretionary RAUM · $5.0M to $5.0MFeb 25, 2019 to Mar 12, 2019
- Pension RAUM · $15.8M to $19.0MFeb 25, 2019 to Mar 12, 2019
- RAUM · $686M to $643MFeb 25, 2019 to Mar 12, 2019
- Wrap assets (manager) · $2.8M to $3.4MFeb 25, 2019 to Mar 12, 2019
- Accounts · 1,682 to 2,118Oct 31, 2018 to Feb 25, 2019
- Advisory employees · 12 to 13Oct 31, 2018 to Feb 25, 2019
- Corporate clients · 10 to 8Oct 31, 2018 to Feb 25, 2019
Signals
4 dated events
- W••••••••• W••••• M••••••••• L•• reported RAUM $865.1M, up 34% from $643.4M (2020-01-22 to 2020-03-03)Mar 3, 2020 · RAUM change · derived
- Ellis Theodore Ake (Vice President, Manager) no longer on Schedule A of W••••••••• W••••• M••••••••• L•• (listed 2020-01-22, absent 2020-03-03)Mar 3, 2020 · Control person left · inference
- W••••••••• W••••• M••••••••• L•• reported RAUM $562.0M, up 40% from $400.2M (2017-11-03 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- W••••••••• W••••• M••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 23, 2015 · Succession (Item 4) · 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