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
C•••••• W•••••• L••
Latest filing Apr 3, 2023
First filing on the tape Mar 14, 2012 · 35 filings
RAUM
$138M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$138M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$138M as of Feb 13, 2023
Mar 14, 2012$65.9M then
HNW client RAUM$123M as of Feb 13, 2023
Mar 2, 2018$96.1M then
State-registered IARs (5.B.3)2 as of Feb 13, 2023
Mar 14, 20120 then
Employees (5.A)3 as of Feb 13, 2023
Mar 10, 20158 then
Private funds: no history
RAUM -10% over the last fiscal year+5.4% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Apr 3, 2023; every figure names its basis
- RAUM per advisor
- $138MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 88derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $355,042derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.3%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Custody
- $52.1M, 46 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)
- 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
- High-net-worth individuals$123M89%
- Individuals$15.6M11%
- Individual clients
- 29reported
- HNW clients
- 59reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 390reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $52.1M for 46 clientsreported
- Compensation
- % of AUM, 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
Left, latest
- B•••••• W•••••• C•••••••• to H• W•••••Aug 11, 2023 · RIA to RIA
- W•••••• B•••••• E•••• to A•••• A•••••••Apr 3, 2023 · RIA to RIA
- C•••••• R••• Q••••• to A• W••••• M•••••••••Apr 4, 2019 · RIA to RIA
- J••• B•••• P•••••• to A••••• W••••• M••••••••• L••Dec 31, 2016 · Other
- B• B••••• H••••• to A••••• W••••• M••••••••• L••Dec 31, 2016 · Other
Joined, latest
- C•••••• R••• Q••••• from V•••• F•••••••• A•••••••• I•••Jan 5, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for A••••• W••••• M••••••••• L••Dec 31, 2016 · Franklin, Tn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• B••••••• W•••••• · Partner/Founder/Chief Compliance Officercontrolsince 01/2007 · owns less than 5%
- C••••••••• B••••••• W•••••• · Presidentcontrolsince 01/2007 · owns 75% or more of C•••••••• W••••• A•••••••• I•••
Entity owners
- C•••••••• W••••• A•••••••• I••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Columbia, SC2 employees
What changed
consecutive filings, newest first
- Advisory employees · 2 to 1Feb 13, 2023 to Apr 3, 2023
- Employees · 3 to 2Feb 13, 2023 to Apr 3, 2023
- State-registered IARs · 2 to 1Feb 13, 2023 to Apr 3, 2023
- Accounts · 395 to 390Feb 1, 2022 to Feb 13, 2023
- HNW clients · 65 to 59Feb 1, 2022 to Feb 13, 2023
- Individual clients · 27 to 29Feb 1, 2022 to Feb 13, 2023
- Assets in custody · $55.8M to $52.1MFeb 1, 2022 to Feb 13, 2023
- Discretionary RAUM · $154M to $138MFeb 1, 2022 to Feb 13, 2023
- HNW RAUM · $142M to $123MFeb 1, 2022 to Feb 13, 2023
- Individual RAUM · $12.2M to $15.6MFeb 1, 2022 to Feb 13, 2023
- RAUM · $154M to $138MFeb 1, 2022 to Feb 13, 2023
- Accounts · 364 to 395Feb 11, 2021 to Feb 1, 2022
- Advisory employees · 1 to 2Feb 11, 2021 to Feb 1, 2022
- HNW clients · 59 to 65Feb 11, 2021 to Feb 1, 2022
- Individual clients · 24 to 27Feb 11, 2021 to Feb 1, 2022
- Assets in custody · $42.9M to $55.8MFeb 11, 2021 to Feb 1, 2022
- State-registered IARs · 1 to 2Feb 11, 2021 to Feb 1, 2022
- Discretionary RAUM · $136M to $154MFeb 11, 2021 to Feb 1, 2022
- HNW RAUM · $122M to $142MFeb 11, 2021 to Feb 1, 2022
- Individual RAUM · $14.2M to $12.2MFeb 11, 2021 to Feb 1, 2022
- RAUM · $136M to $154MFeb 11, 2021 to Feb 1, 2022
- Accounts · 330 to 364Jun 19, 2020 to Feb 4, 2021
- HNW clients · 49 to 59Jun 19, 2020 to Feb 4, 2021
- Individual clients · 27 to 24Jun 19, 2020 to Feb 4, 2021
- Assets in custody · $38.9M to $42.9MJun 19, 2020 to Feb 4, 2021
- Discretionary RAUM · $118M to $136MJun 19, 2020 to Feb 4, 2021
- HNW RAUM · $102M to $122MJun 19, 2020 to Feb 4, 2021
- Individual RAUM · $16.2M to $14.2MJun 19, 2020 to Feb 4, 2021
- RAUM · $118M to $136MJun 19, 2020 to Feb 4, 2021
- Accounts · 397 to 330Sep 9, 2019 to Feb 10, 2020
- HNW clients · 45 to 49Sep 9, 2019 to Feb 10, 2020
- Individual clients · 32 to 27Sep 9, 2019 to Feb 10, 2020
- Assets in custody · $44.7M to $38.9MSep 9, 2019 to Feb 10, 2020
- Employees · 2 to 3Sep 9, 2019 to Feb 10, 2020
- Discretionary RAUM · $99.8M to $118MSep 9, 2019 to Feb 10, 2020
- HNW RAUM · $80.6M to $102MSep 9, 2019 to Feb 10, 2020
- Individual RAUM · $19.2M to $16.2MSep 9, 2019 to Feb 10, 2020
- RAUM · $99.8M to $118MSep 9, 2019 to Feb 10, 2020
- Advisory employees · 2 to 1Jun 11, 2019 to Sep 9, 2019
- State-registered IARs · 2 to 1Jun 11, 2019 to Sep 9, 2019
Signals
4 dated events
- B•••••• W•••••• C•••••••• left C•••••• W•••••• L•• for H• W••••• (registered 2023-09-07)Aug 11, 2023 · Advisor changed firm · fact
- W•••••• B•••••• E•••• left C•••••• W•••••• L•• for A•••• A••••••• (registered 2023-05-18)Apr 3, 2023 · Advisor changed firm · fact
- Rolf Clayton Quamme (Chief Compliance Officer) no longer on Schedule A of C•••••• W•••••• L•• (listed 2019-02-05, absent 2019-02-28)Feb 28, 2019 · Control person left · inference
- P•••••• • C•••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 4, 2014 · 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