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•••••• I••••••••• P••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 29, 2012 · 27 filings
SEC status approved since May 31, 2004
RAUM
$9.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$9.4M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$9.4M as of Mar 30, 2026
Mar 29, 2012$7.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 29, 20120 then
Employees (5.A)4 as of Mar 30, 2026
Mar 28, 201342 then
Private funds2 as of Mar 30, 2026
Mar 29, 20129 then
RAUM -80% over the last fiscal year-76% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $9.4MderivedRAUM 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
- $4.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- -80%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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
- Pooled investment vehicles$9.4M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• E••••• F•••• | W••••••, Mn | Jul 13, 2004 | 33 y | 1 |
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
- J••• E••••• F•••• from C••• W•••••• A•••••••• I•••Jul 13, 2004 · Other
Private funds
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•••••• O••••••••• F••• I••• L••• | Hedge Fund | $125M | 109 | Aug 16, 2012 |
| W•• O••••••• L••• I•no longer reported | Hedge Fund | $100M | 93 | Aug 16, 2012 |
| W•• L•• I•no longer reported | Private Equity Fund | $94.8M | 58 | Mar 29, 2012 |
| W•• O••••••• L••• I•no longer reported | Private Equity Fund | $55.3M | 36 | Mar 29, 2012 |
| W•••••• O••••••••• F••• I•• L•••no longer reported | Hedge Fund | $35.9M | 158 | Mar 29, 2012 |
| W•••••• R••••••• F•••• L••no longer reported | Hedge Fund | $20.8M | 20 | Mar 29, 2012 |
| W•••••• O••••••••• F••• O••••••• I••• L••• | Hedge Fund | $4.6M | 11 | Aug 16, 2012 |
| W•••••• D••••••••• O••••••••• F••• I••• L••no longer reported | Hedge Fund | $3.0M | 8 | Mar 29, 2012 |
| W•••••• D••••••••• O••••••••• F••• I••• L••no longer reported | Hedge Fund | $1.2M | 11 | Mar 29, 2012 |
| W•••••• O••••••••• F•••• L••no longer reported | Hedge Fund | $13,033 | 98 | Mar 29, 2012 |
| W•••••• O••••••••• F••• O•••••••• L•••no longer reported | Hedge Fund | $377 | 4 | Mar 29, 2012 |
| W•••••• O••••••••• F••• O••••••• I•• L•••no longer reported | Hedge Fund | $373 | 22 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• K••••• M•••• · Chief Operations Officercontrolsince 10/2016 · owns less than 5%
- B••••• M•••• I•••• · Vice President And Chief Compliance Officercontrolsince 10/2017 · owns less than 5%
- C••••••• B••••• M•••••• · Vice Presidentcontrolsince 12/2009 · owns less than 5%
- F••••• J•••• E••••• · Vice Presidentcontrolsince 12/2009 · owns less than 5%
- H•••••••• P••••••• J••••• · Managercontrolsince 05/2004 · owns less than 5%
- S•••••• P••• E•••• · Chief Financial Officercontrolsince 10/2016 · owns less than 5%
- W••••••••• R••••••• T• · Legal Officercontrolsince 01/2023 · owns less than 5%
- C••••••• B••••• M•••••• · Trusteecontrolsince 06/2010 · owns 75% or more of B•••• M• C•••••• L••••• T•••• D•••• M•• 2•• 2•••
- C••••••• B••••• M•••••• · Managercontrolsince 12/2009 · owns F of B••• H•••••••• L••
- C••••••• C••••••• R•• · Trusteecontrolsince 06/2010 · owns 75% or more of C•••••• R• H•••••• C•••••• L••••• T•••• D•••• M•• 2•• 2•••
- F••••• J•••• E••••• · Manager-Membercontrolsince 12/2009 · owns 50% to 75% of A•• W••••••• L••
- H•••••••• K•••••••• A••• · Trusteecontrolsince 01/2004 · owns 75% or more of K••••••• A• H••••••• L••••• T•••• A••••••••
- H•••••••• P••••••• J••••• · Managercontrolsince 01/2004 · owns F of H•••••••• P••••••• J•••••
- H•••••••• P••••••• J••••• · Trusteecontrolsince 01/2004 · owns 75% or more of P•••••• J• H••••••• L••••• T•••• A••••••••
- F••••• D••••• A•• · Membersince 12/2009 · owns 25% to 50% of A•• W••••••• L••
Entity owners
- A•• W••••••• L•• · Memberdirect · owns 10% to 25%
- B••• H•••••••• L•• · Memberdirect · owns 10% to 25%
- M•• H••••••• L•• · Memberdirect · owns 50% to 75%
- B•••• M• C•••••• L••••• T•••• D•••• M•• 2•• 2••• · Memberindirect · owns 50% to 75% of B••• H•••••••• L••
- P•••••• J• H••••••• L••••• T•••• A•••••••• · Memberindirect · owns 50% to 75% of M•• H••••••• L••
- C•••••• R• H•••••• C•••••• L••••• T•••• D•••• M•• 2•• 2••• · Memberindirect · owns 25% to 50% of B••• H•••••••• L••
- K••••••• A• H••••••• L••••• T•••• A•••••••• · Memberindirect · owns 25% to 50% of M•• H••••••• L••
Related persons
Schedule D 7.A
- W•••••• O••••••• G• I••• L••bankpooled vehicle sponsory
- W•• I•• G•• L•••bankpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Mar 28, 2025 to Mar 30, 2026
- Employees · 5 to 4Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $45.8M to $9.4MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $45.8M to $9.4MMar 28, 2025 to Mar 30, 2026
- RAUM · $45.8M to $9.4MMar 28, 2025 to Mar 30, 2026
- Advisory employees · 5 to 3Oct 13, 2024 to Mar 28, 2025
- Employees · 7 to 5Oct 13, 2024 to Mar 28, 2025
- Financial planning clients · unset to Oct 13, 2024 to Mar 28, 2025
- State-registered IARs · 1 to 0Oct 13, 2024 to Mar 28, 2025
- Discretionary RAUM · $184M to $45.8MOct 13, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $184M to $45.8MOct 13, 2024 to Mar 28, 2025
- RAUM · $184M to $45.8MOct 13, 2024 to Mar 28, 2025
- HQ city · PLYMOUTH to W••••••Mar 29, 2024 to Oct 11, 2024
- Discretionary RAUM · $376M to $184MMar 29, 2024 to Oct 11, 2024
- Pooled vehicle RAUM · $376M to $184MMar 29, 2024 to Oct 11, 2024
- RAUM · $376M to $184MMar 29, 2024 to Oct 11, 2024
- Discretionary RAUM · $644M to $376MMar 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $644M to $376MMar 30, 2023 to Mar 29, 2024
- RAUM · $644M to $376MMar 30, 2023 to Mar 29, 2024
- Accounts · 4 to 2Mar 30, 2022 to Mar 30, 2023
- Pooled vehicle clients · 4 to 2Mar 30, 2022 to Mar 30, 2023
- Private funds · 4 to 2Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $697M to $644MMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $697M to $644MMar 30, 2022 to Mar 30, 2023
- RAUM · $697M to $644MMar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $805M to $697MMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $805M to $697MMar 31, 2021 to Mar 30, 2022
- RAUM · $805M to $697MMar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $822M to $805MMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $822M to $805MMar 30, 2020 to Mar 31, 2021
- RAUM · $822M to $805MMar 30, 2020 to Mar 31, 2021
- Accounts · 6 to 4Mar 29, 2019 to Mar 30, 2020
- Pooled vehicle clients · 6 to 4Mar 29, 2019 to Mar 30, 2020
- Assets in custody · 13033.0 to unsetMar 29, 2019 to Mar 30, 2020
- Custody of client assets · true to falseMar 29, 2019 to Mar 30, 2020
- Private funds · 6 to 4Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $1.1B to $822MMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $1.1B to $822MMar 29, 2019 to Mar 30, 2020
- RAUM · $1.1B to $822MMar 29, 2019 to Mar 30, 2020
- Advisory employees · 11 to 5Mar 29, 2018 to Mar 29, 2019
Signals
6 dated events
- W•••••• I••••••••• P••••••• L•• reported RAUM $45.8M, down 75% from $183.8M (2024-10-13 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- W•••••• I••••••••• P••••••• L•• reported RAUM $183.8M, down 51% from $376.0M (2024-03-29 to 2024-10-11)Oct 11, 2024 · RAUM change · derived
- W•••••• I••••••••• P••••••• L•• reported RAUM $376.0M, down 42% from $644.4M (2023-03-30 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- T R•••••• W•••••••• (Legal Officer) appeared on Schedule A of W•••••• I••••••••• P••••••• L••Mar 29, 2024 · Control person joined · fact
- W•••••• I••••••••• P••••••• L•• reported RAUM $821.7M, down 28% from $1.1B (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- W•••••• I••••••••• P••••••• L•• reported RAUM $1.4B, down 47% from $2.7B (2017-11-03 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- W•••••• I••••••••• P••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 952-345-0700reportedpublic record, Form ADV, Mar 30, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $9.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026