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••••••• W••••• M•••••••••
Legal name W••••••• A•••••••• L••••
Latest filing Apr 2, 2026
First filing on the tape Mar 29, 2012 · 38 filings
SEC status approved since Jul 1, 2004
RAUM
$750M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
20%
$154M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$93.7M
derived; firm RAUM over IAPD count
Employees
62
14 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
14
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$750M as of Apr 2, 2026
Mar 29, 2012$460M then
HNW client RAUM$98.3M as of Apr 2, 2026
Mar 30, 2018$262M then
State-registered IARs (5.B.3)6 as of Apr 2, 2026
Mar 27, 20130 then
Employees (5.A)62 as of Apr 2, 2026
Mar 27, 201310 then
Private funds14 as of Apr 2, 2026
Mar 29, 201211 then
RAUM +17% over the last fiscal year+35% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Apr 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $93.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -16%derived
- Compensation
- percentage of assets, fixed fees, performance-based, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $315M, 12 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$516M69%
- High-net-worth individuals$98.3M13%
- Corporations and businesses$68.1M9.1%
- Individuals$55.3M7.4%
- Charitable organizations$5.8M0.8%
- Pension and profit-sharing plans$5.6M0.8%
- Individual clients
- 181reported
- HNW clients
- 45reported
- Pension plan clients
- 40reported
- Charitable clients
- 6reported
- Accounts
- 467reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $315M for 12 clientsreported
- Compensation
- % of AUM, fixed, performance, commissionsreported
- Class basis
- private_client_share=0.2 fund_share=0.69 institutional_share=0.02 related_bd=true related_bank=true bd_reps=7.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• L••••••Chartered Financial Analyst | Houston, Tx | Mar 31, 2023 | 17 y | 1 |
| J••••• C•••••Certified Financial Planner, Chartered Financial Analyst | Dallas, Tx | Oct 2, 2023 | 12 y | 2 |
| M•••••• H••• Y•• | Dallas, Tx | Oct 18, 2023 | 11 y | 0 |
| S•••• W• W••••••• | Houston, Tx | Jan 29, 2024 | 24 y | 0 |
| K•••• A•••••• D•••••••• | Houston, Tx | Jun 26, 2024 | 15 y | 0 |
| S•••• V•••••• C••••• | Dallas, Tx | Jan 14, 2025 | 27 y | 2 |
| J•••••• N••••• G•••••• B••••••• | Dallas, Tx | Sep 18, 2025 | 12 y | 4 |
| D••••• B••••Certified Financial Planner | Houston, Tx | Jul 21, 2026 | 10 y | 4 |
Advisor movement
2 left, 2 joined in 12 months
net 0 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 25% of current headcount8 left over 36 months
Left, latest
- N••••• C•••••• O•• to M••••• G••••• A••••••• I•••Mar 26, 2026 · RIA to RIA
- B•••• A•••• T••••• to C•••••••Mar 2, 2026 · Other
- C••• C••••• C••••••• to S•• C•••••• M••••••••• L••May 5, 2025 · RIA to RIA
- J•••• M•••••• C•••• to T••••• A••••••• S•••••••• I•••Mar 17, 2025 · RIA to affiliated broker-dealer or bank
- L••• R•••••• B•••••• to C••••••••• I••••••••• A•••••••• L••Jan 13, 2025 · RIA to RIA
- G••• A••••• C•••••••• to L•• F•••••••• L••Aug 12, 2024 · RIA to affiliated broker-dealer or bank
- M•••• A•••• to T••••• A••••••• S•••••••• I•••May 20, 2024 · RIA to affiliated broker-dealer or bank
- T••••• W••••• C•••••• to P••• I••••••••• A•••••••• L•••Apr 1, 2024 · RIA to RIA
- J••••• M••••••• to B••••• P••••• A•••••••• L••May 2, 2023 · RIA to RIA
- J••••••••• L•••• F••••• to M••••••• I••••••••• N•••••• I•••Mar 6, 2023 · RIA to affiliated broker-dealer or bank
- M•••••• L•• M•••••• to B••••• P••••• A•••••••• L••Aug 24, 2022 · RIA to RIA
- C••••••••• A••• R••••• to C••••••• P•••••••Mar 24, 2022 · RIA to RIA
- D••••• W•••• R•••••• to L•••• C•••••• M••••••••• L••Nov 3, 2021 · RIA to RIA
- L••••• G•••••••• L•••••• to B••••• F•••••••• P•••••••• I••Dec 18, 2020 · RIA to RIA
- T••••• B• W••••••• to M•••• F•••••••• A•••••••Feb 24, 2020 · RIA to RIA
Joined, latest
- D••••• B•••• from W••••••• M••••••••• C•••Jul 21, 2026 · Other
- J•••••• N••••• G•••••• B••••••• from 1••• A•••• M••••••••• L••Sep 18, 2025 · RIA to RIA
- S•••• V•••••• C••••• from A••••••• T•••• A•••••••• I•••Jan 14, 2025 · Other
- B•••• A•••• T••••• from F••••••Sep 4, 2024 · RIA to RIA
- N••••• C•••••• O•• from F••••••• P••••••• A•• W•••••••• A•••••••Aug 13, 2024 · Affiliated broker-dealer or bank to independent RIA
- J••••• C••••• from M••••• G••••• A••••••• I•••Oct 2, 2023 · RIA to RIA
- K•••• L•••••• from F••••• I•••••••••Mar 31, 2023 · RIA to RIA
- C••••••••• A••• R••••• from C•••••• S••••• • C••• I•••Jun 25, 2021 · Affiliated broker-dealer or bank to independent RIA
- G••• A••••• C•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 15, 2021 · Wirehouse to independent RIA
- T••••• W••••• C•••••• from L••••••• A•••• M••••••••• L••Mar 31, 2021 · Other
- L••••• G•••••••• L•••••• from P••••••• F•••••••• A•••••••• L••Feb 4, 2020 · RIA to RIA
- N••• D•••••• W••••• from T••••••• P•••••• W••••• M•••••••••May 11, 2018 · Other
- T••••• B• W••••••• from L••••• A•••• M••••••••• I•••Nov 17, 2017 · Other
- L••• R•••••• B•••••• from S•••• T•••• M•••• M••••••••• L•••Jul 26, 2017 · Other
- N••••••• W•••••• E•••••• from M••••• S•••••• D• I•••Feb 28, 2017 · Other
Private funds
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••• M•• T•••• R••••• F•••• L••• | Hedge Fund | $136M | 219 | Dec 6, 2013 |
| W••••••• E••••• S••••••••• F••• I• L•• | Private Equity Fund | $34.3M | 62 | Mar 29, 2024 |
| S•••••• M•• T•••• R••••• F••• T•• L••• | Hedge Fund | $29.1M | 23 | Nov 20, 2014 |
| W••••••• L••••••••• L•••no longer reported | Hedge Fund | $24.8M | 11 | Mar 29, 2012 |
| W••••••• F••••••••• P••••••• F••• I•• L•• | Private Equity Fund | $7.6M | 19 | Mar 29, 2024 |
| W••••••• H••••••••• F••• L•• | Real Estate Fund | $5.7M | 19 | Mar 31, 2019 |
| W••••••• V•••••• S•••••••• P••••••• I••• L•• | Private Equity Fund | $2.7M | 8 | Mar 29, 2024 |
| W••••••• T••••••••• O••••••••• F••• I• L• | Private Equity Fund | $1.7M | 10 | Mar 31, 2019 |
| W••••••• L••••••• D•• F••• I••• L•• | Private Equity Fund | $1.5M | 6 | Mar 31, 2023 |
| W••••••• V•••••• I••••••••• F•••• L•• | Private Equity Fund | $1.3M | 7 | Mar 31, 2023 |
| W••••••• V•••••• F••• I••• L•• | Private Equity Fund | $952,525 | 7 | Mar 31, 2023 |
| P• W••••••• A•• F••• I• L•• ••••••• | Private Equity Fund | $0 | 13 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• L•••• R•••••• · President, W••••••• W••••• M•••••••••controlsince 05/2022 · owns less than 5%
- E••••••• J•••• A• · Head Of Legal, Ccocontrolsince 03/2023 · owns less than 5%
- F•••••• M••••• · Svp, Chief Financial Officer, Treasurercontrolsince 11/2018 · owns less than 5%
- G••••• F••••• · Presidentcontrolsince 02/2018 · owns less than 5%
- M••••• J•••• D• · Managing Membercontrolsince 05/2021 · owns less than 5%
- R•••••• T•••••• · Chief Wealth Administrative Officersince 01/2023 · owns less than 5%
Entity owners
- W••••••• H••••••• G••••• I••• · Ownerdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- B•••••••• A•••• M••••••••• L••investment adviserbankyRAUM $238M
- S•••••• A•••••••• L•••investment adviserbanknRAUM $61.8M
- S•••••• C•••••• L•••broker-dealern
- S•••••• Z•••••• I••• G•• L••bankpooled vehicle sponsorn
- S•••••• Z•••••• I••• G•• L••bankpooled vehicle sponsorn
- S•••••• Z•••••• I••• G•• L••bankpooled vehicle sponsorn
- W••••••• M••••••••• C•••investment adviserbanknRAUM $12B
- W••••••• T••••custodiann
- W•• P• H•••••• L••pooled vehicle sponsorn
Advisers that list W••••••• W••••• M••••••••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 8 | 2 | 2 | ||
| Houston, Tx | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Houston, TX7 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- high employee count relative to advisorsStatic outlier · filing Apr 2, 2026employees per registered advisor of 7.8 against a peer median of 1.4 (950 comparable advisers, 100.0th percentile, 16.1 robust deviations)peers: WEALTH_I•••••••••, $500M to $1B (950) · 100% percentile
- HNW share shiftChange between filings · filing Apr 2, 2026HNW share of RAUM moved from 28.0% to 13.0% between the annual amendments of 2025-03-31 and 2026-04-02peers: WEALTH_I•••••••••, $500M to $1B (1,482)
- client mix shiftChange between filings · filing Apr 2, 2026private-client share of RAUM moved from 38.0% to 20.0% between the annual amendments of 2025-03-31 and 2026-04-02peers: WEALTH_I•••••••••, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 490 to 467Feb 17, 2026 to Mar 31, 2026
- Advisory employees · 23 to 14Feb 17, 2026 to Mar 31, 2026
- Advisory activities · 7 to 6Feb 17, 2026 to Mar 31, 2026
- Charity clients · 4 to 6Feb 17, 2026 to Mar 31, 2026
- Corporate clients · 152 to 166Feb 17, 2026 to Mar 31, 2026
- HNW clients · 61 to 45Feb 17, 2026 to Mar 31, 2026
- Individual clients · 207 to 181Feb 17, 2026 to Mar 31, 2026
- Pension plan clients · 31 to 40Feb 17, 2026 to Mar 31, 2026
- Pooled vehicle clients · 12 to 14Feb 17, 2026 to Mar 31, 2026
- Assets in custody · $93.0M to $315MFeb 17, 2026 to Mar 31, 2026
- Employees · 66 to 62Feb 17, 2026 to Mar 31, 2026
- Financial planning clients · 11-25 to 26-50Feb 17, 2026 to Mar 31, 2026
- Private funds · 12 to 14Feb 17, 2026 to Mar 31, 2026
- Discretionary RAUM · $625M to $740MFeb 17, 2026 to Mar 31, 2026
- HNW RAUM · $180M to $98.3MFeb 17, 2026 to Mar 31, 2026
- Individual RAUM · $65.5M to $55.3MFeb 17, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $12.9M to $9.9MFeb 17, 2026 to Mar 31, 2026
- Pension RAUM · $2.0M to $5.6MFeb 17, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $307M to $516MFeb 17, 2026 to Mar 31, 2026
- RAUM · $638M to $750MFeb 17, 2026 to Mar 31, 2026
- Accounts · 383 to 490Mar 29, 2024 to Mar 31, 2025
- Advisory employees · 25 to 23Mar 29, 2024 to Mar 31, 2025
- Advisory activities · 6 to 7Mar 29, 2024 to Mar 31, 2025
- Corporate clients · 133 to 152Mar 29, 2024 to Mar 31, 2025
- HNW clients · 55 to 61Mar 29, 2024 to Mar 31, 2025
- Individual clients · 151 to 207Mar 29, 2024 to Mar 31, 2025
- Pension plan clients · 30 to 31Mar 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · 10 to 12Mar 29, 2024 to Mar 31, 2025
- Assets in custody · $221M to $93.0MMar 29, 2024 to Mar 31, 2025
- Employees · 68 to 66Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 11-25 to 11-25Mar 29, 2024 to Mar 31, 2025
- Private funds · 10 to 12Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $433M to $625MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $159M to $180MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $38.4M to $65.5MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $0 to $12.9MMar 29, 2024 to Mar 31, 2025
- Pension RAUM · $1.8M to $2.0MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $221M to $307MMar 29, 2024 to Mar 31, 2025
- RAUM · $433M to $638MMar 29, 2024 to Mar 31, 2025
- Accounts · 323 to 383Oct 27, 2023 to Mar 29, 2024
Signals
20 dated events
- N••••• C•••••• O•• left W••••••• W••••• M••••••••• for M••••• G••••• A••••••• I••• (registered 2026-03-25)Mar 26, 2026 · Advisor changed firm · fact
- B•••• A•••• T••••• left W••••••• W••••• M••••••••• for Captrust (registered 2026-04-14)Mar 2, 2026 · Advisor changed firm · fact
- C••• C••••• C••••••• left W••••••• W••••• M••••••••• for S•• C•••••• M••••••••• L•• (registered 2025-05-29)May 5, 2025 · Advisor changed firm · fact
- W••••••• W••••• M••••••••• reported RAUM $638.2M, up 47% from $433.3M (2024-03-29 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- J•••• M•••••• C•••• left W••••••• W••••• M••••••••• for T••••• A••••••• S•••••••• I••• (registered 2025-02-27)Mar 17, 2025 · Advisor changed firm · fact
- L••• R•••••• B•••••• left W••••••• W••••• M••••••••• for C••••••••• I••••••••• A•••••••• L•• (registered 2025-03-04)Jan 13, 2025 · Advisor changed firm · fact
- G••• A••••• C•••••••• left W••••••• W••••• M••••••••• for L•• F•••••••• L•• (registered 2024-10-28)Aug 12, 2024 · Advisor changed firm · fact
- M•••• A•••• left W••••••• W••••• M••••••••• for T••••• A••••••• S•••••••• I••• (registered 2024-05-22)May 20, 2024 · Advisor changed firm · fact
- T••••• W••••• C•••••• left W••••••• W••••• M••••••••• for P••• I••••••••• A•••••••• L••• (registered 2024-03-25)Apr 1, 2024 · Advisor changed firm · fact
- W••••••• W••••• M••••••••• reported RAUM $433.3M, up 42% from $306.1M (2023-10-27 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Porter John Montgomery (Chief Operating Officer) no longer on Schedule A of W••••••• W••••• M••••••••• (listed 2023-03-31, absent 2023-06-28)Jun 28, 2023 · Control person left · inference
- Rebecca Leah Bennett (President, W••••••• W••••• M•••••••••) appeared on Schedule A of W••••••• W••••• M•••••••••Jun 28, 2023 · Control person joined · fact
- J••••• M••••••• left W••••••• W••••• M••••••••• for B••••• P••••• A•••••••• L•• (registered 2023-06-06)May 2, 2023 · Advisor changed firm · fact
- W••••••• W••••• M••••••••• reported RAUM $306.1M, up 188% from $106.3M (2023-03-01 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- J••••••••• L•••• F••••• left W••••••• W••••• M••••••••• for M••••••• I••••••••• N•••••• I••• (registered 2023-03-07)Mar 6, 2023 · Advisor changed firm · fact
- M•••••• L•• M•••••• left W••••••• W••••• M••••••••• for B••••• P••••• A•••••••• L•• (registered 2020-11-12)Aug 24, 2022 · Advisor changed firm · fact
- D J••• M•••• (Managing Member) appeared on Schedule A of W••••••• W••••• M•••••••••Mar 31, 2022 · Control person joined · fact
- C••••••••• A••• R••••• left W••••••• W••••• M••••••••• for C••••••• P••••••• (registered 2022-03-21)Mar 24, 2022 · Advisor changed firm · fact
- W••••••• W••••• M••••••••• reported RAUM $61.4M, down 77% from $272.6M (2018-09-14 to 2019-03-31)Mar 31, 2019 · RAUM change · derived
- M••••• F••••• (Svp, Chief Financial Officer, Treasurer) appeared on Schedule A of W••••••• W••••• M•••••••••Mar 31, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- W••••••• W••••• M••••••••• · Independent Sponsorsshared crd · capital_provider
- W••••••• W••••• M••••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 800-994-0755reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 844-455-9327reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-386-3944reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/westwoodholdingsgroupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- westwoodetfs.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 2147566900reportedpublic record, Form ADV, Apr 2, 2026
- Contact form
- westwoodgroup.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- westwoodgroup.com/corporate/peoplereportedpublished by the firm, firm site, Sep 15, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $93.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
W••••••• W••••• M••••••••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
Checking your plan…