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••••••••• C•••••• A•••••••• L••
Latest filing Apr 9, 2026
First filing on the tape Mar 19, 2012 · 16 filings
SEC status approved since Oct 8, 2004
RAUM
$5.0B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$5.0B as of Apr 9, 2026
Mar 19, 2012$2.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 9, 2026
Mar 19, 20120 then
Employees (5.A)2 as of Apr 9, 2026
Mar 19, 20132 then
Private funds: no history
RAUM +19% over the last fiscal year+17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- unknownderivedRAUM 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
- $360MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- otherreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$5.0B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
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
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
- G••••• S•••••• W•••• · Managing Partner/ Chief Compliance Officercontrolsince 03/2004 · owns 50% to 75%
- H••••••• B••••••• F• · Partnercontrolsince 06/2015 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Apr 9, 2026discretionary share of RAUM of 0% against a peer median of 99% (71 comparable advisers, 0.0th percentile, 33.4 robust deviations)peers: institutional managers, $5B to $20B (71) · 0.0% percentile
What changed
consecutive filings, newest first
- Non-discretionary RAUM · $4.2B to $5.0BMar 28, 2025 to Apr 9, 2026
- RAUM · $4.2B to $5.0BMar 28, 2025 to Apr 9, 2026
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 28, 2025
- HQ city · unset to Mar 28, 2024 to Mar 28, 2025
- HQ state · unset to Mar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $3.7B to $4.2BMar 28, 2024 to Mar 28, 2025
- RAUM · $3.7B to $4.2BMar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $3.1B to $3.7BMay 1, 2023 to Mar 28, 2024
- RAUM · $3.1B to $3.7BMay 1, 2023 to Mar 28, 2024
- Accounts · 8 to 14May 3, 2022 to May 1, 2023
- Advisory employees · 3 to 2May 3, 2022 to May 1, 2023
- Employees · 3 to 2May 3, 2022 to May 1, 2023
- Non-discretionary RAUM · $4.4B to $3.1BMay 3, 2022 to May 1, 2023
- RAUM · $4.4B to $3.1BMay 3, 2022 to May 1, 2023
- Accounts · 10 to 8Mar 29, 2021 to May 3, 2022
- HQ city · CHICAGO to unsetMar 29, 2021 to May 3, 2022
- HQ state · IL to unsetMar 29, 2021 to May 3, 2022
- Discretionary RAUM · $250M to $0Mar 29, 2021 to May 3, 2022
- Non-discretionary RAUM · $3.9B to $4.4BMar 29, 2021 to May 3, 2022
- RAUM · $4.2B to $4.4BMar 29, 2021 to May 3, 2022
- Accounts · 11 to 10May 5, 2020 to Mar 29, 2021
- Discretionary RAUM · $224M to $250MMay 5, 2020 to Mar 29, 2021
- Non-discretionary RAUM · $3.6B to $3.9BMay 5, 2020 to Mar 29, 2021
- RAUM · $3.8B to $4.2BMay 5, 2020 to Mar 29, 2021
- Discretionary RAUM · $209M to $224MApr 4, 2019 to May 5, 2020
- Non-discretionary RAUM · $3.2B to $3.6BApr 4, 2019 to May 5, 2020
- RAUM · $3.4B to $3.8BApr 4, 2019 to May 5, 2020
- Discretionary RAUM · $208M to $209MJun 27, 2018 to Apr 4, 2019
- Non-discretionary RAUM · $3.1B to $3.2BJun 27, 2018 to Apr 4, 2019
- RAUM · $3.3B to $3.4BJun 27, 2018 to Apr 4, 2019
- Accounts · 9 to 11Mar 14, 2017 to Jun 27, 2018
- Other offices · unset to 0.0Mar 14, 2017 to Jun 27, 2018
- Discretionary RAUM · $0 to $208MMar 14, 2017 to Jun 27, 2018
- Non-discretionary RAUM · $3.1B to $3.1BMar 14, 2017 to Jun 27, 2018
- RAUM · $3.1B to $3.3BMar 14, 2017 to Jun 27, 2018
- Non-discretionary RAUM · $3.1B to $3.1BMar 21, 2016 to Mar 14, 2017
- RAUM · $3.1B to $3.1BMar 21, 2016 to Mar 14, 2017
- Accounts · 21 to 9Dec 9, 2015 to Mar 21, 2016
- Non-discretionary RAUM · $3.7B to $3.1BDec 9, 2015 to Mar 21, 2016
- RAUM · $3.7B to $3.1BDec 9, 2015 to Mar 21, 2016
Signals
1 dated events
- W••••••••• C•••••• A•••••••• L•• reported RAUM $3.1B, down 29% from $4.4B (2022-05-03 to 2023-05-01)May 1, 2023 · RAUM change · derived
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•••••••••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-346-6822reportedpublic record, Form ADV, Apr 9, 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
- Institutional managerderiveda 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