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•••••• A•••••••• L••
Latest filing Jan 30, 2026
First filing on the tape Nov 15, 2011 · 41 filings
SEC status approved since Mar 18, 2005
RAUM
$1.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$1.7B individuals and HNW
Advisors
18
registered through the firm on IAPD
RAUM per advisor
$104M
derived; firm RAUM over IAPD count
Employees
29
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$1.9B as of Jan 30, 2026
Feb 6, 2012$2.1B then
HNW client RAUM$406M as of Jan 30, 2026
Mar 22, 2018$314M then
State-registered IARs (5.B.3)13 as of Jan 30, 2026
Jan 29, 201310 then
Employees (5.A)29 as of Jan 30, 2026
Jan 29, 201316 then
Private funds: no history
RAUM +9.9% over the last fiscal year+16% a year over threeIARs 12 to 13
Practice profile
derived from the filing of Jan 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $98.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 213derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $450,233derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 19.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +8.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$1.3B71%
- High-net-worth individuals$406M22%
- Corporations and businesses$92.9M5.0%
- Charitable organizations$32.4M1.7%
- Pension and profit-sharing plans$6.8M0.4%
- State and municipal entities$1.1M0.1%
- Individual clients
- 3,791reported
- HNW clients
- 259reported
- Pension plan clients
- 5reported
- Charitable clients
- 30reported
- Accounts
- 4,149reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $1.8B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=true bd_reps=13.0 bank_owner=falsederived
Advisors registered through the firm
19 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••••• N••••• D••••• | Charlotte, Nc | Apr 30, 2007 | 19 y | 0 |
| A••• F• B•••• | Charlotte, Nc | May 28, 2008 | 28 y | 1 |
| F•••••••• O• P•••••Chartered Financial Analyst | Charlotte, Nc | Aug 19, 2008 | 20 y | 0 |
| J••••••• M•••• F•••••••• | Charlotte, Nc | Jan 26, 2011 | 17 y | 1 |
| J••••• N••••••• D•••••••• | Charlotte, Nc | Feb 15, 2018 | 42 y | 4 |
| M••••• W••••• P••••••Chartered Financial Analyst | Charlotte, Nc | Jan 28, 2019 | 12 y | 0 |
| J•••• W••••• C•• | Charlotte, Nc | Feb 1, 2022 | 27 y | 3 |
| J•••• M•••••• L•••••••• | Pinecrest, Fl | Mar 2, 2022 | 22 y | 3 |
| S••• L••••• K••••• | Charlotte, Nc | Mar 2, 2022 | 12 y | 2 |
| B•••• W•••••• B••• | Jupiter, Fl | Mar 2, 2022 | 11 y | 1 |
| J••• C•••••• C•••••• | Charlotte, Nc | Mar 2, 2022 | 14 y | 1 |
| D••••• T••••••• P••••• | Charlotte, Nc | Mar 2, 2022 | 11 y | 2 |
| S•••••• H••••• R••• | Charlotte, Nc | Mar 2, 2022 | 10 y | 1 |
| L••• R••••••• | Santa Monica, Ca | Nov 14, 2022 | 10 y | 1 |
| P•••• N••••••• T•••••••• | Charlotte, Nc | Dec 13, 2022 | 23 y | 2 |
| N••••• J••••• M••••••• | Charlotte, Nc | Jan 30, 2024 | 10 y | 0 |
| C••• J••••• V••• | Charlotte, Nc | Mar 4, 2024 | 12 y | 0 |
| T••••• W•••••• D•••••• | Charlotte, Nc | Jul 14, 2026 | 10 y | 2 |
| G•••• D••• K••••••• | Charlotte, Nc | Sep 14, 2026 | 14 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- W•••••• F•••••••• G•••••• to W•••• F•••• A•••••••May 20, 2019 · RIA to wirehouse
- S•••••• G•••••• H••••• to E••••• I••••••••• C•••Sep 6, 2017 · Other
- J••• D••••• S••••••••• to A•••• I•••••••••Jan 24, 2007 · Other
Joined, latest
- G•••• D••• K••••••• from P•••••••• A•••• M•••••••••Sep 14, 2026 · Other
- T••••• W•••••• D•••••• from P•••••••• A•••• M•••••••••Jul 14, 2026 · Other
- P•••• N••••••• T•••••••• from D••••••• B••• S••••••••• I•••Dec 13, 2022 · Other
- L••• R••••••• from M••••• S••••••Nov 14, 2022 · Wirehouse to independent RIA
- J•••• W••••• C•• from W•••• F•••• A•••••••Feb 11, 2020 · Wirehouse to independent RIA
- D••••• T••••••• P••••• from I•••••• A•••••••• I•••Jun 27, 2019 · Other
- J••••• N••••••• D•••••••• from M••••• S••••••Feb 15, 2018 · Other
- S••• L••••• K••••• from R•••••• J•••• • A••••••••• I•••Jul 28, 2016 · Other
- S•••••• G•••••• H••••• from R•••••••• I•••••••••Jul 28, 2016 · Other
- J•••• M•••••• L•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 29, 2015 · Other
- J••••••• M•••• F•••••••• from L•• F•••••••• L••Jan 26, 2011 · Other
- A••• F• B•••• from U•• F•••••••• S••••••• I•••May 28, 2008 · Other
- J••• D••••• S••••••••• from A•••• I•••••••••Nov 30, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••• J••••• W••••• · Chief Compliance Officercontrolsince 06/2020 · owns less than 5%
- D•••••• E•••••• N••••• · Chief Investment Strategistcontrolsince 12/2006 · owns less than 5%
- G••••• N••• · Secretarycontrolsince 07/2016 · owns less than 5%
- H•••• G••••• K• · Managing Partnercontrolsince 07/2015 · owns less than 5%
- L••••••••• J••••• M•••••• · Managing Partnercontrolsince 07/2023 · owns less than 5%
- P••••••• M•••••• W••••• · Co-Chief Investment Officercontrolsince 08/2025 · owns less than 5%
- P••••••••• M••••••• D••••• · Chief Administrative Officercontrolsince 08/2013 · owns less than 5%
- P•••••• F••••••••• O• · Co-Chief Investment Officer Partnercontrolsince 09/2019 · owns less than 5%
Entity owners
- V•••••• C•••••• H•••••••• L•• · Shareholderdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- V•••••• C•••••• M••••••••• I•••investment adviserbankpooled vehicle sponsornRAUM $283B
- V•••••• C•••••• S•••••••• I•••broker-dealern
Advisers that list W•••••• A•••••••• L•• as a related person
- 106189 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 18 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jan 30, 2026P••••••• M•••••• W••••• (CO-CHIEF INVESTMENT OFFICER) appeared on Schedule A between the filings of 2022-01-27 and 2026-01-30peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jan 30, 2026H•••• G••••• K• (MANAGING PARTNER) left Schedule A between the filings of 2022-01-27 and 2026-01-30peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 4,002 to 4,149Aug 1, 2025 to Jan 30, 2026
- BD registered reps · 12 to 13Aug 1, 2025 to Jan 30, 2026
- Charity clients · 34 to 30Aug 1, 2025 to Jan 30, 2026
- Corporate clients · 64 to 63Aug 1, 2025 to Jan 30, 2026
- HNW clients · 278 to 259Aug 1, 2025 to Jan 30, 2026
- Individual clients · 3,620 to 3,791Aug 1, 2025 to Jan 30, 2026
- Pension plan clients · 3 to 5Aug 1, 2025 to Jan 30, 2026
- Employees · 28 to 29Aug 1, 2025 to Jan 30, 2026
- State-registered IARs · 12 to 13Aug 1, 2025 to Jan 30, 2026
- Discretionary RAUM · $1.7B to $1.9BAug 1, 2025 to Jan 30, 2026
- HNW RAUM · $396M to $406MAug 1, 2025 to Jan 30, 2026
- Individual RAUM · $1.1B to $1.3BAug 1, 2025 to Jan 30, 2026
- Pension RAUM · $5.2M to $6.8MAug 1, 2025 to Jan 30, 2026
- RAUM · $1.7B to $1.9BAug 1, 2025 to Jan 30, 2026
- Wrap assets (manager) · $1.6B to $1.8BAug 1, 2025 to Jan 30, 2026
- Accounts · 3,525 to 4,002Jun 3, 2024 to Jan 30, 2025
- BD registered reps · 10 to 12Jun 3, 2024 to Jan 30, 2025
- Corporate clients · 68 to 64Jun 3, 2024 to Jan 30, 2025
- HNW clients · 292 to 278Jun 3, 2024 to Jan 30, 2025
- Individual clients · 3,125 to 3,620Jun 3, 2024 to Jan 30, 2025
- Employees · 29 to 28Jun 3, 2024 to Jan 30, 2025
- Financial planning clients · unset to Jun 3, 2024 to Jan 30, 2025
- Discretionary RAUM · $1.5B to $1.7BJun 3, 2024 to Jan 30, 2025
- HNW RAUM · $383M to $396MJun 3, 2024 to Jan 30, 2025
- Individual RAUM · $917M to $1.1BJun 3, 2024 to Jan 30, 2025
- Pension RAUM · $23.1M to $5.2MJun 3, 2024 to Jan 30, 2025
- RAUM · $1.5B to $1.7BJun 3, 2024 to Jan 30, 2025
- Wrap assets (manager) · $1.4B to $1.6BJun 3, 2024 to Jan 30, 2025
- Accounts · 3,084 to 3,525Jul 14, 2023 to Jan 30, 2024
- BD registered reps · 5 to 10Jul 14, 2023 to Jan 30, 2024
- Charity clients · 29 to 34Jul 14, 2023 to Jan 30, 2024
- HNW clients · 301 to 292Jul 14, 2023 to Jan 30, 2024
- Individual clients · 2,680 to 3,125Jul 14, 2023 to Jan 30, 2024
- Pension plan clients · 2 to 3Jul 14, 2023 to Jan 30, 2024
- Employees · 28 to 29Jul 14, 2023 to Jan 30, 2024
- State-registered IARs · 16 to 12Jul 14, 2023 to Jan 30, 2024
- Discretionary RAUM · $1.2B to $1.5BJul 14, 2023 to Jan 30, 2024
- HNW RAUM · $397M to $383MJul 14, 2023 to Jan 30, 2024
- Individual RAUM · $667M to $917MJul 14, 2023 to Jan 30, 2024
- Pension RAUM · $28.2M to $23.1MJul 14, 2023 to Jan 30, 2024
Signals
11 dated events
- G•••• D••• K••••••• registered as an investment adviser representative at W•••••• A•••••••• L••Sep 14, 2026 · Advisor registered · fact
- W•••••• Michael Goldman (Managing Partner) no longer on Schedule A of W•••••• A•••••••• L•• (listed 2023-07-14, absent 2024-01-30)Jan 30, 2024 · Control person left · inference
- Michael Jason Leibowitz (Head Of Business Development/Managing Partner) appeared on Schedule A of W•••••• A•••••••• L••Jul 14, 2023 · Control person joined · fact
- W•••••• A•••••••• L•• reported RAUM $1.6B, up 57% from $992.9M (2021-08-02 to 2022-01-27)Jan 27, 2022 · RAUM change · derived
- Dennis Michael Policarpo (Chief Administrative Officer) appeared on Schedule A of W•••••• A•••••••• L••Jan 27, 2022 · Control person joined · fact
- Nina Gupta (Secretary) appeared on Schedule A of W•••••• A•••••••• L••Jan 27, 2022 · Control person joined · fact
- Elaine Shannon Hull (Chief Compliance Officer) no longer on Schedule A of W•••••• A•••••••• L•• (listed 2020-01-30, absent 2020-06-18)Jun 18, 2020 · Control person left · inference
- Walter James Cox (Chief Compliance Officer) appeared on Schedule A of W•••••• A•••••••• L••Jun 18, 2020 · Control person joined · fact
- W•••••• A•••••••• L•• reported RAUM $812.8M, up 38% from $587.0M (2019-12-17 to 2020-01-30)Jan 30, 2020 · RAUM change · derived
- Nicholas J••••• Dagostino (Managing Member, Chief Operating Officer) no longer on Schedule A of W•••••• A•••••••• L•• (listed 2019-12-17, absent 2020-01-30)Jan 30, 2020 · Control person left · inference
- Elaine Shannon Hull (Chief Compliance Officer) appeared on Schedule A of W•••••• A•••••••• L••Dec 17, 2019 · Control person joined · fact
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
- Business email
- info@westendadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 704-554-7759reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 704-556-9300reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-500-9025reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- W••••••ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 704-556-9300reportedpublic record, Form ADV, Jan 30, 2026
- Team page
- westendadvisors.com/our-teamreportedpublished 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $104Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026