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••• B••••• C•••••• L••
Latest filing Feb 13, 2026
First filing on the tape Feb 29, 2012 · 41 filings
SEC status approved since Jul 24, 2013
RAUM
$690M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$677M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$173M
derived; firm RAUM over IAPD count
Employees
9
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$690M as of Feb 13, 2026
Feb 29, 2012$59.9M then
HNW client RAUM$594M as of Feb 13, 2026
Mar 21, 2018$269M then
State-registered IARs (5.B.3)3 as of Feb 13, 2026
Feb 29, 20120 then
Employees (5.A)9 as of Feb 13, 2026
Mar 20, 20147 then
Private funds: no history
RAUM +9.4% over the last fiscal year+17% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Feb 13, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $173MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 93derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $549,873derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.3%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$594M86%
- Individuals$83.7M12%
- Pension and profit-sharing plans$5.1M0.7%
- Charitable organizations$4.4M0.6%
- Corporations and businesses$3.4M0.5%
- Individual clients
- 201reported
- HNW clients
- 171reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,255reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• M••••• | Amherst, Ma | Jan 31, 2005 | 43 y | 0 |
| J•••• K•• H•Chartered Financial Analyst | Hingham, Ma | May 27, 2009 | 23 y | 1 |
| A••• E•••••••• C••••••••• | Amherst, Ma | Nov 29, 2016 | 25 y | 3 |
| I•• L• M••••• | Amherst, Ma | May 17, 2024 | 14 y | 0 |
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
- A••• E•••••••• C••••••••• from D•••• F•••••••• S•••••••• L••Nov 29, 2016 · Other
- J•••• K•• H• from L••••• F•••••••• S•••••••• I•••May 27, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• A••• · Managing Member, Founder & Ceocontrolsince 12/2004 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Amherst, Ma · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Hingham, MA1 employees
- Hyannis, MA1 employees
- Williamsville, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 1,217 to 1,255Feb 13, 2025 to Feb 13, 2026
- Advisory employees · 4 to 3Feb 13, 2025 to Feb 13, 2026
- HNW clients · 209 to 171Feb 13, 2025 to Feb 13, 2026
- Individual clients · 162 to 201Feb 13, 2025 to Feb 13, 2026
- State-registered IARs · 4 to 3Feb 13, 2025 to Feb 13, 2026
- Discretionary RAUM · $602M to $680MFeb 13, 2025 to Feb 13, 2026
- HNW RAUM · $525M to $594MFeb 13, 2025 to Feb 13, 2026
- Individual RAUM · $80.2M to $83.7MFeb 13, 2025 to Feb 13, 2026
- Non-discretionary RAUM · $28.9M to $10.6MFeb 13, 2025 to Feb 13, 2026
- Pension RAUM · $19.6M to $5.1MFeb 13, 2025 to Feb 13, 2026
- RAUM · $631M to $690MFeb 13, 2025 to Feb 13, 2026
- Accounts · 1,238 to 1,217Nov 8, 2024 to Feb 13, 2025
- Advisory employees · 6 to 4Nov 8, 2024 to Feb 13, 2025
- HNW clients · 140 to 209Nov 8, 2024 to Feb 13, 2025
- Individual clients · 235 to 162Nov 8, 2024 to Feb 13, 2025
- Employees · 11 to 9Nov 8, 2024 to Feb 13, 2025
- Financial planning clients · 1-10 to 1-10Nov 8, 2024 to Feb 13, 2025
- State-registered IARs · 5 to 4Nov 8, 2024 to Feb 13, 2025
- Discretionary RAUM · $493M to $602MNov 8, 2024 to Feb 13, 2025
- HNW RAUM · $409M to $525MNov 8, 2024 to Feb 13, 2025
- Individual RAUM · $84.5M to $80.2MNov 8, 2024 to Feb 13, 2025
- Non-discretionary RAUM · $23.2M to $28.9MNov 8, 2024 to Feb 13, 2025
- Pension RAUM · $17.6M to $19.6MNov 8, 2024 to Feb 13, 2025
- RAUM · $516M to $631MNov 8, 2024 to Feb 13, 2025
- Accounts · 1,189 to 1,238May 16, 2023 to Feb 18, 2024
- Advisory employees · 5 to 6May 16, 2023 to Feb 18, 2024
- HNW clients · 127 to 140May 16, 2023 to Feb 18, 2024
- Individual clients · 248 to 235May 16, 2023 to Feb 18, 2024
- Employees · 10 to 11May 16, 2023 to Feb 18, 2024
- Discretionary RAUM · $415M to $493MMay 16, 2023 to Feb 18, 2024
- HNW RAUM · $324M to $409MMay 16, 2023 to Feb 18, 2024
- Individual RAUM · $92.8M to $84.5MMay 16, 2023 to Feb 18, 2024
- Non-discretionary RAUM · $20.7M to $23.2MMay 16, 2023 to Feb 18, 2024
- Pension RAUM · $14.9M to $17.6MMay 16, 2023 to Feb 18, 2024
- RAUM · $436M to $516MMay 16, 2023 to Feb 18, 2024
- Accounts · 1,663 to 1,189Oct 11, 2022 to Mar 13, 2023
- HNW clients · 152 to 127Oct 11, 2022 to Mar 13, 2023
- Individual clients · 227 to 248Oct 11, 2022 to Mar 13, 2023
- Discretionary RAUM · $493M to $415MOct 11, 2022 to Mar 13, 2023
- HNW RAUM · $409M to $324MOct 11, 2022 to Mar 13, 2023
Signals
2 dated events
- W••• B••••• C•••••• L•• filed its initial SEC registration (Form ADV)Jul 5, 2013 · First SEC registration · fact
- W••• B••••• C•••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 5, 2013 · Succession (Item 4) · 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@westbranchcapital.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 413-256-1225reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 833-888-0534reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- W•••B•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 833-888-0534; 413-256-1225reportedpublic record, Form ADV, Feb 13, 2026
- Contact form
- westbranchcapital.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $173Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026