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.
Former SEC-registered adviser
W•• T••• A••••••• S•••••••
Legal name W•• T••• I•••••••• S•••••••• I•••
Latest filing Apr 30, 2025
First filing on the tape Dec 13, 2011 · 21 filings
SEC status approved since Apr 23, 2008
RAUM
$56.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$56.0M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$18.9M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$56.6M as of Apr 30, 2025
Mar 7, 2012$100M then
HNW client RAUM$45.8M as of Apr 30, 2025
Apr 18, 2018$19.6M then
State-registered IARs (5.B.3)3 as of Apr 30, 2025
Mar 7, 20120 then
Employees (5.A)3 as of Apr 30, 2025
Mar 6, 20131 then
Private funds: no history
RAUM -52% over the last fiscal year-23% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 30, 2025; every figure names its basis
- RAUM per advisor
- $18.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $975,285derivedHNW RAUM over HNW clients
- Average account
- $365,434derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -52%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -69%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$45.8M81%
- Individuals$10.1M18%
- Charitable organizations$658,9191.2%
- Individual clients
- 51reported
- HNW clients
- 47reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 155reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- B•••• R••••• B••••••• from N•••••• W••••• A•••••••• I•••Sep 9, 2009 · Other
- J••• C••••• M••••••• from F•••• A••••• S••••••••• I•••Sep 9, 2009 · Other
- D•••• W•••••• C•••• from S•• I••••••••• I•••Apr 25, 2001 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• D••••• W•••••• · Chief Compliance Officercontrolsince 01/1999 · 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 |
|---|---|---|---|---|---|
| Irvine, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 166 to 155Feb 20, 2025 to Apr 30, 2025
- HNW clients · 43 to 47Feb 20, 2025 to Apr 30, 2025
- Individual clients · 55 to 51Feb 20, 2025 to Apr 30, 2025
- Discretionary RAUM · $56.5M to $56.6MFeb 20, 2025 to Apr 30, 2025
- HNW RAUM · $45.3M to $45.8MFeb 20, 2025 to Apr 30, 2025
- Individual RAUM · $10.6M to $10.1MFeb 20, 2025 to Apr 30, 2025
- RAUM · $56.5M to $56.6MFeb 20, 2025 to Apr 30, 2025
- Accounts · 329 to 166Feb 27, 2024 to Feb 20, 2025
- Advisory activities · 3 to 2Feb 27, 2024 to Feb 20, 2025
- Charity clients · unset to 1.0Feb 27, 2024 to Feb 20, 2025
- HNW clients · 58 to 43Feb 27, 2024 to Feb 20, 2025
- Individual clients · 271 to 55Feb 27, 2024 to Feb 20, 2025
- Discretionary RAUM · $51.6M to $56.5MFeb 27, 2024 to Feb 20, 2025
- HNW RAUM · $121M to $45.3MFeb 27, 2024 to Feb 20, 2025
- Individual RAUM · $22.2M to $10.6MFeb 27, 2024 to Feb 20, 2025
- Non-discretionary RAUM · $91.4M to $0Feb 27, 2024 to Feb 20, 2025
- RAUM · $143M to $56.5MFeb 27, 2024 to Feb 20, 2025
- Related adviser · true to falseFeb 27, 2024 to Feb 20, 2025
- Wrap assets (manager) · 0.0 to unsetFeb 27, 2024 to Feb 20, 2025
- Wrap assets (sponsor) · 51644028.0 to unsetFeb 27, 2024 to Feb 20, 2025
- Accounts · 320 to 329Mar 31, 2023 to Feb 27, 2024
- HNW clients · 63 to 58Mar 31, 2023 to Feb 27, 2024
- Individual clients · 257 to 271Mar 31, 2023 to Feb 27, 2024
- Discretionary RAUM · $40.2M to $51.6MMar 31, 2023 to Feb 27, 2024
- HNW RAUM · $98.1M to $121MMar 31, 2023 to Feb 27, 2024
- Individual RAUM · $19.0M to $22.2MMar 31, 2023 to Feb 27, 2024
- Non-discretionary RAUM · $76.8M to $91.4MMar 31, 2023 to Feb 27, 2024
- RAUM · $117M to $143MMar 31, 2023 to Feb 27, 2024
- Wrap assets (sponsor) · $40.2M to $51.6MMar 31, 2023 to Feb 27, 2024
- Accounts · 294 to 320Mar 16, 2022 to Mar 29, 2023
- HNW clients · 61 to 63Mar 16, 2022 to Mar 29, 2023
- Individual clients · 233 to 257Mar 16, 2022 to Mar 29, 2023
- Discretionary RAUM · $40.3M to $40.2MMar 16, 2022 to Mar 29, 2023
- HNW RAUM · $122M to $98.1MMar 16, 2022 to Mar 29, 2023
- Individual RAUM · $20.1M to $19.0MMar 16, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $102M to $76.8MMar 16, 2022 to Mar 29, 2023
- RAUM · $142M to $117MMar 16, 2022 to Mar 29, 2023
- Wrap assets (sponsor) · $40.3M to $40.2MMar 16, 2022 to Mar 29, 2023
- Accounts · 273 to 294Mar 4, 2021 to Mar 16, 2022
- HNW clients · 65 to 61Mar 4, 2021 to Mar 16, 2022
Signals
1 dated events
- W•• T••• A••••••• S••••••• no longer on the SEC adviser roster (last listed 2025-06-02, RAUM $56.6M)Jul 1, 2025 · Left the SEC roster · 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
- H•••••••••reportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $18.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026