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•••••••• C•••••• M••••••••• L••
Latest filing Feb 9, 2026
First filing on the tape Mar 30, 2012 · 38 filings
SEC status approved since Jun 14, 2013
RAUM
$787M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$667M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$112M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$787M as of Feb 9, 2026
Mar 30, 2012$67.8M then
HNW client RAUM$564M as of Feb 9, 2026
Feb 5, 2018$199M then
State-registered IARs (5.B.3)6 as of Feb 9, 2026
Mar 24, 20143 then
Employees (5.A)7 as of Feb 9, 2026
Mar 24, 20143 then
Private funds: 1
RAUM +12% over the last fiscal year+16% a year over threeIARs 7 to 6
Practice profile
derived from the filing of Feb 9, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $112MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $621,836derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.2%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $387M, 228 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$564M72%
- Individuals$103M13%
- Charitable organizations$74.3M9.4%
- Corporations and businesses$42.0M5.3%
- Pension and profit-sharing plans$3.5M0.5%
- Individual clients
- 258reported
- HNW clients
- 158reported
- Pension plan clients
- 5reported
- Charitable clients
- 7reported
- Accounts
- 1,265reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $387M for 228 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• M••• H•••Certified Financial Planner | Tulsa, Ok | Nov 4, 2013 | 12 y | 0 |
| I•••• E•••• H•••••••Certified Financial Planner | Tulsa, Ok | Jan 3, 2015 | 11 y | 0 |
| B•••••• J••• J•••••Certified Financial Planner, Chartered Financial Analyst | Tulsa, Ok | Aug 19, 2019 | 11 y | 0 |
| B•••• J•••• G••••Certified Financial Planner | Tulsa, Ok | Jul 14, 2021 | 10 y | 0 |
| J••••• M••••• J•••••••••Certified Financial Planner | Tulsa, Ok | Mar 12, 2022 | 10 y | 0 |
| M•••••• P•••• H•••• | Tulsa, Ok | Nov 25, 2024 | 11 y | 0 |
| N••• J•••• C•••••• | Tulsa, Ok | Aug 4, 2026 | 12 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
- D•••••• K•••• S•••• to T•• L••••• F•••••••• G••••• I•••Sep 23, 2014 · Other
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W••••••••• L••no longer reported | Other Private Fund | $115,143 | 9 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- W••••••••• T•••••• K••• · Managing Member/Founding Principalcontrolsince 07/2006 · owns 25% to 50%
- H•••• J•••••••• M••• · Presidentsince 09/2014 · owns 10% to 25%
- H•••••••• I••••• E•••• · Chief Compliance Officersince 10/2017 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Tulsa, Ok · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,226 to 1,265Oct 17, 2025 to Feb 9, 2026
- Advisory employees · 7 to 6Oct 17, 2025 to Feb 9, 2026
- Charity clients · 9 to 7Oct 17, 2025 to Feb 9, 2026
- Corporate clients · 8 to 9Oct 17, 2025 to Feb 9, 2026
- HNW clients · 160 to 158Oct 17, 2025 to Feb 9, 2026
- Individual clients · 261 to 258Oct 17, 2025 to Feb 9, 2026
- Assets in custody · $341M to $387MOct 17, 2025 to Feb 9, 2026
- State-registered IARs · 7 to 6Oct 17, 2025 to Feb 9, 2026
- Discretionary RAUM · $699M to $783MOct 17, 2025 to Feb 9, 2026
- HNW RAUM · $498M to $564MOct 17, 2025 to Feb 9, 2026
- Individual RAUM · $84.2M to $103MOct 17, 2025 to Feb 9, 2026
- Non-discretionary RAUM · $2.3M to $3.5MOct 17, 2025 to Feb 9, 2026
- Pension RAUM · $2.3M to $3.5MOct 17, 2025 to Feb 9, 2026
- RAUM · $701M to $787MOct 17, 2025 to Feb 9, 2026
- Accounts · 1,133 to 1,226Dec 5, 2024 to Feb 26, 2025
- Charity clients · 7 to 9Dec 5, 2024 to Feb 26, 2025
- Corporate clients · 7 to 8Dec 5, 2024 to Feb 26, 2025
- HNW clients · 133 to 160Dec 5, 2024 to Feb 26, 2025
- Individual clients · 273 to 261Dec 5, 2024 to Feb 26, 2025
- Pension plan clients · 4 to 5Dec 5, 2024 to Feb 26, 2025
- Assets in custody · $85.8M to $341MDec 5, 2024 to Feb 26, 2025
- Custody of client assets · false to trueDec 5, 2024 to Feb 26, 2025
- Financial planning clients · 251-500 to 251-500Dec 5, 2024 to Feb 26, 2025
- Discretionary RAUM · $581M to $699MDec 5, 2024 to Feb 26, 2025
- HNW RAUM · $408M to $498MDec 5, 2024 to Feb 26, 2025
- Individual RAUM · $69.8M to $84.2MDec 5, 2024 to Feb 26, 2025
- Non-discretionary RAUM · $1.3M to $2.3MDec 5, 2024 to Feb 26, 2025
- Pension RAUM · $1.3M to $2.3MDec 5, 2024 to Feb 26, 2025
- RAUM · $582M to $701MDec 5, 2024 to Feb 26, 2025
- Accounts · 1,103 to 1,133Dec 8, 2023 to Feb 29, 2024
- Advisory employees · 8 to 7Dec 8, 2023 to Feb 29, 2024
- Charity clients · 9 to 7Dec 8, 2023 to Feb 29, 2024
- Corporate clients · 6 to 7Dec 8, 2023 to Feb 29, 2024
- HNW clients · 134 to 133Dec 8, 2023 to Feb 29, 2024
- Individual clients · 262 to 273Dec 8, 2023 to Feb 29, 2024
- Pension plan clients · 3 to 4Dec 8, 2023 to Feb 29, 2024
- Assets in custody · $84.0M to $85.8MDec 8, 2023 to Feb 29, 2024
- Employees · 9 to 7Dec 8, 2023 to Feb 29, 2024
- State-registered IARs · 8 to 7Dec 8, 2023 to Feb 29, 2024
- Discretionary RAUM · $498M to $581MDec 8, 2023 to Feb 29, 2024
Signals
2 dated events
- W•••••••• C•••••• M••••••••• L•• reported RAUM $491.9M, up 26% from $391.7M (2021-05-11 to 2022-02-10)Feb 10, 2022 · RAUM change · derived
- W•••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 28, 2013 · First SEC registration · 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
- wcm@warburtoncapital.comreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••://WWW.W••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 918-794-3000reportedpublic record, Form ADV, Feb 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $112Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026