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•••••• S•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jun 24, 2016 · 15 filings
SEC status approved since Jul 12, 2016
RAUM
$575M
reported, Item 5.F
Discretionary
100%
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
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$575M as of Mar 30, 2026
Mar 30, 2017$134M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 30, 20170 then
Employees (5.A)8 as of Mar 30, 2026
Mar 30, 20177 then
Private funds2 as of Mar 30, 2026
Mar 30, 20172 then
RAUM +1.8% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- 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
- $192MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- +1.8%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $366M, 2 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$575M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $366M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•••••• S••••••• P•••••••• L••• | Hedge Fund | $299M | 84 | Jun 25, 2015 |
| W•••••• S••••••• P••••••• Q•• L••• | Hedge Fund | $89.9M | 18 | Jun 25, 2015 |
Owners and control persons
Schedule A and B, latest filing
- A•••••••• E•••• D•••• · Managing Membercontrolsince 06/2008 · owns 75% or more
- M••••• C••••••• L••••• · Chief Compliance Officercontrolsince 07/2024 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $465M to $366MMar 26, 2025 to Mar 30, 2026
- Employees · 7 to 8Mar 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $565M to $575MMar 26, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $565M to $575MMar 26, 2025 to Mar 30, 2026
- RAUM · $565M to $575MMar 26, 2025 to Mar 30, 2026
- Accounts · 2 to 3Jul 14, 2024 to Mar 26, 2025
- Advisory employees · 5 to 6Jul 14, 2024 to Mar 26, 2025
- Pooled vehicle clients · 2 to 3Jul 14, 2024 to Mar 26, 2025
- Assets in custody · $389M to $465MJul 14, 2024 to Mar 26, 2025
- Employees · 6 to 7Jul 14, 2024 to Mar 26, 2025
- Financial planning clients · unset to Jul 14, 2024 to Mar 26, 2025
- Discretionary RAUM · $389M to $565MJul 14, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $389M to $565MJul 14, 2024 to Mar 26, 2025
- RAUM · $389M to $565MJul 14, 2024 to Mar 26, 2025
- Advisory employees · 4 to 5Mar 21, 2024 to Mar 22, 2024
- Assets in custody · $413M to $389MMar 21, 2024 to Mar 22, 2024
- Employees · 4 to 6Mar 21, 2024 to Mar 22, 2024
- Discretionary RAUM · $383M to $389MMar 21, 2024 to Mar 22, 2024
- Pooled vehicle RAUM · $383M to $389MMar 21, 2024 to Mar 22, 2024
- RAUM · $383M to $389MMar 21, 2024 to Mar 22, 2024
- Discretionary RAUM · $413M to $383MMar 5, 2023 to Apr 26, 2023
- Pooled vehicle RAUM · $413M to $383MMar 5, 2023 to Apr 26, 2023
- RAUM · $413M to $383MMar 5, 2023 to Apr 26, 2023
- Assets in custody · $422M to $413MMar 22, 2022 to Mar 5, 2023
- Discretionary RAUM · $422M to $413MMar 22, 2022 to Mar 5, 2023
- Pooled vehicle RAUM · $422M to $413MMar 22, 2022 to Mar 5, 2023
- RAUM · $422M to $413MMar 22, 2022 to Mar 5, 2023
- Assets in custody · $251M to $422MMar 31, 2021 to Mar 22, 2022
- Employees · 5 to 4Mar 31, 2021 to Mar 22, 2022
- Discretionary RAUM · $251M to $422MMar 31, 2021 to Mar 22, 2022
- Pooled vehicle RAUM · $251M to $422MMar 31, 2021 to Mar 22, 2022
- RAUM · $251M to $422MMar 31, 2021 to Mar 22, 2022
- Advisory employees · 5 to 4Mar 23, 2020 to Mar 31, 2021
- Assets in custody · $342M to $251MMar 23, 2020 to Mar 31, 2021
- Employees · 6 to 5Mar 23, 2020 to Mar 31, 2021
- Discretionary RAUM · $342M to $251MMar 23, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $342M to $251MMar 23, 2020 to Mar 31, 2021
- RAUM · $342M to $251MMar 23, 2020 to Mar 31, 2021
- Assets in custody · $247M to $342MMar 22, 2019 to Mar 23, 2020
- Discretionary RAUM · $247M to $342MMar 22, 2019 to Mar 23, 2020
Signals
4 dated events
- W•••••• S•••••••• L•• reported RAUM $564.9M, up 45% from $389.0M (2024-07-14 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- Louise Cynthia Mills (Chief Compliance Officer) appeared on Schedule A of W•••••• S•••••••• L••Jul 14, 2024 · Control person joined · fact
- W•••••• S•••••••• L•• reported RAUM $422.4M, up 69% from $250.5M (2021-03-31 to 2022-03-22)Mar 22, 2022 · RAUM change · derived
- W•••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Jun 24, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- W•••••• S•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-929-4300reportedpublic record, Form ADV, Mar 30, 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
- Asset manager (funds and pooled vehicles)deriveda 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