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••• R•••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 24 filings
SEC status approved since Jan 15, 2009
RAUM
$329M
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
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
20
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$329M as of Mar 31, 2026
Mar 30, 2012$129M then
HNW client RAUM$0 as of Mar 31, 2026
Mar 26, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 1, 20137 then
Employees (5.A)8 as of Mar 31, 2026
Apr 1, 20138 then
Private funds20 as of Mar 31, 2026
Mar 30, 20122 then
RAUM +13% over the last fiscal year+4.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $12.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.3%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
- +13%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $305M, 20 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)
- 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$318M97%
- Charitable organizations$10.8M3.3%
- Corporations and businesses$2000.0%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 27reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $305M for 20 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.97 institutional_share=0.03 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
15 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W••• R•••• O••••••••• F•••• L•• | Private Equity Fund | $98.1M | 7 | May 16, 2013 |
| W••• R•••• M••••• F••• I• L•••no longer reported | Securitized Asset Fund | $84.4M | 52 | Mar 30, 2012 |
| W••• R•••• O••••••••• F••• I•• L•• | Other Private Fund | $52.1M | 8 | Mar 11, 2016 |
| W••• R•••• P•••••• F••• | Hedge Fund | $50.5M | 14 | Apr 1, 2013 |
| W••• R•••• M••••• F••• I•• L•••no longer reported | Hedge Fund | $36.7M | 29 | Mar 30, 2012 |
| A••••••• L•••• L•no longer reported | Hedge Fund | $15.2M | 6 | Apr 28, 2016 |
| W••• R•••• O••••••••• S•••••• L•• S••••• A• | Private Equity Fund | $10.0M | 7 | Mar 30, 2020 |
| W••• R•••• O••••••••• S•••••• L•• S••••• D• | Private Equity Fund | $10.0M | 7 | Mar 30, 2021 |
| W••• R•••• O••••••••• S•••••• L•• S••••• B• | Private Equity Fund | $7.1M | 7 | Mar 30, 2021 |
| W••• R•••• O••••••••• S•••••• L•• S••••• C• | Private Equity Fund | $5.7M | 6 | Mar 30, 2021 |
| W••• R•••• O••••••••• S••••• L•• • S••••• E• | Private Equity Fund | $2.9M | 6 | Mar 30, 2022 |
| W••• R•••• O••••••••• S•••••• L•• • S••••• I• | Private Equity Fund | $2.5M | 4 | Mar 26, 2024 |
| W••• R•••• O••••••••• S••••• L•• • S••••• H• | Private Equity Fund | $2.3M | 6 | Mar 28, 2023 |
| W••• R•••• O••••••••• S••••• L•• • S••••• F• | Private Equity Fund | $2.2M | 5 | Mar 30, 2022 |
| W••• R•••• O••••••••• S••••• L•• • S••••• G• | Private Equity Fund | $1.0M | 5 | Mar 28, 2023 |
Owners and control persons
Schedule A and B, latest filing
- D•••••• D••••••• B•••• · Member/Managing Directorcontrolsince 08/2008 · owns 25% to 50%
- G•••••• J••••• H•••• · Senior Vice Presidentcontrolsince 10/2008 · owns less than 5%
- H•••• R••••••• D•••• · Member/Managing Directorcontrolsince 08/2008 · owns 25% to 50%
- L••• B•••• G••• · Vice Presidentcontrolsince 10/2008 · owns less than 5%
- R•••••••• W••••••• R••••• · Vice Presidentcontrolsince 10/2008 · owns 5% to 10%
- S•••••• G•••• C••• · Chief Financial Officer / Chief Compliance Officercontrolsince 09/2008 · owns 10% to 25%
- W••••••• J••••• D••••• · Member/Managing Directorcontrolsince 08/2008 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list W••• R•••• C•••••• M••••••••• L•• as a related person
- 166925 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 23 to 27Mar 25, 2025 to Mar 31, 2026
- Pooled vehicle clients · 20 to 24Mar 25, 2025 to Mar 31, 2026
- Assets in custody · $269M to $305MMar 25, 2025 to Mar 31, 2026
- Private funds · 16 to 20Mar 25, 2025 to Mar 31, 2026
- Discretionary RAUM · $291M to $329MMar 25, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $281M to $318MMar 25, 2025 to Mar 31, 2026
- RAUM · $291M to $329MMar 25, 2025 to Mar 31, 2026
- Accounts · 19 to 23Mar 26, 2024 to Mar 25, 2025
- Pooled vehicle clients · 16 to 20Mar 26, 2024 to Mar 25, 2025
- Assets in custody · $244M to $269MMar 26, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 25, 2025
- Private funds · 12 to 16Mar 26, 2024 to Mar 25, 2025
- Discretionary RAUM · $266M to $291MMar 26, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $256M to $281MMar 26, 2024 to Mar 25, 2025
- RAUM · $266M to $291MMar 26, 2024 to Mar 25, 2025
- Accounts · 18 to 19Jan 9, 2024 to Mar 26, 2024
- Charity clients · 0 to 2Jan 9, 2024 to Mar 26, 2024
- Corporate clients · 0 to 1Jan 9, 2024 to Mar 26, 2024
- Pooled vehicle clients · 15 to 16Jan 9, 2024 to Mar 26, 2024
- Assets in custody · $263M to $244MJan 9, 2024 to Mar 26, 2024
- Private funds · 11 to 12Jan 9, 2024 to Mar 26, 2024
- Discretionary RAUM · $287M to $266MJan 9, 2024 to Mar 26, 2024
- Pooled vehicle RAUM · $276M to $256MJan 9, 2024 to Mar 26, 2024
- RAUM · $287M to $266MJan 9, 2024 to Mar 26, 2024
- Accounts · 16 to 18Mar 30, 2022 to Mar 28, 2023
- Pooled vehicle clients · 13 to 15Mar 30, 2022 to Mar 28, 2023
- Assets in custody · $261M to $263MMar 30, 2022 to Mar 28, 2023
- Private funds · 9 to 11Mar 30, 2022 to Mar 28, 2023
- Discretionary RAUM · $287M to $287MMar 30, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $275M to $276MMar 30, 2022 to Mar 28, 2023
- RAUM · $287M to $287MMar 30, 2022 to Mar 28, 2023
- Accounts · 15 to 16Mar 30, 2021 to Mar 30, 2022
- Pooled vehicle clients · 12 to 13Mar 30, 2021 to Mar 30, 2022
- Assets in custody · $230M to $261MMar 30, 2021 to Mar 30, 2022
- Private funds · 8 to 9Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $269M to $287MMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $259M to $275MMar 30, 2021 to Mar 30, 2022
- RAUM · $269M to $287MMar 30, 2021 to Mar 30, 2022
- Accounts · 9 to 15Mar 30, 2020 to Mar 30, 2021
- Charity clients · 2 to 0Mar 30, 2020 to Mar 30, 2021
Signals
1 dated events
- W••• R•••• C•••••• M••••••••• L•• reported RAUM $268.6M, up 78% from $150.6M (2020-03-30 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- W••• R•••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- W••• R•••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- W•••R••••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (901) 312-9653reportedpublic record, Form ADV, Mar 31, 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