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••••••••• C•••••• M••••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Mar 29, 2019 · 16 filings
SEC status approved since May 3, 2019
RAUM
$260M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
69%
$180M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$43.4M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$260M as of Mar 5, 2026
Mar 23, 2020$147M then
HNW client RAUM$128M as of Mar 5, 2026
Mar 23, 2020$36.0M then
State-registered IARs (5.B.3)7 as of Mar 5, 2026
Mar 23, 20204 then
Employees (5.A)9 as of Mar 5, 2026
Mar 23, 20207 then
Private funds4 as of Mar 5, 2026
Mar 23, 20204 then
RAUM +7.1% over the last fiscal year+11% a year over threeIARs 5 to 7
Practice profile
derived from the filing of Mar 5, 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $43.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $249,973derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.1%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $82.3M, 27 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
- High-net-worth individuals$128M49%
- Pooled investment vehicles$73.7M28%
- Individuals$52.5M20%
- Corporations and businesses$5.0M1.9%
- Insurance companies$1.1M0.4%
- Charitable organizations$144,3800.1%
- Individual clients
- 309reported
- HNW clients
- 127reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 1,042reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $82.3M for 27 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.69 fund_share=0.28 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• G••••• W••••••••• | Louisville, Ky | Aug 26, 2010 | 37 y | 0 |
| R•••••• J••• E•••• | Louisville, Ky | Nov 10, 2017 | 14 y | 0 |
| K••••• C•••••••• T••••••• | Louisville, Ky | Jul 1, 2021 | 11 y | 0 |
| P••••• T••••• H••••••• | Louisville, Ky | Oct 14, 2025 | 10 y | 1 |
| M••••• T••••• W••••••••• | Louisville, Ky | Dec 22, 2025 | 10 y | 1 |
| L••• D••••• L••• | Louisville, Ky | Aug 17, 2026 | 12 y | 1 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 17% of current headcount1 left over 36 months
Left, latest
- Z•••••• P•••••• W•••••• to L•• W••••• P•••••••• L••Apr 9, 2026 · RIA to RIA
- C•••••••• C•••• T•••••• to C••••••••• F•••••••• P•••••••• L••May 16, 2017 · Other
Joined, latest
- L••• D••••• L••• from T••••• A••••••• S•••••••• I•••Aug 17, 2026 · Affiliated broker-dealer or bank to independent RIA
- P••••• T••••• H••••••• from A•••••••• P••••••• L••Oct 14, 2025 · Other
- Z•••••• P•••••• W•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 6, 2025 · Wirehouse to independent RIA
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W••••••••• O••••••••• Z••• F•••• L• | Hedge Fund | $23.1M | 79 | Mar 29, 2019 |
| W••••••••• I••••• F•••• L••• | Hedge Fund | $16.7M | 37 | Mar 29, 2019 |
| W••••••••• T•••• R••••• F•••• L••• | Hedge Fund | $15.0M | 33 | Mar 29, 2019 |
| W••••••••• R••• E••••• F•••• L• | Hedge Fund | $12.8M | 70 | Mar 29, 2019 |
Owners and control persons
Schedule A and B, latest filing
- W••••••••• E•••• G••••• · Managing Membercontrolsince 07/2010 · owns 75% or more
- E••••• R••••••• J••• · Chief Financial Officersince 02/2023 · owns less than 5%
- T•••••••• K•••••• C•••••••• · Chief Compliance Officersince 11/2019 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Louisville, Ky · principal | 6 | 3 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 5, 2026financial planning (Item 5.G.1): no on the filing of 2025-03-20, yes on the filing of 2026-03-05peers: independent wealth managers, $100M to $500M (5,676)
- business activity changedChange between filings · filing Mar 5, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-03-20, yes on the filing of 2026-03-05peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 997 to 1,042Mar 20, 2025 to Mar 5, 2026
- Advisory employees · 4 to 5Mar 20, 2025 to Mar 5, 2026
- Advisory activities · 2 to 4Mar 20, 2025 to Mar 5, 2026
- Corporate clients · 21 to 19Mar 20, 2025 to Mar 5, 2026
- HNW clients · 103 to 127Mar 20, 2025 to Mar 5, 2026
- Individual clients · 308 to 309Mar 20, 2025 to Mar 5, 2026
- Assets in custody · $72.8M to $82.3MMar 20, 2025 to Mar 5, 2026
- Financial planning clients · to 1-10Mar 20, 2025 to Mar 5, 2026
- State-registered IARs · 5 to 7Mar 20, 2025 to Mar 5, 2026
- Discretionary RAUM · $243M to $260MMar 20, 2025 to Mar 5, 2026
- HNW RAUM · $107M to $128MMar 20, 2025 to Mar 5, 2026
- Individual RAUM · $53.6M to $52.5MMar 20, 2025 to Mar 5, 2026
- Pooled vehicle RAUM · $72.8M to $73.7MMar 20, 2025 to Mar 5, 2026
- RAUM · $243M to $260MMar 20, 2025 to Mar 5, 2026
- Accounts · 1,002 to 997Mar 29, 2024 to Mar 20, 2025
- Corporate clients · 14 to 21Mar 29, 2024 to Mar 20, 2025
- HNW clients · 75 to 103Mar 29, 2024 to Mar 20, 2025
- Individual clients · 316 to 308Mar 29, 2024 to Mar 20, 2025
- Assets in custody · $67.5M to $72.8MMar 29, 2024 to Mar 20, 2025
- Employees · 10 to 9Mar 29, 2024 to Mar 20, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 20, 2025
- Discretionary RAUM · $220M to $243MMar 29, 2024 to Mar 20, 2025
- HNW RAUM · $57.8M to $107MMar 29, 2024 to Mar 20, 2025
- Individual RAUM · $86.6M to $53.6MMar 29, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $67.5M to $72.8MMar 29, 2024 to Mar 20, 2025
- RAUM · $220M to $243MMar 29, 2024 to Mar 20, 2025
- Accounts · 951 to 1,002Feb 23, 2023 to Mar 29, 2024
- Corporate clients · 12 to 14Feb 23, 2023 to Mar 29, 2024
- HNW clients · 70 to 75Feb 23, 2023 to Mar 29, 2024
- Individual clients · 287 to 316Feb 23, 2023 to Mar 29, 2024
- Assets in custody · $64.6M to $67.5MFeb 23, 2023 to Mar 29, 2024
- State-registered IARs · 6 to 5Feb 23, 2023 to Mar 29, 2024
- Discretionary RAUM · $192M to $220MFeb 23, 2023 to Mar 29, 2024
- HNW RAUM · $42.2M to $57.8MFeb 23, 2023 to Mar 29, 2024
- Individual RAUM · $69.4M to $86.6MFeb 23, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $64.6M to $67.5MFeb 23, 2023 to Mar 29, 2024
- RAUM · $192M to $220MFeb 23, 2023 to Mar 29, 2024
- Accounts · 897 to 951Mar 29, 2022 to Feb 23, 2023
- Advisory employees · 5 to 4Mar 29, 2022 to Feb 23, 2023
- Corporate clients · 11 to 12Mar 29, 2022 to Feb 23, 2023
Signals
2 dated events
- Z•••••• P•••••• W•••••• left W••••••••• C•••••• M••••••••• L•• for L•• W••••• P•••••••• L•• (registered 2026-08-07)Apr 9, 2026 · Advisor changed firm · fact
- W••••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 29, 2019 · 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
- Firm profile
- linkedin.com/company/winebrenner-capital-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 502-671-0015reportedpublic record, Form ADV, Mar 5, 2026
- Contact form
- wcmria.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- wcmria.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $43.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026