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•• A•••• M••••••••• L••

Former SEC-registered adviserPonte Vedra Beach, FloridaCRD 156424SEC 801-72409IAPD
Latest filing May 9, 2022
First filing on the tape Jun 25, 2012 · 21 filings
RAUM
$299M
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
9
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
$97.3M gross assets
History
21 filings and snapshots on the tape
RAUM$299M as of Mar 31, 2022
Jun 25, 2012$370M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Apr 1, 20130 then
Employees (5.A)9 as of Mar 31, 2022
Apr 1, 201320 then
Private funds4 as of Mar 31, 2022
Jun 25, 20125 then
RAUM +14% over the last fiscal year+23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 9, 2022; 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
$33.2MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+14%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
yesreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$97.3M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, performancereported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      12 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      W•• C•••••• P••••••• F•••• L••Real Estate Fund$42.8M8Mar 29, 2019
      W•• L• F••• L•••Real Estate Fund$33.5M6Mar 30, 2020
      W•• C••••••••• O••••••• F••• • I• L•••no longer reportedHedge Fund$25.1M5Apr 4, 2014
      W•• R••• E••••• C••••• F••• L•Hedge Fund$17.8M58Jun 25, 2012
      W•• O••••••• S••••••••• I••••••••• • I• L••no longer reportedHedge Fund$17.7M2Jun 25, 2012
      S•• S••••• O••••••• I• L•no longer reportedHedge Fund$7.8M4Apr 4, 2014
      W•• S••••• O••••••• L•••no longer reportedHedge Fund$7.5M4Jun 25, 2012
      W•• U•••• O•••••••• L•Hedge Fund$3.1M20Jun 25, 2012
      W•• L••••• R••• E••••• F•••• L•no longer reportedHedge Fund$2.7M8Mar 31, 2015
      W•• C••• C••••••••• F••• I• L••no longer reportedHedge Fund$1.4M8Jun 25, 2012
      W•• S••••••••• P••••••• F•••• L•no longer reportedHedge Fund$704,6478Apr 1, 2013
      W•• F•••• L••• I••••••••• F•••••• L••no longer reportedHedge Fund$116,0692Apr 4, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• D•••••• E••••• · Chief Legal Officer, Managing Director, Chief Compliance Officer And Secretarycontrol
        since 02/2008 · owns less than 5%
      • D••••••••• W••••••• M•••••• · Chief Investment Officer/Chief Executive Officercontrol
        since 02/2008 · owns less than 5%
      • D••••••••• W••••••• M•••••• · Managing Membercontrol
        since 04/1998 · owns 75% or more of W• D•••••••• • C••••••• L••
      Entity owners
      • W•• I••••••••• L•• · Sole Member
        direct · owns 75% or more
      • W• D•••••••• • C••••••• L•• · Member
        indirect · owns 75% or more of W•• I••••••••• L••
      Related persons
      Schedule D 7.A
      • D•••••••• S•••• I••••••••• L••
        n
      • G• R•••• L••
        pooled vehicle sponsorn
      • G• U•••• O•••••••• L••
        pooled vehicle sponsorn
      • W•• L• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Denver, CO2 employees
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $261M to $299M
        May 17, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $86.3M to $97.3M
        May 17, 2021 to Mar 31, 2022
      • RAUM · $261M to $299M
        May 17, 2021 to Mar 31, 2022
      • Accounts · 7 to 9
        Aug 13, 2020 to Mar 31, 2021
      • Discretionary RAUM · $220M to $261M
        Aug 13, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $96.5M to $86.3M
        Aug 13, 2020 to Mar 31, 2021
      • RAUM · $220M to $261M
        Aug 13, 2020 to Mar 31, 2021
      • Accounts · 6 to 7
        Dec 3, 2019 to Mar 30, 2020
      • Advisory employees · 6 to 8
        Dec 3, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 3 to 4
        Dec 3, 2019 to Mar 30, 2020
      • Private funds · 3 to 4
        Dec 3, 2019 to Mar 30, 2020
      • Discretionary RAUM · $160M to $220M
        Dec 3, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $70.2M to $96.5M
        Dec 3, 2019 to Mar 30, 2020
      • RAUM · $160M to $220M
        Dec 3, 2019 to Mar 30, 2020
      • Accounts · 9 to 6
        Sep 10, 2018 to Mar 29, 2019
      • Advisory employees · 8 to 6
        Sep 10, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 6 to 3
        Sep 10, 2018 to Mar 29, 2019
      • Employees · 11 to 9
        Sep 10, 2018 to Mar 29, 2019
      • Private funds · 6 to 3
        Sep 10, 2018 to Mar 29, 2019
      • Discretionary RAUM · $153M to $160M
        Sep 10, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $99.9M to $70.2M
        Sep 10, 2018 to Mar 29, 2019
      • RAUM · $153M to $160M
        Sep 10, 2018 to Mar 29, 2019
      • Related bank · true to false
        Sep 10, 2018 to Mar 29, 2019
      • Accounts · 10 to 9
        Mar 31, 2017 to Mar 30, 2018
      • Advisory employees · 16 to 8
        Mar 31, 2017 to Mar 30, 2018
      • Advisory activities · 1 to 2
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 6.0
        Mar 31, 2017 to Mar 30, 2018
      • Assets in custody · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Custody of client assets · false to true
        Mar 31, 2017 to Mar 30, 2018
      • Employees · 23 to 11
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Mar 30, 2018
      • Private funds · 7 to 6
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $225M to $153M
        Mar 31, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $3.0M to $0
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 99854195.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $228M to $153M
        Mar 31, 2017 to Mar 30, 2018
      • Accounts · 11 to 10
        Jun 22, 2016 to Mar 31, 2017
      • Advisory employees · 18 to 16
        Jun 22, 2016 to Mar 31, 2017
      • Employees · 25 to 23
        Jun 22, 2016 to Mar 31, 2017
      • Private funds · 8 to 7
        Jun 22, 2016 to Mar 31, 2017
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026
      Across the graphs

      W•• A•••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

      Checking your plan…