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

U••• I••••••••• M•••••••••

Former SEC-registered adviserReno, NevadaCRD 157472SEC 801-79402IAPD
Legal name W• I••••••••• L••
Latest filing Oct 31, 2019
First filing on the tape Mar 14, 2014 · 8 filings
RAUM
$30.8M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
$30.8M gross assets
History
8 filings and snapshots on the tape
RAUM$41.8M as of Mar 21, 2019
Mar 31, 2014$111M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 21, 2019
Mar 31, 20142 then
Employees (5.A)4 as of Mar 21, 2019
Mar 31, 20149 then
Private funds8 as of Mar 21, 2019
Mar 31, 20145 then
RAUM -68% over the last fiscal year-31% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Oct 31, 2019; every figure names its basis
RAUM per advisor
$15.4MderivedRAUM 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
$3.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-57%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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
$30.8M, 8 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
  • 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)
  • 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$30.8M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$30.8M for 8 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
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      U••••• S••••• D••• R••••••• X•••• L•••no longer reportedPrivate Equity Fund$15.0M80Mar 26, 2018
      U••••• S••••• D••• R••••••• X•• L•••Private Equity Fund$8.8M93Mar 30, 2015
      U••••• S••••• D••• R••••••• X•••• L•••Private Equity Fund$8.0M52Mar 16, 2017
      U••••• S••••• D••• R••••••• X••• L•••Private Equity Fund$5.7M58Mar 31, 2016
      U••••• S••••• D••• R••••••• X••• L•••Private Equity Fund$4.1M83Mar 14, 2014
      U••••• S••••• D••• R••••••• X••• L•••Private Equity Fund$3.4M79Mar 14, 2014
      U••••• S••••• D••• R••••••• X• L•Private Equity Fund$361,85460Mar 14, 2014
      U••••• S••••• D••• R••••••• V•••• L•Private Equity Fund$332,31860Mar 14, 2014
      U••••• S••••• D••• R••••••• X•• L•••Private Equity Fund$98,59350Mar 14, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • J••••• N•••••• E•••• · Ceo, Cio & Managercontrol
        since 08/2008 · owns 25% to 50%
      • M••••••• W••••• J••• V••••• · Cfo, Chief Compliance Officer & Managercontrol
        since 08/2008 · owns 10% to 25%
      • W••••••• A••••••••• G• · Membercontrol
        since 07/2008 · owns 25% to 50% of B•• R••••• L••
      • W••••••• J••••• P••••• · Membercontrol
        since 01/2015 · owns 25% to 50% of B•• R••••• L••
      • W••••••• M••••••• A• · Managing Membercontrol
        since 07/2008 · owns 25% to 50% of B•• R••••• L••
      Entity owners
      • B•• R••••• L•• · Member
        direct · owns 25% to 50%
      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
      • Advisory employees · 3 to 2
        Mar 21, 2019 to Oct 31, 2019
      • Assets in custody · $41.8M to $30.8M
        Mar 21, 2019 to Oct 31, 2019
      • Employees · 4 to 3
        Mar 21, 2019 to Oct 31, 2019
      • Discretionary RAUM · $41.8M to $30.8M
        Mar 21, 2019 to Oct 31, 2019
      • Pooled vehicle RAUM · $41.8M to $30.8M
        Mar 21, 2019 to Oct 31, 2019
      • RAUM · $41.8M to $30.8M
        Mar 21, 2019 to Oct 31, 2019
      • Accounts · 9 to 8
        Mar 26, 2018 to Mar 21, 2019
      • Pooled vehicle clients · 9 to 8
        Mar 26, 2018 to Mar 21, 2019
      • Assets in custody · $81.4M to $41.8M
        Mar 26, 2018 to Mar 21, 2019
      • Employees · 5 to 4
        Mar 26, 2018 to Mar 21, 2019
      • Private funds · 9 to 8
        Mar 26, 2018 to Mar 21, 2019
      • Discretionary RAUM · $96.4M to $41.8M
        Mar 26, 2018 to Mar 21, 2019
      • Pooled vehicle RAUM · $96.4M to $41.8M
        Mar 26, 2018 to Mar 21, 2019
      • RAUM · $96.4M to $41.8M
        Mar 26, 2018 to Mar 21, 2019
      • Accounts · 8 to 9
        Mar 16, 2017 to Mar 26, 2018
      • Advisory employees · 4 to 3
        Mar 16, 2017 to Mar 26, 2018
      • Pooled vehicle clients · unset to 9.0
        Mar 16, 2017 to Mar 26, 2018
      • Assets in custody · $104M to $81.4M
        Mar 16, 2017 to Mar 26, 2018
      • Employees · 8 to 5
        Mar 16, 2017 to Mar 26, 2018
      • Other offices · unset to 0.0
        Mar 16, 2017 to Mar 26, 2018
      • Private funds · 8 to 9
        Mar 16, 2017 to Mar 26, 2018
      • Discretionary RAUM · $104M to $96.4M
        Mar 16, 2017 to Mar 26, 2018
      • Pooled vehicle RAUM · unset to 96379928.0
        Mar 16, 2017 to Mar 26, 2018
      • RAUM · $104M to $96.4M
        Mar 16, 2017 to Mar 26, 2018
      • Accounts · 7 to 8
        Mar 31, 2016 to Mar 16, 2017
      • Assets in custody · $95.4M to $104M
        Mar 31, 2016 to Mar 16, 2017
      • Private funds · 7 to 8
        Mar 31, 2016 to Mar 16, 2017
      • Discretionary RAUM · $95.3M to $104M
        Mar 31, 2016 to Mar 16, 2017
      • RAUM · $95.3M to $104M
        Mar 31, 2016 to Mar 16, 2017
      • Accounts · 6 to 7
        Mar 30, 2015 to Mar 31, 2016
      • Assets in custody · $110M to $95.4M
        Mar 30, 2015 to Mar 31, 2016
      • Employees · 9 to 8
        Mar 30, 2015 to Mar 31, 2016
      • Private funds · 6 to 7
        Mar 30, 2015 to Mar 31, 2016
      • Discretionary RAUM · $110M to $95.3M
        Mar 30, 2015 to Mar 31, 2016
      • RAUM · $110M to $95.3M
        Mar 30, 2015 to Mar 31, 2016
      • Accounts · 5 to 6
        Mar 31, 2014 to Mar 30, 2015
      • Assets in custody · $111M to $110M
        Mar 31, 2014 to Mar 30, 2015
      • Private funds · 5 to 6
        Mar 31, 2014 to Mar 30, 2015
      • Discretionary RAUM · $111M to $110M
        Mar 31, 2014 to Mar 30, 2015
      • RAUM · $111M to $110M
        Mar 31, 2014 to Mar 30, 2015
      Signals
      1 dated events
      • U••• I••••••••• M••••••••• filed its initial SEC registration (Form ADV)
        Mar 14, 2014 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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