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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Former SEC-registered adviser

W••••••••• A•••••••

Former SEC-registered adviserNew York, New YorkCRD 158380SEC 801-72914IAPD
Legal name L•••• W••••• A•••••••• L••
Latest filing May 27, 2022
First filing on the tape Nov 18, 2011 · 25 filings
RAUM
$2.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$2.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
30
20 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$2.1B as of Jan 25, 2022
Apr 2, 2012$72.0M then
HNW client RAUM$2.1B as of Jan 25, 2022
Mar 30, 2018$1.1B then
State-registered IARs (5.B.3)0 as of Jan 25, 2022
Feb 23, 20133 then
Employees (5.A)30 as of Jan 25, 2022
Feb 23, 20135 then
Private funds: no history
RAUM +19% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 27, 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
$747,798derivedHNW RAUM over HNW clients
Average account
$741,525derivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+9.0%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
Custody
$832M, 1,610 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$2.1B99%
  • Corporations and businesses$22.3M1.1%
  • Individuals$2.6M0.1%
  • Pension and profit-sharing plans$551,2220.0%
Individual clients
40reported
HNW clients
2,793reported
Pension plan clients
2reported
Charitable clients
n/areported
Accounts
2,851reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$832M for 1,610 clientsreported
Compensation
% of AUM, fixedreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M••• V•••••••• E• C••• · Directorcontrol
    since 07/2017 · owns less than 5%
  • M•••••••• M••••••• J••••• · Chief Investment Officercontrol
    since 05/2022 · owns less than 5%
  • O•••••••• E•••••• G••••• · Directorcontrol
    since 02/2015 · owns less than 5%
  • R••••••••• G••••••• K•••• · Chief Compliance Officer/Chief Operating Officercontrol
    since 01/2013 · owns less than 5%
  • S••••••••• B••••• R••••• · Directorcontrol
    since 11/2011 · owns less than 5%
  • V•• B••••••••• R•••• P••••• · Chief Executive Officercontrol
    since 08/2018 · owns less than 5%
  • L•••••• L•••• M•••••• · Vice President
    since 06/2011 · owns less than 5%
Entity owners
  • L•• H••••••• L•• · Shareholder
    direct · owns 75% or more
  • M•••••• D••••••• P••••••• · General Partner
    indirect · owns F of P•••••• S•• G•• L•••
  • N•• C••• · Owner
    indirect · owns 50% to 75% of L•• H••••••• L••
  • N•• H•••••••• L•• · Owner
    indirect · owns 75% or more of N•• P••••• C•• L••
  • N•• I••••••••• H••••••• A• C•••• · Owner
    indirect · owns 75% or more of N•• I••••••••• H••••••• B• C••••
  • N•• I••••••••• H••••••• B• C•••• · Owner
    indirect · owns 75% or more of N•• C•••
  • N•• P••••• C•• L•• · Owner
    indirect · owns 75% or more of N•• I••••••••• H••••••• A• C••••
  • N•• U••••••• H•••••••• L•• · Owner
    indirect · owns 75% or more of N•• H•••••••• L••
  • P•••••• S•• G•• L••• · General Partner
    indirect · owns F of P•••••• S••• L•••
  • P•••••• S••• L••• · Owner
    indirect · owns 25% to 50% of N•• U••••••• H•••••••• L••
Related persons
Schedule D 7.A
Advisers that list W••••••••• A••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
  • Chicago, IL2 employees
  • San Francisco, CA2 employees
What changed
consecutive filings, newest first
  • Accounts · 2,619 to 2,851
    Jul 23, 2021 to Jan 25, 2022
  • Corporate clients · 19 to 18
    Jul 23, 2021 to Jan 25, 2022
  • HNW clients · 2,555 to 2,793
    Jul 23, 2021 to Jan 25, 2022
  • Individual clients · 44 to 40
    Jul 23, 2021 to Jan 25, 2022
  • Pension plan clients · 1 to 2
    Jul 23, 2021 to Jan 25, 2022
  • Assets in custody · $722M to $832M
    Jul 23, 2021 to Jan 25, 2022
  • Discretionary RAUM · $1.8B to $2.1B
    Jul 23, 2021 to Jan 25, 2022
  • HNW RAUM · $1.7B to $2.1B
    Jul 23, 2021 to Jan 25, 2022
  • Individual RAUM · $3.6M to $2.6M
    Jul 23, 2021 to Jan 25, 2022
  • Pension RAUM · $745,595 to $551,222
    Jul 23, 2021 to Jan 25, 2022
  • RAUM · $1.8B to $2.1B
    Jul 23, 2021 to Jan 25, 2022
  • Business name · L•••• W••••• A•••••••• L•• to W••••••••• A•••••••
    Jan 25, 2022 to Jan 25, 2022
  • Accounts · 2,353 to 2,619
    Jun 30, 2020 to Mar 31, 2021
  • Corporate clients · 16 to 19
    Jun 30, 2020 to Mar 31, 2021
  • HNW clients · 2,301 to 2,555
    Jun 30, 2020 to Mar 31, 2021
  • Individual clients · 36 to 44
    Jun 30, 2020 to Mar 31, 2021
  • Pension plan clients · unset to 1.0
    Jun 30, 2020 to Mar 31, 2021
  • Assets in custody · $655M to $722M
    Jun 30, 2020 to Mar 31, 2021
  • Discretionary RAUM · $1.6B to $1.8B
    Jun 30, 2020 to Mar 31, 2021
  • HNW RAUM · $1.6B to $1.7B
    Jun 30, 2020 to Mar 31, 2021
  • Individual RAUM · $3.9M to $3.6M
    Jun 30, 2020 to Mar 31, 2021
  • Pension RAUM · unset to 745595.0
    Jun 30, 2020 to Mar 31, 2021
  • RAUM · $1.6B to $1.8B
    Jun 30, 2020 to Mar 31, 2021
  • Accounts · 2,026 to 2,353
    Mar 29, 2019 to Mar 31, 2020
  • Advisory activities · 3 to 4
    Mar 29, 2019 to Mar 31, 2020
  • Corporate clients · 11 to 16
    Mar 29, 2019 to Mar 31, 2020
  • HNW clients · 1,981 to 2,301
    Mar 29, 2019 to Mar 31, 2020
  • Individual clients · 34 to 36
    Mar 29, 2019 to Mar 31, 2020
  • Assets in custody · $709M to $655M
    Mar 29, 2019 to Mar 31, 2020
  • Other offices · 3 to 2
    Mar 29, 2019 to Mar 31, 2020
  • Discretionary RAUM · $1.3B to $1.6B
    Mar 29, 2019 to Mar 31, 2020
  • HNW RAUM · $1.3B to $1.6B
    Mar 29, 2019 to Mar 31, 2020
  • Individual RAUM · $2.8M to $3.9M
    Mar 29, 2019 to Mar 31, 2020
  • RAUM · $1.3B to $1.6B
    Mar 29, 2019 to Mar 31, 2020
  • Accounts · 1,493 to 2,026
    May 2, 2018 to Mar 29, 2019
  • Advisory employees · 6 to 20
    May 2, 2018 to Mar 29, 2019
  • Corporate clients · 8 to 11
    May 2, 2018 to Mar 29, 2019
  • HNW clients · 1,464 to 1,981
    May 2, 2018 to Mar 29, 2019
  • Individual clients · 21 to 34
    May 2, 2018 to Mar 29, 2019
  • Assets in custody · $497M to $709M
    May 2, 2018 to Mar 29, 2019
Signals
12 dated events
  • W••••••••• A•••••••'s advisors moved to W••••••••• A••••••• (New York, NY): 9 of 9 registered, on the same day
    Jul 5, 2022 · Firm absorbed (people side) · derived
  • M•••••• R•••• K•••• left W••••••••• A••••••• for J••• M••••• S••••••••• L•• (registered 2022-05-27)
    May 27, 2022 · Advisor changed firm · fact
  • D•••• M•••••• C••••• left W••••••••• A••••••• for J••• M••••• S••••••••• L•• (registered 2022-05-31)
    May 27, 2022 · Advisor changed firm · fact
  • M••••• B•••••• left W••••••••• A••••••• for J••• M••••• S••••••••• L•• (registered 2022-05-31)
    May 27, 2022 · Advisor changed firm · fact
  • M D•••• C••••• (Chief Investment Officer) no longer on Schedule A of W••••••••• A••••••• (listed 2022-01-25, absent 2022-05-27)
    May 27, 2022 · Control person left · inference
  • Joseph M•••••• Moriarty (Chief Investment Officer) appeared on Schedule A of W••••••••• A•••••••
    May 27, 2022 · Control person joined · fact
  • 3 advisors left W••••••••• A••••••• (New York, NY) for J••• M••••• S••••••••• L•• on the same day
    May 27, 2022 · Team lift-out · derived
  • Andrew M•••••• Book (Managing Director) no longer on Schedule A of W••••••••• A••••••• (listed 2020-06-30, absent 2021-03-31)
    Mar 31, 2021 · Control person left · inference
  • Karl Gregory Large (Managing Director) no longer on Schedule A of W••••••••• A••••••• (listed 2020-06-30, absent 2021-03-31)
    Mar 31, 2021 · Control person left · inference
  • Bradley D•••• Schrohe (Executive Vice President) no longer on Schedule A of W••••••••• A••••••• (listed 2018-05-02, absent 2019-03-29)
    Mar 29, 2019 · Control person left · inference
  • Dawn Christina Cade (Chief Financial Officer/Vice President/Treasurer) no longer on Schedule A of W••••••••• A••••••• (listed 2018-05-02, absent 2019-03-29)
    Mar 29, 2019 · Control person left · inference
  • W••••••••• A••••••• reported RAUM $1.1B, up 31% from $856.7M (2017-11-30 to 2018-03-30)
    Mar 30, 2018 · RAUM change · derived
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