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••••••••• P•••••••

Former SEC-registered adviserOmaha, NebraskaCRD 158935SEC 801-72705IAPD
Legal name W••••••••• P•••••••• I•••
Latest filing Jun 30, 2020
First filing on the tape Jan 10, 2012 · 57 filings
RAUM
$2.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
78%
$1.5B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
84
32 advisory (5.B.1)
Offices
16
beyond the principal office
Private funds
0
reported on Schedule D
History
57 filings and snapshots on the tape
RAUM$2.0B as of Mar 25, 2020
Jan 10, 2012$413M then
HNW client RAUM$589M as of Mar 25, 2020
Feb 13, 2018$482M then
State-registered IARs (5.B.3)29 as of Mar 25, 2020
Jan 10, 20120 then
Employees (5.A)84 as of Mar 25, 2020
Mar 28, 201320 then
Private funds: no history
RAUM +19% over the last fiscal year+15% a year over threeIARs 29 to 29offices 14 to 16
Practice profile
derived from the filing of Jun 30, 2020; every figure names its basis
RAUM per advisor
$68.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
114derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$263,245derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.9derivedItem 5.A over advisors
Advisors per office
1.7derived17 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+18%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Wrap fee program
$790MreportedItem 5.I
Custody
$742M, 3,112 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
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$946M48%
  • High-net-worth individuals$589M30%
  • Pension and profit-sharing plans$366M19%
  • Charitable organizations$44.2M2.2%
  • Corporations and businesses$26.5M1.3%
  • State and municipal entities$4.4M0.2%
Individual clients
2,916reported
HNW clients
389reported
Pension plan clients
88reported
Charitable clients
19reported
Accounts
7,511reported
Financial planning clients
0reported
Wrap fee programs
$395M sponsored, $395M managedreported
Custody of client assets
$742M for 3,112 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
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
  • F••••• T•••• A••••• · Presidentcontrol
    since 08/2011 · owns less than 5%
  • M•••••••• C••••••••• M•••••• · Chief Compliance Officercontrol
    since 01/2017 · owns less than 5%
  • B•••••• W•••• C•••• · Managing Membercontrol
    since 12/2016 · owns 25% to 50% of W••••••••• P•••••••• L••
  • F••••• T•••• A••••• · Managing Membercontrol
    since 12/2016 · owns 25% to 50% of W••••••••• P•••••••• L••
  • O••••• B••••• T••••• · Managing Membercontrol
    since 12/2016 · owns 25% to 50% of W••••••••• P•••••••• L••
Entity owners
  • W••••••••• P•••••••• L•• · Managing Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Lincoln, NE8 employees
  • Lincoln, NE6 employees
  • Bayonne, NJ5 employees
  • Kearney, NE5 employees
  • Wilmington, DE5 employees
  • , 3 employees
  • D•••• City, NE3 employees
  • New York, NY3 employees
  • Overland Park, KS3 employees
  • Raleigh, NC2 employees
  • Westminster, CO2 employees
  • Pittsford,, NY1 employees
  • Fresno, CA1 employees
  • Lawrence, KS1 employees
  • Boulder, CO1 employees
  • Grand Island, NE1 employees
What changed
consecutive filings, newest first
  • Accounts · 7,340 to 7,511
    Sep 9, 2019 to Mar 25, 2020
  • Advisory employees · 31 to 32
    Sep 9, 2019 to Mar 25, 2020
  • Charity clients · 46 to 19
    Sep 9, 2019 to Mar 25, 2020
  • Corporate clients · unset to 18.0
    Sep 9, 2019 to Mar 25, 2020
  • HNW clients · 1,565 to 389
    Sep 9, 2019 to Mar 25, 2020
  • Individual clients · 1,237 to 2,916
    Sep 9, 2019 to Mar 25, 2020
  • Pension plan clients · 800 to 88
    Sep 9, 2019 to Mar 25, 2020
  • Assets in custody · $700M to $742M
    Sep 9, 2019 to Mar 25, 2020
  • Employees · 71 to 84
    Sep 9, 2019 to Mar 25, 2020
  • State-registered IARs · 30 to 29
    Sep 9, 2019 to Mar 25, 2020
  • Discretionary RAUM · $1.7B to $2.0B
    Sep 9, 2019 to Mar 25, 2020
  • HNW RAUM · $716M to $589M
    Sep 9, 2019 to Mar 25, 2020
  • Individual RAUM · $566M to $946M
    Sep 9, 2019 to Mar 25, 2020
  • RAUM · $1.7B to $2.0B
    Sep 9, 2019 to Mar 25, 2020
  • Related insurance company · false to true
    Sep 9, 2019 to Mar 25, 2020
  • Advisory employees · 30 to 31
    May 6, 2019 to May 10, 2019
  • BD registered reps · 29 to 30
    May 6, 2019 to May 10, 2019
  • Employees · 70 to 71
    May 6, 2019 to May 10, 2019
  • State-registered IARs · 29 to 30
    May 6, 2019 to May 10, 2019
  • Other offices · 15 to 16
    May 6, 2019 to May 10, 2019
  • Other offices · 14 to 15
    Apr 4, 2019 to Apr 9, 2019
  • Accounts · 2,583 to 7,340
    Dec 17, 2018 to Mar 28, 2019
  • Advisory employees · 22 to 30
    Dec 17, 2018 to Mar 28, 2019
  • BD registered reps · 30 to 29
    Dec 17, 2018 to Mar 28, 2019
  • Charity clients · 30 to 46
    Dec 17, 2018 to Mar 28, 2019
  • Corporate clients · 39.0 to unset
    Dec 17, 2018 to Mar 28, 2019
  • HNW clients · 328 to 1,565
    Dec 17, 2018 to Mar 28, 2019
  • Individual clients · 2,121 to 1,237
    Dec 17, 2018 to Mar 28, 2019
  • Pension plan clients · 65 to 800
    Dec 17, 2018 to Mar 28, 2019
  • Assets in custody · $19.1M to $700M
    Dec 17, 2018 to Mar 28, 2019
  • Employees · 45 to 70
    Dec 17, 2018 to Mar 28, 2019
  • State-registered IARs · 22 to 29
    Dec 17, 2018 to Mar 28, 2019
  • Other offices · 15 to 14
    Dec 17, 2018 to Mar 28, 2019
  • Discretionary RAUM · $988M to $1.7B
    Dec 17, 2018 to Mar 28, 2019
  • HNW RAUM · $482M to $716M
    Dec 17, 2018 to Mar 28, 2019
  • Individual RAUM · $431M to $566M
    Dec 17, 2018 to Mar 28, 2019
  • Pension RAUM · $28.4M to $366M
    Dec 17, 2018 to Mar 28, 2019
  • RAUM · $988M to $1.7B
    Dec 17, 2018 to Mar 28, 2019
  • Wrap assets (manager) · $232M to $395M
    Dec 17, 2018 to Mar 28, 2019
  • Wrap assets (sponsor) · $232M to $395M
    Dec 17, 2018 to Mar 28, 2019
Signals
3 dated events
  • W••••••••• P••••••• reported RAUM $1.7B, up 69% from $988.1M (2018-12-17 to 2019-03-28)
    Mar 28, 2019 · RAUM change · derived
  • W••••••••• P••••••• reported 22 state-registered advisory representatives, down from 35 (2017-05-05 to 2018-02-13)
    Feb 13, 2018 · ria a•••••• headcount change · derived
  • W••••••••• P••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Dec 16, 2016 · Succession (Item 4) · fact
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