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

A•••• D•••••• I••••••••• A•••••••

Former SEC-registered adviserMinneapolis, MinnesotaCRD 159322SEC 801-72865IAPD
Legal name W•••• F•••• B••• N•••
Latest filing Oct 29, 2014
First filing on the tape Nov 23, 2011 · 14 filings
RAUM
$38.1M
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
29
26 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$38.1M as of Oct 29, 2014
Apr 3, 2012$53.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Oct 29, 2014
Apr 3, 20120 then
Employees (5.A)29 as of Oct 29, 2014
Apr 1, 201322 then
Private funds: no history
RAUM -9.5% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 29, 2014; 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
$38.1MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-9.5%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• E•••• S•••• · Chief Compliance Officer
        since 10/2011 · owns less than 5%
      • S••••••• J••••• P••• · Ceo
        since 10/2011 · owns less than 5%
      Entity owners
      • W•••• F•••• • C•••••• · Direct Parent Company Of W•••• F•••• B•••, N.A.
        direct · owns 25% to 50% · public reporting company
      • W•• H••••••• C••••••••• · Direct Parent Company Of W•••• F•••• B•••, N.A.
        direct · owns 50% to 75%
      • W•••• F•••• • C• · Shareholder
        indirect · owns 75% or more of W•• H••••••• C••••••••• · public reporting company
      • I•••• I••• · Direct Parent Company Of W•••• F•••• B•••, N.A.
        direct · owns 5% to 10%
      • W•• H••••••• C••••••••• · Shareholder
        indirect · owns 75% or more of I•••• I••• · public reporting company
      Related persons
      Schedule D 7.A
      • W•••• F•••• B••• N••••••• A•••••••••
        broker-dealerinvestment adviserbankpooled vehicle sponsorLP sponsorreal estatey
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 23 to 26
        Jul 15, 2014 to Oct 29, 2014
      • Employees · 26 to 29
        Jul 15, 2014 to Oct 29, 2014
      • Discretionary RAUM · $42.1M to $38.1M
        Jul 15, 2014 to Oct 29, 2014
      • RAUM · $42.1M to $38.1M
        Jul 15, 2014 to Oct 29, 2014
      • Advisory employees · 21 to 23
        Sep 23, 2013 to Mar 24, 2014
      • Employees · 22 to 26
        Sep 23, 2013 to Mar 24, 2014
      • Discretionary RAUM · $49.0M to $42.1M
        Sep 23, 2013 to Mar 24, 2014
      • RAUM · $49.0M to $42.1M
        Sep 23, 2013 to Mar 24, 2014
      • Advisory employees · 22 to 21
        Mar 7, 2013 to Apr 1, 2013
      • Employees · 23 to 22
        Mar 7, 2013 to Apr 1, 2013
      • Discretionary RAUM · $53.9M to $49.0M
        Mar 7, 2013 to Apr 1, 2013
      • RAUM · $53.9M to $49.0M
        Mar 7, 2013 to Apr 1, 2013
      • Advisory employees · unset to 22.0
        Sep 28, 2012 to Nov 7, 2012
      • Employees · unset to 23.0
        Sep 28, 2012 to Nov 7, 2012
      • Insurance-licensed employees · unset to 0.0
        Nov 23, 2011 to Apr 3, 2012
      • Discretionary RAUM · $55.3M to $53.9M
        Nov 23, 2011 to Apr 3, 2012
      • RAUM · $55.3M to $53.9M
        Nov 23, 2011 to Apr 3, 2012
      • Related bank · false to true
        Nov 23, 2011 to Apr 3, 2012
      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