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••••••••• C•••••••••

Former SEC-registered adviserRochester, New YorkCRD 160225SEC 801-109966IAPD
Legal name W••••••••• C••••••••• L••
Latest filing Mar 29, 2021
First filing on the tape Feb 1, 2017 · 7 filings
RAUM
$5.6B
reported, Item 5.F
Discretionary
10%
of RAUM
Private clients
0.2%
$8.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$5.6B as of Mar 29, 2021
Mar 22, 2018$4.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2021
Mar 22, 20180 then
Employees (5.A)10 as of Mar 29, 2021
Mar 22, 201810 then
Private funds: no history
RAUM +3.2% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2021; 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
$29.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
10%derivedof RAUM
Institutional
100%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
+3.2%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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$5.0B90%
  • Charitable organizations$575M10%
  • Individuals$8.6M0.2%
Individual clients
120reported
HNW clients
n/areported
Pension plan clients
60reported
Charitable clients
7reported
Accounts
189reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
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
      • P•••••• S•••• D•••• · Managing Membercontrol
        since 01/2012 · owns 50% to 75%
      • Z••••••• T•••••• F••• · Managing Member, Chief Compliance Officercontrol
        since 01/2012 · owns 50% to 75%
      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
      • Accounts · 177 to 189
        Jun 24, 2020 to Mar 29, 2021
      • Individual clients · 115 to 120
        Jun 24, 2020 to Mar 29, 2021
      • Pension plan clients · 55 to 60
        Jun 24, 2020 to Mar 29, 2021
      • Discretionary RAUM · $558M to $584M
        Jun 24, 2020 to Mar 29, 2021
      • Individual RAUM · $8.2M to $8.6M
        Jun 24, 2020 to Mar 29, 2021
      • Non-discretionary RAUM · $4.8B to $5.0B
        Jun 24, 2020 to Mar 29, 2021
      • Pension RAUM · $4.8B to $5.0B
        Jun 24, 2020 to Mar 29, 2021
      • RAUM · $5.4B to $5.6B
        Jun 24, 2020 to Mar 29, 2021
      • Accounts · 170 to 177
        Mar 27, 2019 to Jun 5, 2020
      • Individual clients · 110 to 115
        Mar 27, 2019 to Jun 5, 2020
      • Pension plan clients · 50 to 55
        Mar 27, 2019 to Jun 5, 2020
      • Other offices · 1 to 0
        Mar 27, 2019 to Jun 5, 2020
      • Discretionary RAUM · $133M to $558M
        Mar 27, 2019 to Jun 5, 2020
      • Individual RAUM · $7.2M to $8.2M
        Mar 27, 2019 to Jun 5, 2020
      • Non-discretionary RAUM · $4.4B to $4.8B
        Mar 27, 2019 to Jun 5, 2020
      • Pension RAUM · $4.0B to $4.8B
        Mar 27, 2019 to Jun 5, 2020
      • RAUM · $4.6B to $5.4B
        Mar 27, 2019 to Jun 5, 2020
      • Accounts · 100 to 170
        Mar 22, 2018 to Mar 27, 2019
      • Charity clients · 5 to 7
        Mar 22, 2018 to Mar 27, 2019
      • Individual clients · 50 to 110
        Mar 22, 2018 to Mar 27, 2019
      • Pension plan clients · 45 to 50
        Mar 22, 2018 to Mar 27, 2019
      • Discretionary RAUM · $174M to $133M
        Mar 22, 2018 to Mar 27, 2019
      • Individual RAUM · $4.0M to $7.2M
        Mar 22, 2018 to Mar 27, 2019
      • Non-discretionary RAUM · $3.8B to $4.4B
        Mar 22, 2018 to Mar 27, 2019
      • Pension RAUM · $3.5B to $4.0B
        Mar 22, 2018 to Mar 27, 2019
      • RAUM · $4.0B to $4.6B
        Mar 22, 2018 to Mar 27, 2019
      • Accounts · 6 to 100
        Oct 9, 2017 to Mar 22, 2018
      • Charity clients · unset to 5.0
        Oct 9, 2017 to Mar 22, 2018
      • Individual clients · unset to 50.0
        Oct 9, 2017 to Mar 22, 2018
      • Pension plan clients · unset to 45.0
        Oct 9, 2017 to Mar 22, 2018
      • Employees · 8 to 10
        Oct 9, 2017 to Mar 22, 2018
      • Discretionary RAUM · $149M to $174M
        Oct 9, 2017 to Mar 22, 2018
      • Individual RAUM · unset to 4000000.0
        Oct 9, 2017 to Mar 22, 2018
      • Non-discretionary RAUM · $0 to $3.8B
        Oct 9, 2017 to Mar 22, 2018
      • Pension RAUM · unset to 3500000000.0
        Oct 9, 2017 to Mar 22, 2018
      • RAUM · $149M to $4.0B
        Oct 9, 2017 to Mar 22, 2018
      • HQ city · unset to ROCHESTER
        Feb 1, 2017 to Oct 9, 2017
      • HQ state · unset to NY
        Feb 1, 2017 to Oct 9, 2017
      • Other offices · unset to 1.0
        Feb 1, 2017 to Oct 9, 2017
      Signals
      2 dated events
      • W••••••••• C••••••••• reported RAUM $4.0B, up 2587% from $149.0M (2017-10-09 to 2018-03-22)
        Mar 22, 2018 · RAUM change · derived
      • W••••••••• C••••••••• filed its initial SEC registration (Form ADV)
        Feb 1, 2017 · First SEC registration · 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