DFX Intelligence
RIA Intelligence
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Former SEC-registered adviser
W••••••• A••••••••• L•••••
Latest filing Feb 8, 2013
First filing on the tape Feb 14, 2012 · 2 filings
RAUM
$71.7M
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
69
30 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$71.7M as of Feb 8, 2013
Feb 14, 2012$71.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 69
Private funds: no history
Practice profile
derived from the filing of Feb 8, 2013; 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
- $71.7MderivedRAUM 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
- unknownderivedbetween 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, performance-based, otherreportedItem 5.E
- Advisory activities
- pension consulting, 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
- 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
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 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• E•••• H••••• · Chief Compliance Officercontrolsince 12/2011 · owns less than 5%
- D•••••• D••••••• G••••• · Chief Financial Officercontrolsince 01/2013 · owns less than 5%
- L••••••• G••••••• J••• · Chief Operating Officercontrolsince 03/2007 · owns less than 5%
- S•••••••• D••••• R••••• · Managercontrolsince 06/1995 · owns less than 5%
- S•••••••• M•••• •••• · Presidentcontrolsince 09/2010 · owns less than 5%
- V••••• P••••• M•••••• · Managercontrolsince 06/1995 · owns less than 5%
- S•••••••• D••••• R••••• · Trusteecontrolsince 06/2011 · owns F of J•••• D•••••• S••••••• F••••• G••• T••••
- S•••••••• J••••• D•••••• · Trusteecontrolsince 06/2011 · owns F of D•••• R S••••••• Family G••• Trust
- V••••• J•••• M••••••• · Trusteecontrolsince 06/2011 · owns F of P•••• V•••• F••••• G••• T••••
- V••••• P••••• M•••••• · Trusteecontrolsince 06/2011 · owns F of J••• V•••• F••••• G••• T••••
Entity owners
- W••••••• E••••••••• L••••• · Memberdirect · owns 75% or more
- W••••••• S•• C•••• · Memberdirect · owns 75% or more
- D•••• R• S•••••• F••••• G••• T•••• · Memberindirect · owns 25% to 50% of S••••••• C••••••••• L•••••
- J•••• D•••••• S••••••• F••••• G••• T•••• · Memberindirect · owns 25% to 50% of S••••••• C••••••••• L•••••
- J••• V•••• F••••• G••• T•••• · Memberindirect · owns 25% to 50% of V•••• F••••• H•••••••• L•••••
- P•••• V•••• F••••• G••• T•••• · Memberindirect · owns 25% to 50% of V•••• F••••• H•••••••• L•••••
- S••••••• C••••••••• L••••• · Memberindirect · owns 50% to 75% of W••••••• G••••• L•••••
- V•••• F••••• H•••••••• L••••• · Memberindirect · owns 50% to 75% of W••••••• G••••• L•••••
- W••••••• G••••• L••••• · Memberindirect · owns 75% or more of W••••••• E••••••••• L••••• And W••••••• S•• C••••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Atlanta, GA
- Plano, TX
What changed
consecutive filings, newest first
- Advisory employees · unset to 30.0Feb 14, 2012 to Feb 8, 2013
- BD registered reps · unset to 0.0Feb 14, 2012 to Feb 8, 2013
- Business name · W••••••• A••••••••• L•• to W••••••• A••••••••• L•••••Feb 14, 2012 to Feb 8, 2013
- Employees · unset to 69.0Feb 14, 2012 to Feb 8, 2013
- State-registered IARs · unset to 0.0Feb 14, 2012 to Feb 8, 2013
- Legal name · W••••••• A••••••••• L•• to W••••••• A••••••••• L•••••Feb 14, 2012 to Feb 8, 2013
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