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••••• M••••••••• C•••••••••

Former SEC-registered adviserKnoxville, TennesseeCRD 162282SEC 801-74490IAPD
Legal name W••••• M••••••••• L••
Latest filing Feb 27, 2017
First filing on the tape Mar 1, 2012 · 22 filings
RAUM
$117M
reported, Item 5.F
Discretionary
81%
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$117M as of Feb 27, 2017
Apr 2, 2013$100M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 27, 2017
Apr 2, 20132 then
Employees (5.A)3 as of Feb 27, 2017
Apr 2, 20132 then
Private funds: no history
RAUM -7.3% over the last fiscal year+4.4% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Feb 27, 2017; every figure names its basis
RAUM per advisor
$117MderivedRAUM 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
$280,576derivedRAUM over accounts (5.F.2.f)
Discretionary
81%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-7.3%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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
  • 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)
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
417reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • J••••• E•••••• P•••• · Managing Member And Chief Compliance Officercontrol
    since 06/2012 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • ,
What changed
consecutive filings, newest first
  • Accounts · 495 to 417
    Dec 2, 2016 to Feb 27, 2017
  • Advisory employees · 3 to 2
    Dec 2, 2016 to Feb 27, 2017
  • BD registered reps · 3 to 2
    Dec 2, 2016 to Feb 27, 2017
  • Employees · 4 to 3
    Dec 2, 2016 to Feb 27, 2017
  • State-registered IARs · 2 to 1
    Dec 2, 2016 to Feb 27, 2017
  • Discretionary RAUM · $103M to $95.0M
    Dec 2, 2016 to Feb 27, 2017
  • Non-discretionary RAUM · $23.4M to $22.0M
    Dec 2, 2016 to Feb 27, 2017
  • RAUM · $126M to $117M
    Dec 2, 2016 to Feb 27, 2017
  • Accounts · 861 to 495
    Dec 22, 2015 to Apr 1, 2016
  • Advisory employees · 2 to 3
    Dec 22, 2015 to Apr 1, 2016
  • Employees · 3 to 4
    Dec 22, 2015 to Apr 1, 2016
  • Discretionary RAUM · $104M to $103M
    Dec 22, 2015 to Apr 1, 2016
  • Non-discretionary RAUM · $23.7M to $23.4M
    Dec 22, 2015 to Apr 1, 2016
  • RAUM · $128M to $126M
    Dec 22, 2015 to Apr 1, 2016
  • Accounts · 460 to 861
    Apr 10, 2014 to Mar 24, 2015
  • Business name · W••••• M••••••••• L•• to W••••• M••••••••• C•••••••••
    Apr 10, 2014 to Mar 24, 2015
  • Discretionary RAUM · $100M to $104M
    Apr 10, 2014 to Mar 24, 2015
  • Non-discretionary RAUM · $2.3M to $23.7M
    Apr 10, 2014 to Mar 24, 2015
  • RAUM · $103M to $128M
    Apr 10, 2014 to Mar 24, 2015
  • Accounts · 400 to 460
    Sep 10, 2013 to Mar 10, 2014
  • Advisory activities · 2 to 3
    Sep 10, 2013 to Mar 10, 2014
  • BD registered reps · 2 to 3
    Sep 10, 2013 to Mar 10, 2014
  • Employees · 2 to 3
    Sep 10, 2013 to Mar 10, 2014
  • Discretionary RAUM · $85.0M to $100M
    Sep 10, 2013 to Mar 10, 2014
  • Non-discretionary RAUM · $15.0M to $2.3M
    Sep 10, 2013 to Mar 10, 2014
  • RAUM · $100M to $103M
    Sep 10, 2013 to Mar 10, 2014
  • Accounts · 450 to 400
    Feb 11, 2013 to Apr 2, 2013
  • Financial planning clients · 0 to 51-100
    Feb 11, 2013 to Apr 2, 2013
  • Discretionary RAUM · $100M to $85.0M
    Feb 11, 2013 to Apr 2, 2013
  • Non-discretionary RAUM · $0 to $15.0M
    Feb 11, 2013 to Apr 2, 2013
  • RAUM · $100M to $100M
    Feb 11, 2013 to Apr 2, 2013
  • Advisory employees · unset to 2.0
    Oct 15, 2012 to Feb 8, 2013
  • BD registered reps · unset to 2.0
    Oct 15, 2012 to Feb 8, 2013
  • Employees · unset to 2.0
    Oct 15, 2012 to Feb 8, 2013
  • State-registered IARs · unset to 2.0
    Oct 15, 2012 to Feb 8, 2013
  • Accounts · 0 to 450
    Jun 28, 2012 to Aug 10, 2012
  • Discretionary RAUM · $0 to $100M
    Jun 28, 2012 to Aug 10, 2012
  • RAUM · $0 to $100M
    Jun 28, 2012 to Aug 10, 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