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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SEC-registered adviser
W•••••• A•••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 12, 2012 · 26 filings
SEC status approved since Jun 29, 2012
RAUM
$806M
reported, Item 5.F
Discretionary
99%
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
10
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$806M as of Mar 31, 2026
Mar 27, 2013$78.8M then
HNW client RAUM: $9.5M
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 27, 20130 then
Employees (5.A)10 as of Mar 31, 2026
Mar 27, 20134 then
Private funds5 as of Mar 31, 2026
Mar 27, 20133 then
RAUM -6.6% over the last fiscal year-0.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $36.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- -6.6%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $806M, 9 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$725M90%
- Corporations and businesses$80.6M10.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 22reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $806M for 9 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.9 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
16 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•••••• C• F••• L• | Hedge Fund | $574M | 78 | Mar 29, 2016 |
| W•••••• W• X• L• | Hedge Fund | $61.6M | 48 | Mar 29, 2023 |
| W•••••• W• I• L• | Hedge Fund | $58.1M | 36 | Mar 31, 2022 |
| W•••••• W• X• L• | Hedge Fund | $55.0M | 43 | Mar 28, 2024 |
| W•••••• W• V••• L•no longer reported | Hedge Fund | $42.7M | 39 | Mar 30, 2021 |
| W•••••• W• I• L•no longer reported | Hedge Fund | $40.2M | 19 | Mar 29, 2016 |
| W•••••• W• V• L•no longer reported | Hedge Fund | $37.8M | 24 | Mar 27, 2019 |
| W•••••• W• V•• L•no longer reported | Hedge Fund | $37.0M | 33 | Mar 27, 2020 |
| W•••••• S••• F••• L• | Hedge Fund | $22.8M | 18 | Mar 30, 2021 |
| W•••••• W• V• L•no longer reported | Hedge Fund | $15.0M | 24 | Mar 31, 2017 |
| W•••••• S•••••• S••••••••• F••• L• | Hedge Fund | $10.6M | 10 | Mar 30, 2021 |
| W•••••• W• I•• L•no longer reported | Hedge Fund | $8.5M | 20 | Aug 28, 2014 |
| W•••••• A••••••••• L•no longer reported | Hedge Fund | $7.7M | 34 | Mar 27, 2015 |
| W•••••• W• I• L•no longer reported | Hedge Fund | $7.3M | 15 | Mar 27, 2013 |
| W•••••• W• I• L•no longer reported | Hedge Fund | $3.4M | 12 | Jun 12, 2012 |
| W•••••• O••••••••• T•••••• F••• L•no longer reported | Hedge Fund | $47,215 | 29 | Jun 12, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• J•••••••• A••• · Managing Membercontrolsince 02/2009 · owns 25% to 50%
- L••••••••• T••••• L•• · Cco/Cfocontrolsince 03/2018 · owns less than 5%
- W••••• D•••••• I•••• · Managing Membercontrolsince 02/2009 · owns 50% to 75%
- G•••• B••••• R••••• · Ownersince 01/2022 · owns 5% to 10%
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
- Assets in custody · $862M to $806MOct 14, 2025 to Mar 31, 2026
- Discretionary RAUM · $849M to $800MOct 14, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $13.3M to $6.0MOct 14, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $764M to $725MOct 14, 2025 to Mar 31, 2026
- RAUM · $862M to $806MOct 14, 2025 to Mar 31, 2026
- Advisory employees · 6 to 7Mar 28, 2024 to Mar 24, 2025
- Assets in custody · $827M to $862MMar 28, 2024 to Mar 24, 2025
- Employees · 9 to 10Mar 28, 2024 to Mar 24, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 24, 2025
- Discretionary RAUM · $810M to $849MMar 28, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $16.6M to $13.3MMar 28, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $724M to $764MMar 28, 2024 to Mar 24, 2025
- RAUM · $827M to $862MMar 28, 2024 to Mar 24, 2025
- Advisory employees · 5 to 6Mar 29, 2023 to Mar 28, 2024
- Assets in custody · $828M to $827MMar 29, 2023 to Mar 28, 2024
- Employees · 8 to 9Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $809M to $810MMar 29, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $18.4M to $16.6MMar 29, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $683M to $724MMar 29, 2023 to Mar 28, 2024
- RAUM · $828M to $827MMar 29, 2023 to Mar 28, 2024
- Assets in custody · $815M to $828MJun 14, 2022 to Mar 29, 2023
- Employees · 7 to 8Jun 14, 2022 to Mar 29, 2023
- Discretionary RAUM · $815M to $809MJun 14, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $3.5M to $18.4MJun 14, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $691M to $683MJun 14, 2022 to Mar 29, 2023
- RAUM · $818M to $828MJun 14, 2022 to Mar 29, 2023
- Employees · 5 to 7May 11, 2021 to Mar 31, 2022
- Accounts · 16 to 22May 11, 2021 to Mar 31, 2022
- Advisory employees · 4 to 5May 11, 2021 to Mar 31, 2022
- Corporate clients · 3 to 4May 11, 2021 to Mar 31, 2022
- Assets in custody · $824M to $815MMay 11, 2021 to Mar 31, 2022
- Discretionary RAUM · $824M to $815MMay 11, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $0 to $3.5MMay 11, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $822M to $691MMay 11, 2021 to Mar 31, 2022
- RAUM · $824M to $818MMay 11, 2021 to Mar 31, 2022
- Pooled vehicle clients · 4 to 5Mar 27, 2020 to Mar 30, 2021
- Assets in custody · $412M to $824MMar 27, 2020 to Mar 30, 2021
- Private funds · 4 to 5Mar 27, 2020 to Mar 30, 2021
- Discretionary RAUM · $412M to $824MMar 27, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $404M to $822MMar 27, 2020 to Mar 30, 2021
Signals
5 dated events
- W•••••• A•••• M••••••••• L•• reported RAUM $824.1M, up 100% from $411.8M (2020-03-27 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- W•••••• A•••• M••••••••• L•• reported RAUM $411.8M, up 97% from $208.5M (2019-03-27 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- W•••••• A•••• M••••••••• L•• reported RAUM $208.5M, down 42% from $361.1M (2018-03-26 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
- W•••••• A•••• M••••••••• L•• reported RAUM $361.1M, up 80% from $200.7M (2017-03-31 to 2018-03-26)Mar 26, 2018 · RAUM change · derived
- W•••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 12, 2012 · 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 847-418-8305reportedpublic record, Form ADV, Mar 31, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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