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••••••••• M••••••••• J•••• P•• L••
Legal name W••••••••• M••••••••• J•••• P••• L•••
Latest filing Mar 31, 2026
First filing on the tape Oct 25, 2012 · 43 filings
SEC status approved since Jan 2, 2013
RAUM
$18B
reported, Item 5.F
Discretionary
96%
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
65
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$18B as of Mar 31, 2026
Mar 28, 2013$30B then
HNW client RAUM$0 as of Mar 31, 2026
Mar 30, 2020$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)65 as of Mar 31, 2026
Mar 28, 2013114 then
Private funds3 as of Mar 31, 2023
Mar 29, 20162 then
RAUM -0.7% over the last fiscal year-2.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- $362MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 25%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
- -0.7%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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
- is a broker-dealer (6.A.1)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Banks and thrifts$10B58%
- Sovereign wealth funds$4.0B22%
- Pooled investment vehicles$2.0B11%
- Other investment advisers$910M5.1%
- Pension and profit-sharing plans$560M3.2%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 15reported
- Charitable clients
- 0reported
- Accounts
- 49reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.16 institutional_share=0.25 related_bd=true related_bank=true 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W••••••••• T•••• C••••••• N• M••••••• C••••• T•••• F•••• T••••• J•••• S•••••• S••••••••• P••••••••no longer reported | Hedge Fund | $0 | 1 | Aug 9, 2013 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• E••••••••• M•••• · Directorcontrolsince 06/2019 · owns less than 5%
- E••••••••• D••••• K•••• · Directorcontrolsince 12/2019 · owns less than 5%
- H•••••••• D••••••• A•••••• · Directorcontrolsince 06/2016 · owns less than 5%
- K•••••• N••••••• · Directorcontrolsince 10/2021 · owns less than 5%
- L••••• S••••• M•••••• · Directorcontrolsince 10/2024 · owns less than 5%
- M••••••• C••••••• J••• · Directorcontrolsince 06/2019 · owns less than 5%
- P••••••• J••••• A•••••• · Directorcontrolsince 12/2019 · owns less than 5%
- S••••••••• N•••••••• L••••••• · Directorcontrolsince 12/2023 · owns less than 5%
- S•••• P•••• A•••••• D•••• · Directorcontrolsince 10/2024 · owns less than 5%
- S•••• P••• S•• · Directorcontrolsince 11/2023 · owns less than 5%
- T•••• H•• Y•• K•••• · Directorcontrolsince 10/2024 · owns less than 5%
- A•• K•• O• K•••• · Chief Compliance Officersince 03/2019 · owns less than 5%
Entity owners
- W••••••••• M••••••••• G••••• H•••••••• L••• · Shareholderdirect · owns 75% or more
- W••••••••• G•••• H••••••• L•• · Managing Partnerindirect · owns 75% or more of W••••••••• I••••••••• A••••••• H••••••• L••
- W••••••••• I••••••••• A••••••• H••••••• L•• · Shareholderindirect · owns 75% or more of W••••••••• M••••••••• G••••• H•••••••• L•••
- W••••••••• M••••••••• G•••• L•• · Managing Partnerindirect · owns 75% or more of W••••••••• G•••• H••••••• L••
Related persons
Schedule D 7.A
- C•••••• I••••••••• I• C•••••••• G• L••investment adviserpooled vehicle sponsorn
- W••••••••• A••••••••• I••••••••• G• L••• S•••• G••••• L••••••••• S•• R•••pooled vehicle sponsorn
- W••••••••• A••••••••• I•••••••••investment adviserbankpooled vehicle sponsornRAUM $92B
- W••••••••• B••••••••• I••••••••• I• G• L•••investment adviserpooled vehicle sponsorn
- W••••••••• C•••••• I••••••••• I• G• L•••investment adviserpooled vehicle sponsorn
- W••••••••• C•• G• L••investment adviserpooled vehicle sponsorn
- W••••••••• F•••• ••• L••investment adviserbankpooled vehicle sponsornRAUM $5.4B
- W••••••••• F•••• D••••••••• I•••broker-dealern
- W••••••••• G••••• P•••••• F••• M••••••••• ••••••••• L••••••pooled vehicle sponsorn
- W••••••••• H••••• H••••• I• G• L•••investment adviserpooled vehicle sponsorn
- W••••••••• L••••••••• S•• R•••investment adviserpooled vehicle sponsorn
- W••••••••• M••••••••• A•••••••• P•• L••investment advisern
- W••••••••• M••••••••• C••••• U••investment advisern
- W••••••••• M••••••••• C•• A••••••• L••investment advisern
- W••••••••• M••••••••• C•••••• L••investment adviserbanknRAUM $1428B
- W••••••••• M••••••••• E••••• G•••investment adviserbankn
- W••••••••• M••••••••• F•••• L••investment adviserpooled vehicle sponsorn
- W••••••••• M••••••••• H••• K••• L••••••investment adviserbanknRAUM $14B
- W••••••••• M••••••••• I••••••••• L••••••investment adviserbankn
- W••••••••• M••••••••• S•••••••• P••• L•••investment adviserbankn
- W••••••••• M••••••••• S••••••••• G•••investment advisern
- W••••••••• P•••••• F••• M••••••••• ••••••••• L••••••pooled vehicle sponsorn
- W••••••••• T•••• C••••••• N•custodiann
- W••••••••• V•••••• I••••••••• I• G• L•••investment adviserpooled vehicle sponsorn
Advisers that list W••••••••• M••••••••• J•••• P•• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 55 to 49Nov 12, 2025 to Mar 31, 2026
- Advisory employees · 8 to 9Nov 12, 2025 to Mar 31, 2026
- Pension plan clients · 22 to 15Nov 12, 2025 to Mar 31, 2026
- Pooled vehicle clients · 5 to 7Nov 12, 2025 to Mar 31, 2026
- Employees · 72 to 65Nov 12, 2025 to Mar 31, 2026
- Discretionary RAUM · $18B to $17BNov 12, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $237M to $725MNov 12, 2025 to Mar 31, 2026
- Pension RAUM · $1.3B to $560MNov 12, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $947M to $2.0BNov 12, 2025 to Mar 31, 2026
- RAUM · $18B to $18BNov 12, 2025 to Mar 31, 2026
- Accounts · 56 to 55Nov 7, 2024 to Mar 31, 2025
- Advisory employees · 9 to 8Nov 7, 2024 to Mar 31, 2025
- Pension plan clients · 23 to 22Nov 7, 2024 to Mar 31, 2025
- Employees · 76 to 72Nov 7, 2024 to Mar 31, 2025
- Financial planning clients · unset to Nov 7, 2024 to Mar 31, 2025
- HQ state · unset to Nov 7, 2024 to Mar 31, 2025
- Discretionary RAUM · $18B to $18BNov 7, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $199M to $237MNov 7, 2024 to Mar 31, 2025
- Pension RAUM · $1.5B to $1.3BNov 7, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $396M to $947MNov 7, 2024 to Mar 31, 2025
- RAUM · $18B to $18BNov 7, 2024 to Mar 31, 2025
- Accounts · 59 to 56Jan 10, 2024 to Mar 29, 2024
- Advisory employees · 13 to 9Jan 10, 2024 to Mar 29, 2024
- Pension plan clients · 24 to 23Jan 10, 2024 to Mar 29, 2024
- Pooled vehicle clients · 1 to 5Jan 10, 2024 to Mar 29, 2024
- Employees · 91 to 76Jan 10, 2024 to Mar 29, 2024
- Discretionary RAUM · $19B to $18BJan 10, 2024 to Mar 29, 2024
- Non-discretionary RAUM · $370M to $199MJan 10, 2024 to Mar 29, 2024
- Pension RAUM · $1.6B to $1.5BJan 10, 2024 to Mar 29, 2024
- Pooled vehicle RAUM · $370M to $396MJan 10, 2024 to Mar 29, 2024
- RAUM · $19B to $18BJan 10, 2024 to Mar 29, 2024
- Private funds · 3 to unsetMay 5, 2023 to Jan 10, 2024
- Accounts · 128 to 59Apr 12, 2022 to Mar 31, 2023
- Advisory employees · 14 to 13Apr 12, 2022 to Mar 31, 2023
- Charity clients · 5 to 0Apr 12, 2022 to Mar 31, 2023
- Pension plan clients · 45 to 24Apr 12, 2022 to Mar 31, 2023
- Pooled vehicle clients · 24 to 1Apr 12, 2022 to Mar 31, 2023
- Employees · 79 to 91Apr 12, 2022 to Mar 31, 2023
- Discretionary RAUM · $26B to $19BApr 12, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $1.1B to $370MApr 12, 2022 to Mar 31, 2023
Signals
32 dated events
- L••••••• N••••••• S••••••••• (Director) appeared on Schedule A of W••••••••• M••••••••• J•••• P•• L••Nov 7, 2024 · Control person joined · fact
- Matthew Scott Lopez (Director) appeared on Schedule A of W••••••••• M••••••••• J•••• P•• L••Nov 7, 2024 · Control person joined · fact
- D•••• A••••• S•••• P••• (Director) appeared on Schedule A of W••••••••• M••••••••• J•••• P•• L••Nov 7, 2024 · Control person joined · fact
- Hoi Yee K•••• T••• (Director) appeared on Schedule A of W••••••••• M••••••••• J•••• P•• L••Nov 7, 2024 · Control person joined · fact
- P••• Patrick Caron (Director) no longer on Schedule A of W••••••••• M••••••••• J•••• P•• L•• (listed 2024-07-01, absent 2024-11-07)Nov 7, 2024 · Control person left · inference
- Mary Aisling Freiheit (Director) no longer on Schedule A of W••••••••• M••••••••• J•••• P•• L•• (listed 2024-07-01, absent 2024-11-07)Nov 7, 2024 · Control person left · inference
- Cameron Scott Geary (Director) no longer on Schedule A of W••••••••• M••••••••• J•••• P•• L•• (listed 2024-07-01, absent 2024-11-07)Nov 7, 2024 · Control person left · inference
- N Matthew Shea (Director) no longer on Schedule A of W••••••••• M••••••••• J•••• P•• L•• (listed 2024-07-01, absent 2024-11-07)Nov 7, 2024 · Control person left · inference
- L••••••• N••••••• S••••••••• (Director) no longer on Schedule A of W••••••••• M••••••••• J•••• P•• L•• (listed 2024-01-10, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- San Pui S••• (Director) appeared on Schedule A of W••••••••• M••••••••• J•••• P•• L••Jan 10, 2024 · Control person joined · fact
- Timothy Daire Dunne (Director) no longer on Schedule A of W••••••••• M••••••••• J•••• P•• L•• (listed 2023-05-05, absent 2024-01-10)Jan 10, 2024 · Control person left · inference
- L••••••• N••••••• S••••••••• (Director) appeared on Schedule A of W••••••••• M••••••••• J•••• P•• L••Jan 10, 2024 · Control person joined · fact
- Keith D•••• Eikenberry (Director) appeared on Schedule A of W••••••••• M••••••••• J•••• P•• L••Mar 31, 2023 · Control person joined · fact
- W••••••••• M••••••••• J•••• P•• L•• reported RAUM $19.0B, down 31% from $27.5B (2022-04-12 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- A•••••• J•••• P•••••• (Director) appeared on Schedule A of W••••••••• M••••••••• J•••• P•• L••Mar 31, 2023 · Control person joined · fact
- Timothy Daire Dunne (Director) appeared on Schedule A of W••••••••• M••••••••• J•••• P•• L••Mar 31, 2023 · Control person joined · fact
- W••••••••• M••••••••• J•••• P•• L•• reported RAUM $27.5B, down 35% from $42.6B (2021-11-03 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Nataliya Kofman (Director) appeared on Schedule A of W••••••••• M••••••••• J•••• P•• L••Oct 14, 2021 · Control person joined · fact
- N Matthew Shea (Director) appeared on Schedule A of W••••••••• M••••••••• J•••• P•• L••Oct 14, 2021 · Control person joined · fact
- E•••• F••••• P•••••• (Director) no longer on Schedule A of W••••••••• M••••••••• J•••• P•• L•• (listed 2021-07-01, absent 2021-10-14)Oct 14, 2021 · Control person left · inference
- Timothy Daire Dunne (Director) no longer on Schedule A of W••••••••• M••••••••• J•••• P•• L•• (listed 2021-01-06, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Keith D•••• Eikenberry (Director) no longer on Schedule A of W••••••••• M••••••••• J•••• P•• L•• (listed 2021-01-06, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- A•••••• J•••• P•••••• (Director) no longer on Schedule A of W••••••••• M••••••••• J•••• P•• L•• (listed 2021-01-06, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- W••••••••• M••••••••• J•••• P•• L•• reported RAUM $42.6B, up 64% from $26.0B (2021-01-06 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Keith D•••• Eikenberry (Director) appeared on Schedule A of W••••••••• M••••••••• J•••• P•• L••Dec 9, 2019 · Control person joined · fact
- J••• Michael Boudens (Director) no longer on Schedule A of W••••••••• M••••••••• J•••• P•• L•• (listed 2019-12-09, absent 2019-12-09)Dec 9, 2019 · Control person left · inference
- A•••••• J•••• P•••••• (Director) appeared on Schedule A of W••••••••• M••••••••• J•••• P•• L••Dec 9, 2019 · Control person joined · fact
- Todd Adam Puritz (Director) no longer on Schedule A of W••••••••• M••••••••• J•••• P•• L•• (listed 2019-12-09, absent 2019-12-09)Dec 9, 2019 · Control person left · inference
- E••••• J••• B•••• (Director) no longer on Schedule A of W••••••••• M••••••••• J•••• P•• L•• (listed 2019-03-29, absent 2019-06-17)Jun 17, 2019 · Control person left · inference
- J••• C•••••• M•••••• (Director) appeared on Schedule A of W••••••••• M••••••••• J•••• P•• L••Jun 17, 2019 · Control person joined · 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
- Website
- W•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 813-5533-0011reportedpublic 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
- Other 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