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••••••••• I••••••••• L••

Former SEC-registered adviserLondon, CRD 165193SEC 801-77318IAPD
Legal name W••••••••• M••••••••• I••••••••• L••••••
Latest filing Nov 2, 2023
First filing on the tape Oct 25, 2012 · 41 filings
RAUM
$101B
reported, Item 5.F
Discretionary
98%
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
478
140 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$101B as of Mar 31, 2023
Mar 28, 2013$63B then
HNW client RAUM$0 as of Mar 31, 2023
Mar 29, 2018$300M then
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 28, 20130 then
Employees (5.A)478 as of Mar 31, 2023
Mar 28, 2013174 then
Private funds5 as of Mar 30, 2017
Mar 29, 20168 then
RAUM -19% over the last fiscal year-6.0% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Nov 2, 2023; 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
$485MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
40%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
-19%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 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
  • Other investment advisers$35B35%
  • Pooled investment vehicles$23B22%
  • Pension and profit-sharing plans$19B19%
  • Sovereign wealth funds$10B10%
  • Insurance companies$10.0B9.9%
  • Corporations and businesses$2.5B2.4%
  • Charitable organizations$991M1.0%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
57reported
Charitable clients
4reported
Accounts
209reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      W••••••••• T•••• C••••••• N• M••••••• C••••• T•••• F•••• T••••• E••••••• M•••••• L•••• C••••••• P••••••••no longer reportedHedge Fund$46.5M0Mar 16, 2012
      W••••••••• T•••• C••••••• N• M••••••• C••••• T•••• F•••• T••••• G••••• B••• P••••••••no longer reportedHedge Fund$28.9M5Mar 16, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• S•••••• · Directorcontrol
        since 01/2018 · owns less than 5%
      • B••••••••• N••••••• L••••• · Directorcontrol
        since 01/2018 · owns less than 5%
      • C••••••••• Y••••••• C••••••• · Directorcontrol
        since 01/2019 · owns less than 5%
      • D••••• H••••• E••••• · Chief Executive Officercontrol
        since 07/2020 · owns less than 5%
      • M••••••• B••••• T•••••• · Directorcontrol
        since 07/2023 · owns less than 5%
      • M••••• C••••• M•••• · Directorcontrol
        since 05/2015 · owns less than 5%
      • O•••••••• S•••••• S•••••• · Directorcontrol
        since 01/2021 · owns less than 5%
      • P•••••• J••••• S••••• · Directorcontrol
        since 01/2021 · owns less than 5%
      • S••••••• M•••• K•••• · Directorcontrol
        since 04/2022 · owns less than 5%
      • S•••••••• L•••• B•••••• · Directorcontrol
        since 01/2018 · owns less than 5%
      • O••••••• M•••• E••••• · Chief Compliance Officer
        since 06/2021 · owns less than 5%
      Entity owners
      • W••••••••• M••••••••• G••••• H•••••••• L••• · Shareholder
        direct · owns 75% or more
      • W••••••••• G•••• H••••••• L•• · Managing Partner
        indirect · owns 75% or more of W••••••••• I••••••••• A••••••• H••••••• L••
      • W••••••••• I••••••••• A••••••• H••••••• L•• · Shareholder
        indirect · owns 75% or more of W••••••••• M••••••••• G••••• H•••••••• L•••
      • W••••••••• M••••••••• G•••• L•• · Managing Partner
        indirect · owns 75% or more of W••••••••• G•••• H••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list W••••••••• M••••••••• I••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 390 to 209
        Jan 10, 2023 to Mar 31, 2023
      • Advisory employees · 115 to 140
        Jan 10, 2023 to Mar 31, 2023
      • Charity clients · 10 to 4
        Jan 10, 2023 to Mar 31, 2023
      • Corporate clients · 11 to 6
        Jan 10, 2023 to Mar 31, 2023
      • Pension plan clients · 119 to 57
        Jan 10, 2023 to Mar 31, 2023
      • Pooled vehicle clients · 121 to 77
        Jan 10, 2023 to Mar 31, 2023
      • Employees · 367 to 478
        Jan 10, 2023 to Mar 31, 2023
      • Discretionary RAUM · $121B to $99B
        Jan 10, 2023 to Mar 31, 2023
      • Non-discretionary RAUM · $2.9B to $2.5B
        Jan 10, 2023 to Mar 31, 2023
      • Pension RAUM · $41B to $19B
        Jan 10, 2023 to Mar 31, 2023
      • Pooled vehicle RAUM · $44B to $23B
        Jan 10, 2023 to Mar 31, 2023
      • RAUM · $124B to $101B
        Jan 10, 2023 to Mar 31, 2023
      • Other offices · 1 to 0
        Apr 12, 2022 to Jan 10, 2023
      • Accounts · 388 to 390
        Jul 1, 2021 to Mar 31, 2022
      • Charity clients · 9 to 10
        Jul 1, 2021 to Mar 31, 2022
      • Corporate clients · 9 to 11
        Jul 1, 2021 to Mar 31, 2022
      • Pension plan clients · 122 to 119
        Jul 1, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 119 to 121
        Jul 1, 2021 to Mar 31, 2022
      • Employees · 337 to 367
        Jul 1, 2021 to Mar 31, 2022
      • Discretionary RAUM · $129B to $121B
        Jul 1, 2021 to Mar 31, 2022
      • Non-discretionary RAUM · $3.4B to $2.9B
        Jul 1, 2021 to Mar 31, 2022
      • Pension RAUM · $44B to $41B
        Jul 1, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $45B to $44B
        Jul 1, 2021 to Mar 31, 2022
      • RAUM · $132B to $124B
        Jul 1, 2021 to Mar 31, 2022
      • Accounts · 402 to 388
        Jan 25, 2021 to Mar 31, 2021
      • Advisory employees · 125 to 115
        Jan 25, 2021 to Mar 31, 2021
      • BD registered reps · 1 to 0
        Jan 25, 2021 to Mar 31, 2021
      • Charity clients · 13 to 9
        Jan 25, 2021 to Mar 31, 2021
      • Corporate clients · 12 to 9
        Jan 25, 2021 to Mar 31, 2021
      • HNW clients · unset to 0.0
        Jan 25, 2021 to Mar 31, 2021
      • Pension plan clients · 136 to 122
        Jan 25, 2021 to Mar 31, 2021
      • Pooled vehicle clients · 116 to 119
        Jan 25, 2021 to Mar 31, 2021
      • Employees · 335 to 337
        Jan 25, 2021 to Mar 31, 2021
      • Discretionary RAUM · $118B to $129B
        Jan 25, 2021 to Mar 31, 2021
      • HNW RAUM · $2.1M to $0
        Jan 25, 2021 to Mar 31, 2021
      • Non-discretionary RAUM · $3.5B to $3.4B
        Jan 25, 2021 to Mar 31, 2021
      • Pension RAUM · $45B to $44B
        Jan 25, 2021 to Mar 31, 2021
      • Pooled vehicle RAUM · $41B to $45B
        Jan 25, 2021 to Mar 31, 2021
      • RAUM · $122B to $132B
        Jan 25, 2021 to Mar 31, 2021
      • Accounts · 413 to 402
        Dec 9, 2019 to Mar 30, 2020
      Signals
      25 dated events
      • B••• Amy K••••• (Director) no longer on Schedule A of W••••••••• M••••••••• I••••••••• L•• (listed 2023-03-31, absent 2023-11-02)
        Nov 2, 2023 · Control person left · inference
      • Joseph Edward Steinborn (Director) no longer on Schedule A of W••••••••• M••••••••• I••••••••• L•• (listed 2023-03-31, absent 2023-11-02)
        Nov 2, 2023 · Control person left · inference
      • Timothy Brian Maguire (Director) appeared on Schedule A of W••••••••• M••••••••• I••••••••• L••
        Nov 2, 2023 · Control person joined · fact
      • Maria C•••• Marrs (Director) appeared on Schedule A of W••••••••• M••••••••• I••••••••• L••
        Mar 31, 2023 · Control person joined · fact
      • Cristina Yolanda Courtines (Director) appeared on Schedule A of W••••••••• M••••••••• I••••••••• L••
        Mar 31, 2023 · Control person joined · fact
      • Edward Henry Duffy (Chief Executive Officer) appeared on Schedule A of W••••••••• M••••••••• I••••••••• L••
        Mar 31, 2023 · Control person joined · fact
      • B••• Amy K••••• (Director) appeared on Schedule A of W••••••••• M••••••••• I••••••••• L••
        Mar 31, 2023 · Control person joined · fact
      • Dirk Carl Enderlein (Director) no longer on Schedule A of W••••••••• M••••••••• I••••••••• L•• (listed 2022-03-31, absent 2022-04-08)
        Apr 8, 2022 · Control person left · inference
      • Kehoe Mary Shannon (Director) appeared on Schedule A of W••••••••• M••••••••• I••••••••• L••
        Apr 8, 2022 · Control person joined · fact
      • Edward Henry Duffy (Chief Executive Officer) no longer on Schedule A of W••••••••• M••••••••• I••••••••• L•• (listed 2021-03-31, absent 2021-07-01)
        Jul 1, 2021 · Control person left · inference
      • Maria C•••• Marrs (Director) no longer on Schedule A of W••••••••• M••••••••• I••••••••• L•• (listed 2021-03-31, absent 2021-07-01)
        Jul 1, 2021 · Control person left · inference
      • Cristina Yolanda Courtines (Director) no longer on Schedule A of W••••••••• M••••••••• I••••••••• L•• (listed 2021-01-25, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • Kurt Stefan Haselwandter (Director) no longer on Schedule A of W••••••••• M••••••••• I••••••••• L•• (listed 2021-01-25, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • B••• Amy K••••• (Director) no longer on Schedule A of W••••••••• M••••••••• I••••••••• L•• (listed 2021-01-25, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • Shamel Jawan Parker (Director) appeared on Schedule A of W••••••••• M••••••••• I••••••••• L••
        Jan 25, 2021 · Control person joined · fact
      • Storter Shanna O'Reilly (Director) appeared on Schedule A of W••••••••• M••••••••• I••••••••• L••
        Jan 25, 2021 · Control person joined · fact
      • Eugene Ray Helfer (Director) no longer on Schedule A of W••••••••• M••••••••• I••••••••• L•• (listed 2020-07-01, absent 2021-01-06)
        Jan 6, 2021 · Control person left · inference
      • P•••• J••• P•••••• (Director) no longer on Schedule A of W••••••••• M••••••••• I••••••••• L•• (listed 2020-07-01, absent 2021-01-06)
        Jan 6, 2021 · Control person left · inference
      • H Phillip Perelmuter (Chief Executive Officer, Director) no longer on Schedule A of W••••••••• M••••••••• I••••••••• L•• (listed 2020-03-30, absent 2020-07-01)
        Jul 1, 2020 · Control person left · inference
      • Edward Henry Duffy (Director) appeared on Schedule A of W••••••••• M••••••••• I••••••••• L••
        Aug 5, 2019 · Control person joined · fact
      • Lizbeth Mary Pryshlak (Director) no longer on Schedule A of W••••••••• M••••••••• I••••••••• L•• (listed 2018-05-17, absent 2019-01-31)
        Jan 31, 2019 · Control person left · inference
      • Cristina Yolanda Courtines (Director) appeared on Schedule A of W••••••••• M••••••••• I••••••••• L••
        Jan 31, 2019 · Control person joined · fact
      • Mary Cynthia Clarke (Director) no longer on Schedule A of W••••••••• M••••••••• I••••••••• L•• (listed 2018-05-17, absent 2019-01-31)
        Jan 31, 2019 · Control person left · inference
      • B••• Amy K••••• (Director) appeared on Schedule A of W••••••••• M••••••••• I••••••••• L••
        Jan 31, 2019 · Control person joined · fact
      • W••••••••• M••••••••• I••••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 25, 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.
      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