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••••••••• H••• K••• L••••••
Latest filing Jul 9, 2026
First filing on the tape Oct 25, 2012 · 46 filings
SEC status approved since Jan 2, 2013
RAUM
$14B
reported, Item 5.F
Discretionary
85%
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
105
21 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$14B as of Jul 9, 2026
Mar 28, 2013$2.2B then
HNW client RAUM$0 as of Jul 9, 2026
Mar 29, 2018$187M then
State-registered IARs (5.B.3)0 as of Jul 9, 2026
Mar 28, 20130 then
Employees (5.A)105 as of Jul 9, 2026
Mar 28, 201352 then
Private funds2 as of Mar 31, 2023
Mar 29, 20162 then
RAUM +20% over the last fiscal year+1.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 9, 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
- $289MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 45%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
- +20%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
- Sovereign wealth funds$4.5B32%
- Other investment advisers$4.0B28%
- Pooled investment vehicles$3.7B26%
- Pension and profit-sharing plans$985M7.0%
- Insurance companies$731M5.2%
- Charitable organizations$126M0.9%
- Corporations and businesses$58.1M0.4%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 1reported
- Charitable clients
- 2reported
- 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=0.55 institutional_share=0.45 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W••••••••• T•••• C••••••• N• M••••••• C••••• T•••• F•••• T••••• A••• C••••••••• E••••• P••••••••no longer reported | Other Private Fund | $7,300 | 1 | Mar 16, 2012 |
| W••••••••• T•••• C••••••• N• M••••••• C••••• T•••• F•••• T••••• J•••• R••••••• E••••• P••••••••no longer reported | Other Private Fund | $0 | 5 | Aug 9, 2013 |
Owners and control persons
Schedule A and B, latest filing
- A•• K•• O• K•••• · Directorcontrolsince 10/2024 · owns less than 5%
- B•••••••• S•••••• · Directorcontrolsince 08/2021 · owns less than 5%
- B••••• J•••• E••••• · Directorcontrolsince 01/2019 · owns less than 5%
- C•••••••• E••••••••• M•••• · Directorcontrolsince 10/2023 · owns less than 5%
- F•••••••• A••••••• M••• · Directorcontrolsince 11/2017 · owns less than 5%
- H••• M•••• K•• · Directorcontrolsince 10/2021 · owns less than 5%
- M•••••• E•••• K••••••• · Directorcontrolsince 09/2022 · owns less than 5%
- P•••••• J•••••• S•••• · Directorcontrolsince 08/2021 · owns less than 5%
- P••••••••• C•••••• R•••• · Directorcontrolsince 10/2017 · owns less than 5%
- R••••••••• T•••• · Directorcontrolsince 04/2024 · owns less than 5%
- T•••• H•• Y•• K•••• · Directorcontrolsince 05/2020 · owns less than 5%
- Y•• S• P•••• M•• · Directorcontrolsince 10/2024 · owns less than 5%
- S••• L•••• · Chief Compliance Officersince 02/2022 · 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••••••••• I••••••••• L••••••investment adviserbankn
- W••••••••• M••••••••• J•••• P•• L••investment adviserbanknRAUM $18B
- W••••••••• M••••••••• S•••••••• P••• L•••investment adviserbankn
- W••••••••• M••••••••• S••••••••• G•••investment advisern
- W••••••••• P•••••• F••• M••••••••• ••••••••• L••••••pooled vehicle sponsory
- W••••••••• T•••• C••••••• N•custodiann
- W••••••••• V•••••• I••••••••• I• G• L•••investment adviserpooled vehicle sponsorn
Advisers that list W••••••••• M••••••••• H••• K••• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 52 to 49Nov 12, 2025 to Mar 31, 2026
- Advisory employees · 23 to 21Nov 12, 2025 to Mar 31, 2026
- Charity clients · 1 to 2Nov 12, 2025 to Mar 31, 2026
- Corporate clients · 2 to 1Nov 12, 2025 to Mar 31, 2026
- Pension plan clients · 3 to 1Nov 12, 2025 to Mar 31, 2026
- Pooled vehicle clients · 26 to 22Nov 12, 2025 to Mar 31, 2026
- Employees · 111 to 105Nov 12, 2025 to Mar 31, 2026
- Discretionary RAUM · $10B to $12BNov 12, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $1.5B to $2.2BNov 12, 2025 to Mar 31, 2026
- Pension RAUM · $1.0B to $985MNov 12, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $3.2B to $3.7BNov 12, 2025 to Mar 31, 2026
- RAUM · $12B to $14BNov 12, 2025 to Mar 31, 2026
- Accounts · 75 to 52Nov 8, 2024 to Mar 31, 2025
- Advisory employees · 34 to 23Nov 8, 2024 to Mar 31, 2025
- Pension plan clients · 4 to 3Nov 8, 2024 to Mar 31, 2025
- Pooled vehicle clients · 53 to 26Nov 8, 2024 to Mar 31, 2025
- Employees · 124 to 111Nov 8, 2024 to Mar 31, 2025
- Financial planning clients · unset to Nov 8, 2024 to Mar 31, 2025
- HQ state · unset to Nov 8, 2024 to Mar 31, 2025
- Discretionary RAUM · $9.6B to $10BNov 8, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $2.2B to $1.5BNov 8, 2024 to Mar 31, 2025
- Pension RAUM · $1.2B to $1.0BNov 8, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $5.2B to $3.2BNov 8, 2024 to Mar 31, 2025
- RAUM · $12B to $12BNov 8, 2024 to Mar 31, 2025
- Accounts · 35 to 75Jan 10, 2024 to Mar 29, 2024
- Advisory employees · 42 to 34Jan 10, 2024 to Mar 29, 2024
- Corporate clients · 1 to 2Jan 10, 2024 to Mar 29, 2024
- Pooled vehicle clients · 11 to 53Jan 10, 2024 to Mar 29, 2024
- Employees · 142 to 124Jan 10, 2024 to Mar 29, 2024
- Discretionary RAUM · $11B to $9.6BJan 10, 2024 to Mar 29, 2024
- Non-discretionary RAUM · $2.6B to $2.2BJan 10, 2024 to Mar 29, 2024
- Pension RAUM · $1.0B to $1.2BJan 10, 2024 to Mar 29, 2024
- Pooled vehicle RAUM · $4.2B to $5.2BJan 10, 2024 to Mar 29, 2024
- RAUM · $13B to $12BJan 10, 2024 to Mar 29, 2024
- Private funds · 2 to unsetMay 5, 2023 to Jan 10, 2024
- Accounts · 136 to 35Sep 1, 2022 to Mar 31, 2023
- Advisory employees · 35 to 42Sep 1, 2022 to Mar 31, 2023
- Charity clients · 5 to 1Sep 1, 2022 to Mar 31, 2023
- Corporate clients · 2 to 1Sep 1, 2022 to Mar 31, 2023
- Pension plan clients · 25 to 4Sep 1, 2022 to Mar 31, 2023
Signals
32 dated events
- M•••• E•••••••• C••••••• (Director) appeared on Schedule A of W••••••••• M••••••••• H••• K••• L••••••Nov 8, 2024 · Control person joined · fact
- Kei M••• Hui (Director) appeared on Schedule A of W••••••••• M••••••••• H••• K••• L••••••Nov 8, 2024 · Control person joined · fact
- S•••• J••••• P••••• (Director) appeared on Schedule A of W••••••••• M••••••••• H••• K••• L••••••Nov 8, 2024 · Control person joined · fact
- Kar On K•••• Au (Director) appeared on Schedule A of W••••••••• M••••••••• H••• K••• L••••••Nov 8, 2024 · Control person joined · fact
- May Si P••• Yu (Director) appeared on Schedule A of W••••••••• M••••••••• H••• K••• L••••••Nov 8, 2024 · Control person joined · fact
- T•••• R••••••••• (Director) appeared on Schedule A of W••••••••• M••••••••• H••• K••• L••••••Jul 1, 2024 · Control person joined · fact
- A•••••• J•••• P•••••• (Director) no longer on Schedule A of W••••••••• M••••••••• H••• K••• L•••••• (listed 2024-03-29, absent 2024-07-01)Jul 1, 2024 · Control person left · inference
- Zhang Bo Meunier (Director) no longer on Schedule A of W••••••••• M••••••••• H••• K••• L•••••• (listed 2024-03-29, absent 2024-07-01)Jul 1, 2024 · Control person left · inference
- Kei M••• Hui (Director) no longer on Schedule A of W••••••••• M••••••••• H••• K••• L•••••• (listed 2024-01-10, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- M•••• E•••••••• C••••••• (Director) no longer on Schedule A of W••••••••• M••••••••• H••• K••• L•••••• (listed 2024-01-10, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- S•••• J••••• P••••• (Director) no longer on Schedule A of W••••••••• M••••••••• H••• K••• L•••••• (listed 2024-01-10, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Kar On K•••• Au (Director) no longer on Schedule A of W••••••••• M••••••••• H••• K••• L•••••• (listed 2024-01-10, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- M•••• E•••••••• C••••••• (Director) appeared on Schedule A of W••••••••• M••••••••• H••• K••• L••••••Jan 10, 2024 · Control person joined · fact
- Cameron S•••• Geary (Director) no longer on Schedule A of W••••••••• M••••••••• H••• K••• L•••••• (listed 2023-05-05, absent 2024-01-10)Jan 10, 2024 · Control person left · inference
- Kar On K•••• Au (Director) appeared on Schedule A of W••••••••• M••••••••• H••• K••• L••••••Mar 31, 2023 · Control person joined · fact
- Kei M••• Hui (Director) appeared on Schedule A of W••••••••• M••••••••• H••• K••• L••••••Mar 31, 2023 · Control person joined · fact
- S•••• J••••• P••••• (Director) appeared on Schedule A of W••••••••• M••••••••• H••• K••• L••••••Mar 31, 2023 · Control person joined · fact
- K••••••• E••• M••••• (Director) appeared on Schedule A of W••••••••• M••••••••• H••• K••• L••••••Sep 1, 2022 · Control person joined · fact
- W••••••••• M••••••••• H••• K••• L•••••• reported RAUM $17.3B, up 31% from $13.2B (2022-02-17 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Kar On K•••• Au (Director) no longer on Schedule A of W••••••••• M••••••••• H••• K••• L•••••• (listed 2022-02-17, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Kei M••• Hui (Director) no longer on Schedule A of W••••••••• M••••••••• H••• K••• L•••••• (listed 2022-02-17, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- S•••••• B••••••• (Director) appeared on Schedule A of W••••••••• M••••••••• H••• K••• L••••••Aug 3, 2021 · Control person joined · fact
- Kei M••• Hui (Director) appeared on Schedule A of W••••••••• M••••••••• H••• K••• L••••••Aug 3, 2021 · Control person joined · fact
- Mcdaniel Cheryl Duckworth (Director) no longer on Schedule A of W••••••••• M••••••••• H••• K••• L•••••• (listed 2021-07-01, absent 2021-08-03)Aug 3, 2021 · Control person left · inference
- W••••••••• M••••••••• H••• K••• L•••••• reported RAUM $13.2B, up 40% from $9.5B (2021-01-06 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- A•••••• J•••• P•••••• (Director) appeared on Schedule A of W••••••••• M••••••••• H••• K••• L••••••Jan 6, 2021 · Control person joined · fact
- Todd Adam Puritz (Director) no longer on Schedule A of W••••••••• M••••••••• H••• K••• L•••••• (listed 2020-12-02, absent 2021-01-06)Jan 6, 2021 · Control person left · inference
- Hoi Yee K•••• T••• (Director) appeared on Schedule A of W••••••••• M••••••••• H••• K••• L••••••May 8, 2020 · Control person joined · fact
- Matthew S•••• Lopez (Director) no longer on Schedule A of W••••••••• M••••••••• H••• K••• L•••••• (listed 2020-03-30, absent 2020-05-08)May 8, 2020 · Control person left · inference
- Mary Cynthia Clarke (Director) no longer on Schedule A of W••••••••• M••••••••• H••• K••• L•••••• (listed 2018-10-05, absent 2019-01-04)Jan 4, 2019 · Control person left · inference
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
- Firm profile
- LINKEDIN.COM/COMPANY/W•••••••••-MANAGEMENTreportedpublic record, Form ADV, Sep 18, 2026
- Website
- W•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 852-2846-6000reportedpublic record, Form ADV, Jul 9, 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