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

L•••••••• A••••••• L••

Former SEC-registered adviserNorfolk, VirginiaCRD 165241SEC 801-77128IAPD
Latest filing Mar 27, 2024
First filing on the tape Sep 4, 2012 · 24 filings
RAUM
$41.5M
reported, Item 5.F
Discretionary
100%
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
8
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$41.5M as of Mar 27, 2024
Mar 28, 2014$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2024
Mar 28, 20135 then
Employees (5.A)8 as of Mar 27, 2024
Mar 28, 20136 then
Private funds: no history
RAUM +14% over the last fiscal year+2.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2024; 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
$8.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
+14%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 assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
  • 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
  • Pooled investment vehicles$41.5M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • W•••••••• W••••• F•••••• · President, Class A Managercontrol
        since 07/2012 · owns less than 5%
      • B•••••• J•••••••• M•••• · Membercontrol
        since 03/2011 · owns 50% to 75% of N•••• A•••••••• L••
      • C•••••••• C••••••••• G••••• · Membercontrol
        since 03/2011 · owns 50% to 75% of N•••• A•••••••• L••
      • W•••••••• W••••• F•••••• · Membercontrol
        since 12/2009 · owns 75% or more of W••••••• Family LLC
      • B•••••• J•••••••• M•••• · Vice President & Class B Manager
        since 08/2013 · owns less than 5%
      • C•••••••• C••••••••• G••••• · Assistant Vice President
        since 03/2014 · owns less than 5%
      • E••••••• D••••• J•••• K••• · Assistant Vice President
        since 03/2014 · owns less than 5%
      • G•••••• T••••••• A•• · Chief Compliance Officer
        since 01/2023 · owns less than 5%
      • S•••••••• R••••• H••••• · Assistant Vice President
        since 03/2014 · owns less than 5%
      Entity owners
      • N•••• A••••••• · Member
        direct · owns 50% to 75%
      • W•••••••• S•••• • T••••• A•••• M••••••••• L•• · Member
        direct · owns 50% to 75%
      • W••••••• F•••••• L•• · Member
        indirect · owns 25% to 50% of W••••••• S•••• & T••••• Asset Managment, LLC
      • R••••••• P••••••• I••• L• · Member
        indirect · owns 25% to 50% of W•••••••• S•••• • T••••• A•••• M••••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list L•••••••• A••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Greenville, SC2 employees
      • Raleigh, NC1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 5
        Mar 30, 2023 to Mar 27, 2024
      • Discretionary RAUM · $36.4M to $41.5M
        Mar 30, 2023 to Mar 27, 2024
      • Pooled vehicle RAUM · $36.4M to $41.5M
        Mar 30, 2023 to Mar 27, 2024
      • RAUM · $36.4M to $41.5M
        Mar 30, 2023 to Mar 27, 2024
      • Employees · 5 to 8
        Feb 20, 2023 to Mar 30, 2023
      • Discretionary RAUM · $42.4M to $36.4M
        Feb 20, 2023 to Mar 30, 2023
      • Pooled vehicle RAUM · $42.4M to $36.4M
        Feb 20, 2023 to Mar 30, 2023
      • RAUM · $42.4M to $36.4M
        Feb 20, 2023 to Mar 30, 2023
      • Discretionary RAUM · $38.6M to $42.4M
        Mar 25, 2021 to Mar 9, 2022
      • Pooled vehicle RAUM · $38.6M to $42.4M
        Mar 25, 2021 to Mar 9, 2022
      • RAUM · $38.6M to $42.4M
        Mar 25, 2021 to Mar 9, 2022
      • Discretionary RAUM · $46.0M to $38.6M
        Oct 28, 2020 to Mar 25, 2021
      • Pooled vehicle RAUM · $46.0M to $38.6M
        Oct 28, 2020 to Mar 25, 2021
      • RAUM · $46.0M to $38.6M
        Oct 28, 2020 to Mar 25, 2021
      • Advisory employees · 6 to 5
        Oct 3, 2019 to Mar 27, 2020
      • Employees · 6 to 5
        Oct 3, 2019 to Mar 27, 2020
      • Discretionary RAUM · $66.7M to $46.0M
        Oct 3, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $66.7M to $46.0M
        Oct 3, 2019 to Mar 27, 2020
      • RAUM · $66.7M to $46.0M
        Oct 3, 2019 to Mar 27, 2020
      • Accounts · 7 to 1
        Jun 4, 2018 to Mar 28, 2019
      • Advisory employees · 5 to 6
        Jun 4, 2018 to Mar 28, 2019
      • Employees · 8 to 6
        Jun 4, 2018 to Mar 28, 2019
      • Discretionary RAUM · $85.0M to $66.7M
        Jun 4, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $85.0M to $66.7M
        Jun 4, 2018 to Mar 28, 2019
      • RAUM · $85.0M to $66.7M
        Jun 4, 2018 to Mar 28, 2019
      • Pooled vehicle clients · unset to 1.0
        Sep 25, 2017 to Mar 27, 2018
      • Employees · 7 to 8
        Sep 25, 2017 to Mar 27, 2018
      • Other offices · unset to 2.0
        Sep 25, 2017 to Mar 27, 2018
      • Discretionary RAUM · $88.7M to $85.0M
        Sep 25, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · unset to 85024820.0
        Sep 25, 2017 to Mar 27, 2018
      • RAUM · $88.7M to $85.0M
        Sep 25, 2017 to Mar 27, 2018
      • BD registered reps · 2 to 0
        Oct 6, 2016 to Mar 17, 2017
      • Discretionary RAUM · $85.1M to $88.7M
        Oct 6, 2016 to Mar 17, 2017
      • RAUM · $85.1M to $88.7M
        Oct 6, 2016 to Mar 17, 2017
      • BD registered reps · 0 to 2
        Feb 27, 2015 to Mar 29, 2016
      • Discretionary RAUM · $76.8M to $85.1M
        Feb 27, 2015 to Mar 29, 2016
      • RAUM · $76.8M to $85.1M
        Feb 27, 2015 to Mar 29, 2016
      • Advisory employees · 6 to 5
        Feb 19, 2015 to Feb 27, 2015
      • Employees · 8 to 7
        Feb 19, 2015 to Feb 27, 2015
      • Insurance-licensed employees · 6 to 5
        Feb 19, 2015 to Feb 27, 2015
      Signals
      4 dated events
      • Ashley Matthew Swendiman (Chief Compliance Officer) no longer on Schedule A of L•••••••• A••••••• L•• (listed 2020-03-27, absent 2020-10-28)
        Oct 28, 2020 · Control person left · inference
      • D••••• P•••••• H•••• (Chief Compliance Officer) no longer on Schedule A of L•••••••• A••••••• L•• (listed 2019-08-29, absent 2019-10-01)
        Oct 1, 2019 · Control person left · inference
      • Ashley Matthew Swendiman (Chief Compliance Officer) appeared on Schedule A of L•••••••• A••••••• L••
        Oct 1, 2019 · Control person joined · fact
      • L•••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 4, 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