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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C•• W••••• A•••••••• L•••••

Former SEC-registered adviserBowling Green, KentuckyCRD 165368SEC 801-77137IAPD
Latest filing Feb 4, 2013
First filing on the tape Sep 6, 2012 · 7 filings
RAUM
$146M
reported, Item 5.F
Discretionary
14%
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
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$146M as of Feb 4, 2013
Jan 4, 2013$146M then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Feb 4, 2013
Oct 31, 20120 then
Employees (5.A)8 as of Feb 4, 2013
Oct 31, 20121 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 4, 2013; every figure names its basis
RAUM per advisor
$20.8MderivedRAUM 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
$96,410derivedRAUM over accounts (5.F.2.f)
Discretionary
14%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,510reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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••••••• S•••••• A•••• · Manager, Chief Compliance Officer / Chief Executive Officercontrol
        since 12/2012 · owns less than 5%
      Entity owners
      • C•••• R•••• • I•••••• L••••• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • C•••• R•••• • I•••••• L•••••
        insurancey
      • C•• W••••• M••••••••• L•••••
        broker-dealern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HQ city · ENTERPRISE to BOWLING GREEN
        Jan 4, 2013 to Jan 28, 2013
      • HQ state · AL to KY
        Jan 4, 2013 to Jan 28, 2013
      • Accounts · unset to 1510.0
        Oct 31, 2012 to Jan 4, 2013
      • Advisory employees · 1 to 5
        Oct 31, 2012 to Jan 4, 2013
      • BD registered reps · 0 to 7
        Oct 31, 2012 to Jan 4, 2013
      • Employees · 1 to 8
        Oct 31, 2012 to Jan 4, 2013
      • Insurance-licensed employees · 0 to 7
        Oct 31, 2012 to Jan 4, 2013
      • State-registered IARs · 0 to 7
        Oct 31, 2012 to Jan 4, 2013
      • Discretionary RAUM · unset to 20340270.0
        Oct 31, 2012 to Jan 4, 2013
      • Non-discretionary RAUM · unset to 125239100.0
        Oct 31, 2012 to Jan 4, 2013
      • RAUM · unset to 145579370.0
        Oct 31, 2012 to Jan 4, 2013
      • Related broker-dealer · false to true
        Oct 31, 2012 to Jan 4, 2013
      • Advisory employees · unset to 1.0
        Sep 24, 2012 to Oct 31, 2012
      • BD registered reps · unset to 0.0
        Sep 24, 2012 to Oct 31, 2012
      • Employees · unset to 1.0
        Sep 24, 2012 to Oct 31, 2012
      • State-registered IARs · unset to 0.0
        Sep 24, 2012 to Oct 31, 2012
      Signals
      1 dated events
      • C•• W••••• A•••••••• L••••• filed its initial SEC registration (Form ADV)
        Sep 6, 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