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

W••••••• C•••••• L••

Former SEC-registered adviserRichmond, TexasCRD 168266SEC 801-110322IAPD
Latest filing Jul 22, 2022
First filing on the tape Mar 30, 2017 · 21 filings
RAUM
$205M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.5%
$1.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$205M as of Mar 25, 2022
Mar 9, 2018$243M then
HNW client RAUM$1.0M as of Mar 25, 2022
Mar 9, 2018$237M then
State-registered IARs (5.B.3)2 as of Mar 25, 2022
Mar 9, 20185 then
Employees (5.A)2 as of Mar 25, 2022
Mar 9, 20186 then
Private funds: no history
RAUM +37% over the last fiscal year-8.4% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Jul 22, 2022; every figure names its basis
RAUM per advisor
$205MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
3derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$333,333derivedHNW RAUM over HNW clients
Average account
$41.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+37%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-25%derived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, otherreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$204M100%
  • High-net-worth individuals$1.0M0.5%
Individual clients
0reported
HNW clients
3reported
Pension plan clients
0reported
Charitable clients
0reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • R•••• R•••••• J••• · Managing Member/Ccocontrol
    since 08/2008 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Insurance-licensed employees · 1 to 0
    Jun 16, 2022 to Jul 22, 2022
  • Advisory employees · 2 to 1
    Mar 25, 2022 to Jun 16, 2022
  • Employees · 2 to 1
    Mar 25, 2022 to Jun 16, 2022
  • Insurance-licensed employees · 2 to 1
    Mar 25, 2022 to Jun 16, 2022
  • State-registered IARs · 2 to 1
    Mar 25, 2022 to Jun 16, 2022
  • Accounts · 4 to 5
    Mar 16, 2021 to Mar 25, 2022
  • HNW clients · 4 to 3
    Mar 16, 2021 to Mar 25, 2022
  • Pooled vehicle clients · 0 to 2
    Mar 16, 2021 to Mar 25, 2022
  • Discretionary RAUM · $150M to $205M
    Mar 16, 2021 to Mar 25, 2022
  • HNW RAUM · $150M to $1.0M
    Mar 16, 2021 to Mar 25, 2022
  • Pooled vehicle RAUM · $0 to $204M
    Mar 16, 2021 to Mar 25, 2022
  • RAUM · $150M to $205M
    Mar 16, 2021 to Mar 25, 2022
  • Accounts · 49 to 4
    Jun 22, 2020 to Mar 16, 2021
  • HNW clients · 48 to 4
    Jun 22, 2020 to Mar 16, 2021
  • Discretionary RAUM · $263M to $150M
    Jun 22, 2020 to Mar 16, 2021
  • HNW RAUM · $263M to $150M
    Jun 22, 2020 to Mar 16, 2021
  • RAUM · $263M to $150M
    Jun 22, 2020 to Mar 16, 2021
  • Accounts · 20 to 49
    Mar 14, 2019 to Mar 11, 2020
  • HNW clients · 18 to 48
    Mar 14, 2019 to Mar 11, 2020
  • Pooled vehicle clients · 2 to 0
    Mar 14, 2019 to Mar 11, 2020
  • Discretionary RAUM · $267M to $263M
    Mar 14, 2019 to Mar 11, 2020
  • HNW RAUM · $89.0M to $263M
    Mar 14, 2019 to Mar 11, 2020
  • Individual RAUM · $60.0M to $0
    Mar 14, 2019 to Mar 11, 2020
  • RAUM · $267M to $263M
    Mar 14, 2019 to Mar 11, 2020
  • Accounts · 28 to 20
    Dec 19, 2018 to Mar 14, 2019
  • Business name · K••••••••• W••••• A••••••• L•• to W••••••• C•••••• L••
    Dec 19, 2018 to Mar 14, 2019
  • HNW clients · 23 to 18
    Dec 19, 2018 to Mar 14, 2019
  • Pooled vehicle clients · 1 to 2
    Dec 19, 2018 to Mar 14, 2019
  • Legal name · K••••••••• W••••• A••••••• L•• to W••••••• C•••••• L••
    Dec 19, 2018 to Mar 14, 2019
  • Discretionary RAUM · $228M to $267M
    Dec 19, 2018 to Mar 14, 2019
  • HNW RAUM · $5.0M to $89.0M
    Dec 19, 2018 to Mar 14, 2019
  • Individual RAUM · $0 to $60.0M
    Dec 19, 2018 to Mar 14, 2019
  • Pooled vehicle RAUM · $107M to $0
    Dec 19, 2018 to Mar 14, 2019
  • RAUM · $228M to $267M
    Dec 19, 2018 to Mar 14, 2019
  • Succession · true to false
    Dec 19, 2018 to Mar 14, 2019
  • Discretionary RAUM · $228M to $228M
    Sep 5, 2018 to Dec 19, 2018
  • Pooled vehicle RAUM · $114M to $107M
    Sep 5, 2018 to Dec 19, 2018
  • RAUM · $228M to $228M
    Sep 5, 2018 to Dec 19, 2018
  • Succession · false to true
    Sep 5, 2018 to Dec 19, 2018
  • Employees · 3 to 2
    Jul 23, 2018 to Sep 5, 2018
Signals
4 dated events
  • Jonathan Scott Solo no longer registered at W••••••• C•••••• L••; no later IA registration on IAPD
    Jul 22, 2022 · Advisor departure · fact
  • W••••••• C•••••• L•• reported RAUM $150.0M, down 43% from $263.0M (2020-06-22 to 2021-03-16)
    Mar 16, 2021 · RAUM change · derived
  • K••••••••• W••••• A••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Dec 19, 2018 · Succession (Item 4) · fact
  • K••••••••• W••••• A••••••• L•• filed its initial SEC registration (Form ADV)
    Mar 30, 2017 · 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