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•••• F•••••••• C•••••••••

Former SEC-registered adviserCRD 168305SEC 801-120984IAPD
Legal name A••••• A••••• C•••••••••
Latest filing Mar 18, 2023
First filing on the tape Mar 29, 2021 · 4 filings
RAUM
$211M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$211M
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$211M as of Mar 18, 2023
Mar 25, 2022$112M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2023
Mar 25, 20220 then
Employees (5.A)0 as of Mar 18, 2023
Mar 25, 20220 then
Private funds: no history
RAUM +88% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2023; every figure names its basis
RAUM per advisor
$211MderivedRAUM 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
$211MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+88%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, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • is an insurance broker or agent (6.A.6)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$211M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M••• L••••••• W••••Certified Financial PlannerOakland, CaJun 26, 201419 y3
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, 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••••• M•••• L••••••• · Chief Compliance Officercontrol
      since 12/2010 · 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
    • Non-discretionary RAUM · $112M to $211M
      Mar 25, 2022 to Mar 18, 2023
    • RAUM · $112M to $211M
      Mar 25, 2022 to Mar 18, 2023
    • Non-discretionary RAUM · $140M to $112M
      Apr 1, 2021 to Mar 25, 2022
    • RAUM · $140M to $112M
      Apr 1, 2021 to Mar 25, 2022
    • Related insurance company · true to false
      Apr 1, 2021 to Mar 25, 2022
    Signals
    1 dated events
    • W•••• F•••••••• C••••••••• filed its initial SEC registration (Form ADV)
      Mar 29, 2021 · 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.
    How to reach
    public business contact points only, each with its source
    Website
    walshfc.comreportedpublic record, Form ADV, Sep 18, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $211Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026