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••• S••••• M••••••••• C•••••••••

Former SEC-registered adviserDarien, ConnecticutCRD 169187SEC 801-78754IAPD
Latest filing Mar 31, 2021
First filing on the tape Oct 25, 2013 · 23 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$6.1M as of Mar 22, 2019
Feb 3, 2014$267M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Feb 3, 20140 then
Employees (5.A)4 as of Mar 31, 2021
Feb 3, 20144 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2021; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
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 assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • controlled by a public reporting company (10.A)
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
0reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
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
      • M••••• R•••••• P••••• · President & Senior Portfolio Managercontrol
        since 10/2013 · owns less than 5%
      • C•••••• S••••• M•••• · Shareholdercontrol
        since 03/1989 · owns 25% to 50% of M••••• W••••••• H•••••• C••• I•••
      • M••••• P•••••• M••••• · Shareholdercontrol
        since 03/1989 · owns 25% to 50% of M••••• W••••••• H•••••• C••• I•••
      • M••••• R•••••• B•••••• · Shareholdercontrol
        since 03/1989 · owns 25% to 50% of M••••• W••••••• H•••••• C••• I•••
      • M••••• S••••• C••••••• · Shareholdercontrol
        since 12/1986 · owns 25% to 50% of M••••• W••••••• H•••••• C••• I•••
      • M••••••••• I••• A••••• · Cco & Executive Vice President
        since 03/2017 · owns less than 5%
      Entity owners
      • M••••• W••••••• H•••••• C••• I••• · Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list W••• S••••• M••••••••• C••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HNW clients · unset to 0.0
        Apr 17, 2020 to Mar 31, 2021
      • HQ city · NEW YORK to DARIEN
        Apr 17, 2020 to Mar 31, 2021
      • HQ state · NY to CT
        Apr 17, 2020 to Mar 31, 2021
      • HNW RAUM · unset to 0.0
        Apr 17, 2020 to Mar 31, 2021
      • Accounts · 1.0 to unset
        Mar 22, 2019 to Apr 17, 2020
      • Other offices · 1 to 0
        Mar 22, 2019 to Apr 17, 2020
      • Discretionary RAUM · 6145570.0 to unset
        Mar 22, 2019 to Apr 17, 2020
      • Non-discretionary RAUM · 0.0 to unset
        Mar 22, 2019 to Apr 17, 2020
      • RAUM · 6145570.0 to unset
        Mar 22, 2019 to Apr 17, 2020
      • Advisory employees · 3 to 4
        Mar 29, 2018 to Mar 22, 2019
      • Employees · 3 to 4
        Mar 29, 2018 to Mar 22, 2019
      • Discretionary RAUM · $6.6M to $6.1M
        Mar 29, 2018 to Mar 22, 2019
      • RAUM · $6.6M to $6.1M
        Mar 29, 2018 to Mar 22, 2019
      • Other offices · unset to 1.0
        Mar 23, 2017 to Mar 29, 2018
      • Discretionary RAUM · $4.3M to $6.6M
        Mar 23, 2017 to Mar 29, 2018
      • RAUM · $4.3M to $6.6M
        Mar 23, 2017 to Mar 29, 2018
      • Advisory employees · 7 to 3
        Jan 11, 2017 to Mar 23, 2017
      • Employees · 8 to 3
        Jan 11, 2017 to Mar 23, 2017
      • Discretionary RAUM · $4.1M to $4.3M
        Jan 11, 2017 to Mar 23, 2017
      • RAUM · $4.1M to $4.3M
        Jan 11, 2017 to Mar 23, 2017
      • Advisory employees · 3 to 7
        Feb 4, 2016 to Jan 11, 2017
      • Employees · 4 to 8
        Feb 4, 2016 to Jan 11, 2017
      • Discretionary RAUM · $3.0M to $4.1M
        Feb 4, 2016 to Jan 11, 2017
      • RAUM · $3.0M to $4.1M
        Feb 4, 2016 to Jan 11, 2017
      • Discretionary RAUM · $2.8M to $3.0M
        Dec 8, 2015 to Jan 8, 2016
      • RAUM · $2.8M to $3.0M
        Dec 8, 2015 to Jan 8, 2016
      • Accounts · 164 to 80
        Oct 6, 2015 to Dec 8, 2015
      • Advisory employees · 6 to 7
        Oct 6, 2015 to Dec 8, 2015
      • Employees · 7 to 8
        Oct 6, 2015 to Dec 8, 2015
      • Discretionary RAUM · $294M to $106M
        Oct 6, 2015 to Dec 8, 2015
      • RAUM · $294M to $106M
        Oct 6, 2015 to Dec 8, 2015
      • Accounts · 80 to 1
        Dec 8, 2015 to Dec 8, 2015
      • Advisory employees · 7 to 3
        Dec 8, 2015 to Dec 8, 2015
      • Advisory activities · 3 to 1
        Dec 8, 2015 to Dec 8, 2015
      • Employees · 8 to 4
        Dec 8, 2015 to Dec 8, 2015
      • Discretionary RAUM · $106M to $2.8M
        Dec 8, 2015 to Dec 8, 2015
      • RAUM · $106M to $2.8M
        Dec 8, 2015 to Dec 8, 2015
      • Accounts · 131 to 164
        May 19, 2015 to Oct 6, 2015
      • Advisory employees · 5 to 6
        May 19, 2015 to Oct 6, 2015
      • Employees · 6 to 7
        May 19, 2015 to Oct 6, 2015
      Signals
      1 dated events
      • W••• S••••• M••••••••• C••••••••• filed its initial SEC registration (Form ADV)
        Oct 25, 2013 · 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