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••••••••• A•••••••• L••

Former SEC-registered adviserCRD 169354SEC 801-78820IAPD
Latest filing Apr 28, 2023
First filing on the tape Nov 12, 2013 · 21 filings
RAUM
$121M
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
5
4 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$121M as of Mar 22, 2023
Feb 6, 2014$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 22, 2023
Feb 6, 20140 then
Employees (5.A)5 as of Mar 22, 2023
Feb 6, 20142 then
Private funds: no history
RAUM -16% over the last fiscal year-12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 28, 2023; every figure names its basis
RAUM per advisor
$121MderivedRAUM 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
$121MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-16%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$121M100%
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 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
  • C••••••• A•••••• P••••••••• · Chief Compliance Officercontrol
    since 04/2015 · owns less than 5%
  • W••••••••• D•••••• L•••• · President And Chief Executive Officercontrol
    since 10/2013 · owns less than 5%
  • W••••••••• C••••• J••• · Trusteecontrol
    since 07/2014 · owns F of T•• W••••••••• F••••• G••• T••••
Entity owners
  • T•• W••••••••• F••••• G••• T•••• · Trust
    direct · owns 75% or more
Related persons
Schedule D 7.A
Advisers that list W••••••••• A•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • HQ city · PONTE VEDRA BEACH to unset
    Mar 22, 2023 to Apr 28, 2023
  • HQ state · FL to unset
    Mar 22, 2023 to Apr 28, 2023
  • Advisory employees · 6 to 4
    Apr 26, 2022 to Mar 22, 2023
  • BD registered reps · 2 to 0
    Apr 26, 2022 to Mar 22, 2023
  • Employees · 6 to 5
    Apr 26, 2022 to Mar 22, 2023
  • Insurance-licensed employees · 1 to 0
    Apr 26, 2022 to Mar 22, 2023
  • Financial planning clients · unset to 0
    Apr 26, 2022 to Mar 22, 2023
  • Discretionary RAUM · $145M to $121M
    Apr 26, 2022 to Mar 22, 2023
  • RAUM · $145M to $121M
    Apr 26, 2022 to Mar 22, 2023
  • Related broker-dealer · true to false
    Apr 26, 2022 to Mar 22, 2023
  • BD registered reps · 3 to 2
    Mar 23, 2022 to Apr 26, 2022
  • Employees · 7 to 6
    Mar 23, 2022 to Apr 26, 2022
  • Advisory employees · 4 to 6
    Mar 19, 2021 to Mar 23, 2022
  • BD registered reps · 5 to 3
    Mar 19, 2021 to Mar 23, 2022
  • Insurance-licensed employees · 2 to 1
    Mar 19, 2021 to Mar 23, 2022
  • State-registered IARs · 4 to 1
    Mar 19, 2021 to Mar 23, 2022
  • Discretionary RAUM · $161M to $145M
    Mar 19, 2021 to Mar 23, 2022
  • RAUM · $161M to $145M
    Mar 19, 2021 to Mar 23, 2022
  • Advisory employees · 8 to 4
    Oct 27, 2020 to Mar 19, 2021
  • Employees · 8 to 7
    Oct 27, 2020 to Mar 19, 2021
  • Insurance-licensed employees · 1 to 2
    Oct 27, 2020 to Mar 19, 2021
  • State-registered IARs · 3 to 4
    Oct 27, 2020 to Mar 19, 2021
  • Other offices · 1 to 0
    Oct 27, 2020 to Mar 19, 2021
  • Discretionary RAUM · $180M to $161M
    Oct 27, 2020 to Mar 19, 2021
  • RAUM · $180M to $161M
    Oct 27, 2020 to Mar 19, 2021
  • Advisory employees · 4 to 8
    Apr 22, 2019 to Mar 3, 2020
  • BD registered reps · 4 to 5
    Apr 22, 2019 to Mar 3, 2020
  • Employees · 6 to 8
    Apr 22, 2019 to Mar 3, 2020
  • State-registered IARs · 1 to 3
    Apr 22, 2019 to Mar 3, 2020
  • Discretionary RAUM · $119M to $180M
    Apr 22, 2019 to Mar 3, 2020
  • RAUM · $119M to $180M
    Apr 22, 2019 to Mar 3, 2020
  • HQ city · ALPHARETTA to PONTE VEDRA BEACH
    Apr 9, 2019 to Apr 22, 2019
  • HQ state · GA to FL
    Apr 9, 2019 to Apr 22, 2019
  • Other offices · 0 to 1
    Apr 9, 2019 to Apr 22, 2019
  • Advisory employees · 5 to 4
    Mar 23, 2018 to Mar 22, 2019
  • BD registered reps · 5 to 4
    Mar 23, 2018 to Mar 22, 2019
  • Employees · 7 to 6
    Mar 23, 2018 to Mar 22, 2019
  • Discretionary RAUM · $82.4M to $119M
    Mar 23, 2018 to Mar 22, 2019
  • RAUM · $82.4M to $119M
    Mar 23, 2018 to Mar 22, 2019
  • BD registered reps · 4 to 5
    Mar 23, 2017 to Mar 23, 2018
Signals
2 dated events
  • M••• C• D••••• left W••••••••• A•••••••• L•• for P••••••• C•••••• A••••••• (registered 2024-03-06)
    Mar 17, 2022 · Advisor changed firm · fact
  • W••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Nov 12, 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