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
B••• W•••• A•••••••
Legal name B••• W•••• A••••••• L••
Latest filing Mar 29, 2017
First filing on the tape Jul 30, 2014 · 14 filings
RAUM
$385M
reported, Item 5.F
Discretionary
89%
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
7
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$385M as of Mar 29, 2017
Jan 16, 2015$339M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 29, 2017
Jan 16, 20151 then
Employees (5.A)7 as of Mar 29, 2017
Jan 16, 20156 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 29, 2017; every figure names its basis
- RAUM per advisor
- $385MderivedRAUM 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
- $579,697derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%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 assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
- 664reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- M•• B••••••• H••••• to F•••• P••••••• W•••••• L••Dec 31, 2017 · Other
Joined, latest
- M•• B••••••• H••••• from E•••••••• A•••••••• L••Oct 8, 2014 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• M••• B••••••• · Managing Member And Foundercontrolsince 04/2014 · owns 75% or more
- W•••• J••••••• S•••••• · Chief Compliance Officercontrolsince 04/2014 · owns less than 5%
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
- Accounts · 524 to 664Jan 17, 2017 to Mar 29, 2017
- Employees · 6 to 7Jan 17, 2017 to Mar 29, 2017
- Discretionary RAUM · $297M to $344MJan 17, 2017 to Mar 29, 2017
- Non-discretionary RAUM · $39.5M to $40.9MJan 17, 2017 to Mar 29, 2017
- RAUM · $337M to $385MJan 17, 2017 to Mar 29, 2017
- Accounts · 493 to 524Mar 4, 2016 to Mar 29, 2016
- BD registered reps · 1 to 2Mar 4, 2016 to Mar 29, 2016
- Discretionary RAUM · $277M to $297MMar 4, 2016 to Mar 29, 2016
- Non-discretionary RAUM · $62.4M to $39.5MMar 4, 2016 to Mar 29, 2016
- RAUM · $339M to $337MMar 4, 2016 to Mar 29, 2016
- Business name · B••• W•••• A••••••• L•• to B••• W•••• A•••••••Aug 19, 2015 to Mar 4, 2016
- Financial planning clients · 26-50 to 101-250Mar 3, 2015 to Aug 19, 2015
- Accounts · 0 to 493Sep 29, 2014 to Jan 16, 2015
- Advisory employees · 4 to 5Sep 29, 2014 to Jan 16, 2015
- BD registered reps · 3 to 1Sep 29, 2014 to Jan 16, 2015
- Employees · 5 to 6Sep 29, 2014 to Jan 16, 2015
- Financial planning clients · 0 to 26-50Sep 29, 2014 to Jan 16, 2015
- Discretionary RAUM · $0 to $277MSep 29, 2014 to Jan 16, 2015
- Non-discretionary RAUM · $0 to $62.4MSep 29, 2014 to Jan 16, 2015
- RAUM · $0 to $339MSep 29, 2014 to Jan 16, 2015
Signals
1 dated events
- B••• W•••• A••••••• L•• filed its initial SEC registration (Form ADV)Jul 30, 2014 · 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