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••••••••• M••••••••• C••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 172386SEC 801-80256IAPD
Latest filing Mar 29, 2018
First filing on the tape Aug 19, 2014 · 11 filings
RAUM
$17B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.3%
$46.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
11 filings and snapshots on the tape
RAUM$17B as of Mar 29, 2018
Mar 27, 2015$15B then
HNW client RAUM: $46.6M
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 27, 20150 then
Employees (5.A)0 as of Mar 29, 2018
Mar 27, 20150 then
Private funds: no history
RAUM +14% over the last fiscal year+3.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2018; 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
$314MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
58%derivedpensions, 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
+14%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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 a broker-dealer (6.A.1)
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$6.9B42%
  • Sovereign wealth funds$4.9B29%
  • Pension and profit-sharing plans$4.6B28%
  • Insurance companies$134M0.8%
  • High-net-worth individuals$46.6M0.3%
  • Charitable organizations$11.3M0.1%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
15reported
Charitable clients
n/areported
Accounts
53reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      • B••••••••• K••••••• J• · Member Of Management Committeecontrol
        since 08/2014 · owns less than 5%
      • M••••••• B••••• T•••••• · Member Of Management Committeecontrol
        since 08/2014 · owns less than 5%
      • M••••••• A•••• J••••• · Member Of Management Committeecontrol
        since 08/2014 · owns less than 5%
      • M••••• C••••••••• M•••••• · Member Of Management Committeecontrol
        since 01/2015 · owns less than 5%
      • O•••••••• S•••••• S•••••• · Member Of Management Committeecontrol
        since 08/2014 · owns less than 5%
      • P•••••••• I•••••••• M•••• · Member Of Management Committeecontrol
        since 12/2017 · owns less than 5%
      • P••••••••• M••••••• H••••• · Member Of Management Committeecontrol
        since 08/2014 · owns less than 5%
      • P••••• S••••• M••••• · Member Of Management Committeecontrol
        since 08/2014 · owns less than 5%
      • S•••• A•••••• M••••••• · Member Of Management Committeecontrol
        since 08/2014 · owns less than 5%
      • T•••••• M••••••• C••••• · Member Of Management Committeecontrol
        since 08/2014 · owns less than 5%
      • F•••••• S••••••••• A•••••• · Chief Compliance Officer
        since 06/2014 · owns less than 5%
      Entity owners
      • W••••••••• I••••••••• A••••••• H••••••• L•• · Member Of LLC
        direct · owns 75% or more
      • W••••••••• G•••• H••••••• L•• · Managing Partner
        indirect · owns 75% or more of W••••••••• I••••••••• A••••••• H••••••• L••
      • W••••••••• M••••••••• G•••• L•• · Managing Partner
        indirect · owns 75% or more of W••••••••• G•••• H••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory activities · 3 to 2
        Mar 30, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 15.0
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 20.0
        Mar 30, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Discretionary RAUM · $15B to $17B
        Mar 30, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 46554800.0
        Mar 30, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 4640846152.0
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 6921029969.0
        Mar 30, 2017 to Mar 29, 2018
      • RAUM · $15B to $17B
        Mar 30, 2017 to Mar 29, 2018
      • Accounts · 52 to 53
        Mar 8, 2017 to Mar 30, 2017
      • Discretionary RAUM · $14B to $15B
        Mar 8, 2017 to Mar 30, 2017
      • RAUM · $14B to $15B
        Mar 8, 2017 to Mar 30, 2017
      • Accounts · 47 to 52
        Mar 27, 2015 to Mar 29, 2016
      • Discretionary RAUM · $15B to $14B
        Mar 27, 2015 to Mar 29, 2016
      • RAUM · $15B to $14B
        Mar 27, 2015 to Mar 29, 2016
      • Accounts · 48 to 47
        Feb 20, 2015 to Mar 27, 2015
      • Discretionary RAUM · $15B to $15B
        Feb 20, 2015 to Mar 27, 2015
      • RAUM · $15B to $15B
        Feb 20, 2015 to Mar 27, 2015
      • Accounts · unset to 48.0
        Sep 24, 2014 to Jan 2, 2015
      • Discretionary RAUM · unset to 14844636238.0
        Sep 24, 2014 to Jan 2, 2015
      • Non-discretionary RAUM · unset to 0.0
        Sep 24, 2014 to Jan 2, 2015
      • RAUM · unset to 14844636238.0
        Sep 24, 2014 to Jan 2, 2015
      Signals
      1 dated events
      • W••••••••• M••••••••• C••••• L•• filed its initial SEC registration (Form ADV)
        Aug 19, 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