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••••••••• S•••••••• P•• L••
Legal name W••••••••• M••••••••• S•••••••• P••• L•••
Latest filing May 5, 2023
First filing on the tape Aug 19, 2014 · 28 filings
RAUM
$29B
reported, Item 5.F
Discretionary
93%
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
100
39 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$1.9B gross assets
History
28 filings and snapshots on the tape
RAUM$29B as of Mar 31, 2023
Mar 27, 2015$11B then
HNW client RAUM$0 as of Mar 31, 2023
Mar 29, 2018$103M then
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 27, 20150 then
Employees (5.A)100 as of Mar 31, 2023
Mar 27, 201536 then
Private funds4 as of Mar 31, 2023
Mar 29, 20163 then
RAUM -26% over the last fiscal year+5.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 5, 2023; 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
- $460MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 65%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
- -26%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$10B35%
- Sovereign wealth funds$8.6B29%
- Pooled investment vehicles$5.4B18%
- Other investment advisers$5.0B17%
- Charitable organizations$67.6M0.2%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 64reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•• K•• O• K•••• · Directorcontrolsince 05/2020 · owns less than 5%
- C••••• P••••••• P••• · Directorcontrolsince 09/2021 · owns less than 5%
- D••••••••• C•••••• M••••••• · Directorcontrolsince 05/2014 · owns less than 5%
- D•••••• M•••••• · Directorcontrolsince 09/2021 · owns less than 5%
- M••••••• C•••• · Directorcontrolsince 09/2021 · owns less than 5%
- P•••••• J••••• S••••• · Directorcontrolsince 11/2017 · owns less than 5%
- T•••••••• C• A• · Directorcontrolsince 09/2021 · owns less than 5%
- T•••• H•• Y•• K•••• · Directorcontrolsince 05/2020 · owns less than 5%
- T••••••• V•••••• E•••••• N••• · Directorcontrolsince 09/2021 · owns less than 5%
- A••• A•••• · Chief Compliance Officersince 07/2021 · owns less than 5%
Entity owners
- W••••••••• M••••••••• G••••• H•••••••• L••• · Shareholderdirect · owns 75% or more
- W••••••••• G•••• H••••••• L•• · Managing Partnerindirect · owns 75% or more of W••••••••• M••••••••• G•••• L••
- W••••••••• I••••••••• A••••••• H••••••• L•• · Shareholderindirect · owns 75% or more of W••••••••• M••••••••• G••••• H•••••••• L•••
- W••••••••• M••••••••• G•••• L•• · Managing Partnerindirect · owns 75% or more of W••••••••• G•••• H••••••• L••
Related persons
Schedule D 7.A
- C•••••• I••••••••• I• C•••••••• G• L••investment adviserpooled vehicle sponsorn
- W••••••••• A••••••••• I••••••••• G• L••• S•••• G••••• L••••••••• S•• R•••pooled vehicle sponsorn
- W••••••••• A••••••••• I•••••••••investment adviserbankpooled vehicle sponsornRAUM $92B
- W••••••••• B••••••••• I••••••••• I• G• L•••investment adviserpooled vehicle sponsorn
- W••••••••• C•••••• I••••••••• I• G• L•••investment adviserpooled vehicle sponsorn
- W••••••••• C•• G• L••investment adviserpooled vehicle sponsorn
- W••••••••• C•• M••••••••• L••investment advisern
- W••••••••• F•••• ••• L••investment adviserbankpooled vehicle sponsornRAUM $5.4B
- W••••••••• F•••• D••••••••• I•••broker-dealern
- W••••••••• G••••• P•••••• F••• M••••••••• ••••••••• L••••••pooled vehicle sponsorn
- W••••••••• H••••• H••••• I• G• L•••investment adviserpooled vehicle sponsorn
- W••••••••• L••••••••• S•• R•••investment adviserpooled vehicle sponsorn
- W••••••••• M••••••••• A•••••••• P•• L••investment advisern
- W••••••••• M••••••••• C••••• U••investment advisern
- W••••••••• M••••••••• C•••••• L••investment adviserbanknRAUM $1428B
- W••••••••• M••••••••• E••••• G•••investment adviserbankn
- W••••••••• M••••••••• F•••• L••investment adviserpooled vehicle sponsorn
- W••••••••• M••••••••• H••• K••• L••••••investment adviserbanknRAUM $14B
- W••••••••• M••••••••• I••••••••• L••investment adviserbanknRAUM $101B
- W••••••••• M••••••••• J•••• P•• L••investment adviserbanknRAUM $18B
- W••••••••• M••••••••• S••••••••• G•••investment advisern
- W••••••••• P•••••• F••• M••••••••• ••••••••• L••••••pooled vehicle sponsorn
- W••••••••• T•••• C••••••• N•custodiann
- W••••••••• V•••••• I••••••••• I• G• L•••investment adviserpooled vehicle sponsorn
Advisers that list W••••••••• M••••••••• S•••••••• P•• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 92 to 64Apr 12, 2022 to Mar 31, 2023
- Advisory employees · 36 to 39Apr 12, 2022 to Mar 31, 2023
- Charity clients · 0 to 1Apr 12, 2022 to Mar 31, 2023
- Corporate clients · 1.0 to unsetApr 12, 2022 to Mar 31, 2023
- Pension plan clients · 3 to 0Apr 12, 2022 to Mar 31, 2023
- Pooled vehicle clients · 36 to 15Apr 12, 2022 to Mar 31, 2023
- Employees · 77 to 100Apr 12, 2022 to Mar 31, 2023
- Private funds · 3 to 4Apr 12, 2022 to Mar 31, 2023
- Discretionary RAUM · $36B to $27BApr 12, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $3.4B to $2.1BApr 12, 2022 to Mar 31, 2023
- Pension RAUM · 137099502.0 to unsetApr 12, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $12B to $5.4BApr 12, 2022 to Mar 31, 2023
- RAUM · $40B to $29BApr 12, 2022 to Mar 31, 2023
- Accounts · 127 to 92Sep 16, 2021 to Mar 31, 2022
- Advisory employees · 35 to 36Sep 16, 2021 to Mar 31, 2022
- Corporate clients · 0 to 1Sep 16, 2021 to Mar 31, 2022
- Pension plan clients · 13 to 3Sep 16, 2021 to Mar 31, 2022
- Pooled vehicle clients · 41 to 36Sep 16, 2021 to Mar 31, 2022
- Employees · 72 to 77Sep 16, 2021 to Mar 31, 2022
- Discretionary RAUM · $31B to $36BSep 16, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $3.6B to $3.4BSep 16, 2021 to Mar 31, 2022
- Pension RAUM · $479M to $137MSep 16, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $12B to $12BSep 16, 2021 to Mar 31, 2022
- RAUM · $35B to $40BSep 16, 2021 to Mar 31, 2022
- Accounts · 100 to 127Jan 6, 2021 to Mar 31, 2021
- Advisory employees · 37 to 35Jan 6, 2021 to Mar 31, 2021
- Charity clients · unset to 0.0Jan 6, 2021 to Mar 31, 2021
- Corporate clients · unset to 0.0Jan 6, 2021 to Mar 31, 2021
- Pension plan clients · 12 to 13Jan 6, 2021 to Mar 31, 2021
- Pooled vehicle clients · 32 to 41Jan 6, 2021 to Mar 31, 2021
- Employees · 67 to 72Jan 6, 2021 to Mar 31, 2021
- Discretionary RAUM · $22B to $31BJan 6, 2021 to Mar 31, 2021
- Non-discretionary RAUM · $2.8B to $3.6BJan 6, 2021 to Mar 31, 2021
- Pension RAUM · $333M to $479MJan 6, 2021 to Mar 31, 2021
- Pooled vehicle RAUM · $9.2B to $12BJan 6, 2021 to Mar 31, 2021
- RAUM · $24B to $35BJan 6, 2021 to Mar 31, 2021
- Accounts · 102 to 100May 8, 2020 to Nov 13, 2020
- Pension plan clients · 14 to 12May 8, 2020 to Nov 13, 2020
- Discretionary RAUM · $22B to $22BMay 8, 2020 to Nov 13, 2020
- Pension RAUM · $898M to $333MMay 8, 2020 to Nov 13, 2020
Signals
28 dated events
- W••••••••• M••••••••• S•••••••• P•• L•• reported RAUM $29.4B, down 26% from $39.9B (2022-04-12 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Kar On K•••• Au (Director) appeared on Schedule A of W••••••••• M••••••••• S•••••••• P•• L••Mar 31, 2023 · Control person joined · fact
- Paul Patrick Caron (Director) appeared on Schedule A of W••••••••• M••••••••• S•••••••• P•• L••Mar 31, 2023 · Control person joined · fact
- Colin Mazzola (Director) appeared on Schedule A of W••••••••• M••••••••• S•••••••• P•• L••Mar 31, 2023 · Control person joined · fact
- A C Taglione (Director) appeared on Schedule A of W••••••••• M••••••••• S•••••••• P•• L••Mar 31, 2023 · Control person joined · fact
- N••• V•••••• E••••• T•••••• (Director) appeared on Schedule A of W••••••••• M••••••••• S•••••••• P•• L••Mar 31, 2023 · Control person joined · fact
- A C Taglione (Director) no longer on Schedule A of W••••••••• M••••••••• S•••••••• P•• L•• (listed 2021-09-16, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Paul Patrick Caron (Director) no longer on Schedule A of W••••••••• M••••••••• S•••••••• P•• L•• (listed 2021-09-16, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Colin Mazzola (Director) no longer on Schedule A of W••••••••• M••••••••• S•••••••• P•• L•• (listed 2021-09-16, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- N••• V•••••• E••••• T•••••• (Director) no longer on Schedule A of W••••••••• M••••••••• S•••••••• P•• L•• (listed 2021-09-16, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Paul Patrick Caron (Director) appeared on Schedule A of W••••••••• M••••••••• S•••••••• P•• L••Sep 16, 2021 · Control person joined · fact
- M•••••• D••••• (Director) appeared on Schedule A of W••••••••• M••••••••• S•••••••• P•• L••Sep 16, 2021 · Control person joined · fact
- Colin Mazzola (Director) appeared on Schedule A of W••••••••• M••••••••• S•••••••• P•• L••Sep 16, 2021 · Control person joined · fact
- N••• V•••••• E••••• T•••••• (Director) appeared on Schedule A of W••••••••• M••••••••• S•••••••• P•• L••Sep 16, 2021 · Control person joined · fact
- A C Taglione (Director) appeared on Schedule A of W••••••••• M••••••••• S•••••••• P•• L••Sep 16, 2021 · Control person joined · fact
- Timothy Daire Dunne (Director) no longer on Schedule A of W••••••••• M••••••••• S•••••••• P•• L•• (listed 2021-07-01, absent 2021-09-16)Sep 16, 2021 · Control person left · inference
- Cameron Scott Geary (Director) no longer on Schedule A of W••••••••• M••••••••• S•••••••• P•• L•• (listed 2021-07-01, absent 2021-09-16)Sep 16, 2021 · Control person left · inference
- Mary Aisling Freiheit (Director) no longer on Schedule A of W••••••••• M••••••••• S•••••••• P•• L•• (listed 2021-07-01, absent 2021-09-16)Sep 16, 2021 · Control person left · inference
- E••••• J••• B•••• (Director) no longer on Schedule A of W••••••••• M••••••••• S•••••••• P•• L•• (listed 2021-07-01, absent 2021-09-16)Sep 16, 2021 · Control person left · inference
- Kar On K•••• Au (Director) no longer on Schedule A of W••••••••• M••••••••• S•••••••• P•• L•• (listed 2021-03-31, absent 2021-07-01)Jul 1, 2021 · Control person left · inference
- W••••••••• M••••••••• S•••••••• P•• L•• reported RAUM $34.7B, up 42% from $24.4B (2021-01-06 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Todd Adam Puritz (Director) no longer on Schedule A of W••••••••• M••••••••• S•••••••• P•• L•• (listed 2020-11-13, absent 2021-01-06)Jan 6, 2021 · Control person left · inference
- Hoi Yee K•••• T••• (Director) appeared on Schedule A of W••••••••• M••••••••• S•••••••• P•• L••May 8, 2020 · Control person joined · fact
- Matthew Scott Lopez (Director) no longer on Schedule A of W••••••••• M••••••••• S•••••••• P•• L•• (listed 2020-03-30, absent 2020-05-08)May 8, 2020 · Control person left · inference
- Mary Cynthia Clarke (Director) no longer on Schedule A of W••••••••• M••••••••• S•••••••• P•• L•• (listed 2018-05-15, absent 2019-02-01)Feb 1, 2019 · Control person left · inference
- E••••• J••• B•••• (Director) appeared on Schedule A of W••••••••• M••••••••• S•••••••• P•• L••Feb 1, 2019 · Control person joined · fact
- W••••••••• M••••••••• S•••••••• P•• L•• reported RAUM $20.9B, up 44% from $14.5B (2017-11-20 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- W••••••••• M••••••••• S•••••••• P•• 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