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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SEC-registered adviser
H••••• W•• C•••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape May 11, 2016 · 12 filings
SEC status approved since May 16, 2016
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.4B
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$1.4B as of Mar 30, 2026
Mar 31, 2017$270M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 31, 20170 then
Employees (5.A)10 as of Mar 30, 2026
Mar 31, 20174 then
Private funds4 as of Mar 30, 2026
Mar 31, 20173 then
RAUM +27% over the last fiscal year+31% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $1.4BderivedRAUM 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
- $201MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 10.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.4B, 7 clientsreportedItem 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
- 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.4B for 7 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• M•••••• H•••• | Dallas, Tx | Dec 23, 2014 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••• W•• C•••••••• F•••• L• | Hedge Fund | $383M | 61 | May 11, 2016 |
| H•• L••• M••••• F••• L• | Hedge Fund | $153M | 6 | Mar 29, 2024 |
| H••••• W•• C•••••• P•••••••• L• | Hedge Fund | $152M | 29 | May 11, 2016 |
| H••••• W•• O••••••• M••••••••• L• | Hedge Fund | $90.7M | 13 | Mar 31, 2017 |
Owners and control persons
Schedule A and B, latest filing
- B•••• C•••••• E•••••••• · Chief Compliance Officer, Chief Financial Officercontrolsince 07/2014 · owns less than 5%
- D••••••• K••••• C•••••• · Chief Operating Officercontrolsince 09/2019 · owns less than 5%
- H••••• W••••••• M•••••• · Manager - Membercontrolsince 06/2014 · owns 75% or more
Related persons
Schedule D 7.A
- H••••• W•• G•• L•bankpooled vehicle sponsorn
- H• E••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 6Mar 28, 2025 to Mar 30, 2026
- Assets in custody · $1.1B to $1.4BMar 28, 2025 to Mar 30, 2026
- Employees · 8 to 10Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.1B to $1.4BMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.1B to $1.4BMar 28, 2025 to Mar 30, 2026
- RAUM · $1.1B to $1.4BMar 28, 2025 to Mar 30, 2026
- Assets in custody · $779M to $1.1BMar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $779M to $1.1BMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $779M to $1.1BMar 29, 2024 to Mar 28, 2025
- RAUM · $779M to $1.1BMar 29, 2024 to Mar 28, 2025
- Accounts · 4 to 7Mar 30, 2023 to Mar 29, 2024
- Pooled vehicle clients · 4 to 7Mar 30, 2023 to Mar 29, 2024
- Assets in custody · $626M to $779MMar 30, 2023 to Mar 29, 2024
- Private funds · 3 to 4Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $626M to $779MMar 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $626M to $779MMar 30, 2023 to Mar 29, 2024
- RAUM · $626M to $779MMar 30, 2023 to Mar 29, 2024
- Advisory employees · 5 to 4Mar 30, 2022 to Mar 30, 2023
- Assets in custody · $682M to $626MMar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $682M to $626MMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $682M to $626MMar 30, 2022 to Mar 30, 2023
- RAUM · $682M to $626MMar 30, 2022 to Mar 30, 2023
- Assets in custody · $525M to $682MMar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $525M to $682MMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $525M to $682MMar 31, 2021 to Mar 30, 2022
- RAUM · $525M to $682MMar 31, 2021 to Mar 30, 2022
- Assets in custody · $421M to $525MMar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $421M to $525MMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $421M to $525MMar 30, 2020 to Mar 31, 2021
- RAUM · $421M to $525MMar 30, 2020 to Mar 31, 2021
- Assets in custody · $307M to $421MMar 29, 2019 to Mar 30, 2020
- Employees · 7 to 8Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $307M to $421MMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $307M to $421MMar 29, 2019 to Mar 30, 2020
- RAUM · $307M to $421MMar 29, 2019 to Mar 30, 2020
- Advisory employees · 4 to 5Oct 30, 2018 to Mar 29, 2019
- Assets in custody · $330M to $307MOct 30, 2018 to Mar 29, 2019
- Employees · 5 to 7Oct 30, 2018 to Mar 29, 2019
- Discretionary RAUM · $330M to $307MOct 30, 2018 to Mar 29, 2019
Signals
6 dated events
- H••••• W•• C•••••• M••••••••• L•• reported RAUM $1.4B, up 27% from $1.1B (2025-03-28 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- H••••• W•• C•••••• M••••••••• L•• reported RAUM $1.1B, up 42% from $778.6M (2024-03-29 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- H••••• W•• C•••••• M••••••••• L•• reported RAUM $682.2M, up 30% from $524.5M (2021-03-31 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- H••••• W•• C•••••• M••••••••• L•• reported RAUM $420.6M, up 37% from $307.0M (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Clement Katie Dillard (Chief Operating Officer) appeared on Schedule A of H••••• W•• C•••••• M••••••••• L••Mar 30, 2020 · Control person joined · fact
- H••••• W•• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 11, 2016 · 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.
How to reach
public business contact points only, each with its source
- Website
- w••.h••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (214) 984-5180reportedpublic record, Form ADV, Mar 30, 2026
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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.4Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026