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.
SEC-registered adviser
C•••••••• W••••• M••••••••• L••
Latest filing Apr 2, 2026
First filing on the tape Mar 31, 2021 · 10 filings
SEC status approved since Apr 30, 2021
RAUM
$31.8M
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
100%
$31.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$31.8M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$31.8M as of Apr 2, 2026
Apr 8, 2022$34.4M then
HNW client RAUM$29.9M as of Apr 2, 2026
Apr 8, 2022$27.1M then
State-registered IARs (5.B.3)1 as of Apr 2, 2026
Apr 8, 20221 then
Employees (5.A)1 as of Apr 2, 2026
Apr 8, 20221 then
Private funds: no history
RAUM +7.4% over the last fiscal year+7.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 2, 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
- $31.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $361,602derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 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)
- 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
- High-net-worth individuals$29.9M94%
- Individuals$1.9M6.1%
- Individual clients
- 11reported
- HNW clients
- 15reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 88reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••• E•• L•••••• | C••••••••, Ny | Nov 7, 2019 | 31 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• M•••••• E•• · Owner, Chief Compliance Officercontrolsince 07/2014 · owns 75% or more
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 · 93 to 88Apr 3, 2025 to Apr 2, 2026
- HNW clients · 17 to 15Apr 3, 2025 to Apr 2, 2026
- Individual clients · 9 to 11Apr 3, 2025 to Apr 2, 2026
- Pension plan clients · 2.0 to unsetApr 3, 2025 to Apr 2, 2026
- Discretionary RAUM · $23.8M to $25.6MApr 3, 2025 to Apr 2, 2026
- HNW RAUM · $21.5M to $29.9MApr 3, 2025 to Apr 2, 2026
- Individual RAUM · $3.4M to $1.9MApr 3, 2025 to Apr 2, 2026
- Non-discretionary RAUM · $5.8M to $6.2MApr 3, 2025 to Apr 2, 2026
- Pension RAUM · 4682832.0 to unsetApr 3, 2025 to Apr 2, 2026
- RAUM · $29.6M to $31.8MApr 3, 2025 to Apr 2, 2026
- Accounts · 103 to 93Apr 1, 2024 to Apr 3, 2025
- Pension plan clients · unset to 2.0Apr 1, 2024 to Apr 3, 2025
- Financial planning clients · 1-10 to 1-10Apr 1, 2024 to Apr 3, 2025
- Discretionary RAUM · $22.7M to $23.8MApr 1, 2024 to Apr 3, 2025
- HNW RAUM · $20.1M to $21.5MApr 1, 2024 to Apr 3, 2025
- Individual RAUM · $3.7M to $3.4MApr 1, 2024 to Apr 3, 2025
- Non-discretionary RAUM · $5.1M to $5.8MApr 1, 2024 to Apr 3, 2025
- Pension RAUM · $4.0M to $4.7MApr 1, 2024 to Apr 3, 2025
- RAUM · $27.9M to $29.6MApr 1, 2024 to Apr 3, 2025
- Accounts · 102 to 103Apr 3, 2023 to Apr 1, 2024
- Discretionary RAUM · $21.4M to $22.7MApr 3, 2023 to Apr 1, 2024
- HNW RAUM · $19.0M to $20.1MApr 3, 2023 to Apr 1, 2024
- Individual RAUM · $3.3M to $3.7MApr 3, 2023 to Apr 1, 2024
- Non-discretionary RAUM · $4.1M to $5.1MApr 3, 2023 to Apr 1, 2024
- Pension RAUM · $3.2M to $4.0MApr 3, 2023 to Apr 1, 2024
- RAUM · $25.6M to $27.9MApr 3, 2023 to Apr 1, 2024
- Accounts · 99 to 102May 10, 2022 to Apr 3, 2023
- Discretionary RAUM · $24.5M to $21.4MMay 10, 2022 to Apr 3, 2023
- HNW RAUM · $22.2M to $19.0MMay 10, 2022 to Apr 3, 2023
- Individual RAUM · $3.6M to $3.3MMay 10, 2022 to Apr 3, 2023
- Non-discretionary RAUM · $5.1M to $4.1MMay 10, 2022 to Apr 3, 2023
- Pension RAUM · $3.6M to $3.2MMay 10, 2022 to Apr 3, 2023
- RAUM · $29.5M to $25.6MMay 10, 2022 to Apr 3, 2023
- Accounts · 106 to 99Apr 8, 2022 to May 10, 2022
- HNW RAUM · $27.1M to $22.2MApr 8, 2022 to May 10, 2022
- Non-discretionary RAUM · $10.0M to $5.1MApr 8, 2022 to May 10, 2022
- RAUM · $34.4M to $29.5MApr 8, 2022 to May 10, 2022
- Accounts · 103 to 106Apr 2, 2021 to Apr 8, 2022
- BD registered reps · 1 to 0Apr 2, 2021 to Apr 8, 2022
- Charity clients · 0.0 to unsetApr 2, 2021 to Apr 8, 2022
Signals
1 dated events
- C•••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 31, 2021 · 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
- Business email
- info@cwllc.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- mitlockrow@cwllc.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 518-677-3781reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 844-225-2963reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/C••••••••-WEALTH-MANAGEMENTreportedpublic record, Form ADV, Sep 19, 2026
- Website
- CWLLC.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 518-677-3781reportedpublic record, Form ADV, Apr 2, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $31.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026