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
W•••••• C•••••• A••••••• L•••
Latest filing Mar 31, 2026
First filing on the tape Dec 3, 2014 · 15 filings
SEC status approved since Jan 6, 2015
RAUM
$2.3B
reported, Item 5.F
Discretionary
100%
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
43
18 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$2.3B as of Mar 31, 2026
Mar 22, 2016$11.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 22, 20160 then
Employees (5.A)43 as of Mar 31, 2026
Mar 22, 201619 then
Private funds6 as of Mar 31, 2026
Mar 22, 20161 then
RAUM -18% over the last fiscal year-8.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $78.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.6%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
- -18%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.1B94%
- Pension and profit-sharing plans$127M5.6%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 29reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.94 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•••••• O•• O••••••• F••• I• L•• | Hedge Fund | $37.6M | 2 | Dec 3, 2014 |
| R•••••• C•••••• I• L•••••• P••••••••• | Private Equity Fund | $29.5M | 7 | Mar 26, 2024 |
| L• E••••••• I••••••••• L• | Private Equity Fund | $22.0M | 5 | Mar 26, 2024 |
| W•••••• A••••••••• E•• O••••••• F••• I• L••• | Hedge Fund | $10.2M | 1 | Mar 29, 2022 |
| R•••••• C•••••• I••• L•••••• P••••••••• | Private Equity Fund | $8.2M | 6 | Mar 26, 2024 |
| E••••••••• A•• D••••••••• F••• ••••••••• L• | Private Equity Fund | $5.5M | 8 | Mar 26, 2024 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• B••••••• R•• · Cio, Cro And, Secretarycontrolsince 03/2019 · owns less than 5%
- L•••••••• B••••• I••••• · Ceo And Presidentcontrolsince 03/2019 · owns less than 5%
- M••••••••• D•••••• · Chief Operating Officer, Chief Compliance Officercontrolsince 12/2011 · owns less than 5%
- D••••••• B••••••• R•• · Shareholdercontrolsince 02/2010 · owns 75% or more of M••••••••• I•••
- L•••••••• B••••• I••••• · Shareholdercontrolsince 02/2010 · owns 75% or more of H••••••••• R••• C•••••• C•••
Entity owners
- H••••••••• R••• C•••••• C••• · Shareholderdirect · owns 25% to 50%
- M••••••••• I••• · Shareholderdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- W•••••• P••••••••• O••••••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 44 to 43Mar 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.8B to $2.3BMar 27, 2025 to Mar 31, 2026
- Pension RAUM · $116M to $127MMar 27, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $2.7B to $2.1BMar 27, 2025 to Mar 31, 2026
- RAUM · $2.8B to $2.3BMar 27, 2025 to Mar 31, 2026
- Accounts · 24 to 29Mar 26, 2024 to Mar 27, 2025
- Advisory employees · 19 to 18Mar 26, 2024 to Mar 27, 2025
- Pooled vehicle clients · 23 to 28Mar 26, 2024 to Mar 27, 2025
- Employees · 45 to 44Mar 26, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 27, 2025
- HQ state · unset to Mar 26, 2024 to Mar 27, 2025
- Discretionary RAUM · $3.2B to $2.8BMar 26, 2024 to Mar 27, 2025
- Pension RAUM · $109M to $116MMar 26, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $3.1B to $2.7BMar 26, 2024 to Mar 27, 2025
- RAUM · $3.2B to $2.8BMar 26, 2024 to Mar 27, 2025
- Accounts · 22 to 24Mar 30, 2023 to Mar 26, 2024
- Advisory employees · 15 to 19Mar 30, 2023 to Mar 26, 2024
- Pooled vehicle clients · 21 to 23Mar 30, 2023 to Mar 26, 2024
- Employees · 44 to 45Mar 30, 2023 to Mar 26, 2024
- Private funds · 2 to 6Mar 30, 2023 to Mar 26, 2024
- Discretionary RAUM · $2.9B to $3.2BMar 30, 2023 to Mar 26, 2024
- Pension RAUM · $130M to $109MMar 30, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $2.8B to $3.1BMar 30, 2023 to Mar 26, 2024
- RAUM · $2.9B to $3.2BMar 30, 2023 to Mar 26, 2024
- Accounts · 18 to 22Mar 29, 2022 to Mar 30, 2023
- Pooled vehicle clients · 17 to 21Mar 29, 2022 to Mar 30, 2023
- Employees · 33 to 44Mar 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $2.6B to $2.9BMar 29, 2022 to Mar 30, 2023
- Pension RAUM · $164M to $130MMar 29, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $2.5B to $2.8BMar 29, 2022 to Mar 30, 2023
- RAUM · $2.6B to $2.9BMar 29, 2022 to Mar 30, 2023
- Accounts · 15 to 18Mar 30, 2021 to Mar 29, 2022
- Pooled vehicle clients · 14 to 17Mar 30, 2021 to Mar 29, 2022
- Private funds · 1 to 2Mar 30, 2021 to Mar 29, 2022
- Discretionary RAUM · $2.0B to $2.6BMar 30, 2021 to Mar 29, 2022
- Pension RAUM · $150M to $164MMar 30, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $1.9B to $2.5BMar 30, 2021 to Mar 29, 2022
- RAUM · $2.0B to $2.6BMar 30, 2021 to Mar 29, 2022
- Employees · 30 to 33Mar 26, 2020 to Mar 30, 2021
- Discretionary RAUM · $1.2B to $2.0BMar 26, 2020 to Mar 30, 2021
Signals
3 dated events
- W•••••• C•••••• A••••••• L••• reported RAUM $2.6B, up 32% from $2.0B (2021-03-30 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- W•••••• C•••••• A••••••• L••• reported RAUM $2.0B, up 69% from $1.2B (2020-03-26 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- W•••••• C•••••• A••••••• L••• filed its initial SEC registration (Form ADV)Dec 3, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- W•••••• C•••••• A••••••• L••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/3316753reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 416-637-5622reportedpublic record, Form ADV, Mar 31, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026