DFX Intelligence
RIA Intelligence
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SEC-registered adviser
W••••••••• C•••••• M••••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Mar 4, 2015 · 40 filings
SEC status approved since Mar 12, 2015
RAUM
$90.6M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
98%
$88.6M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$45.3M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$90.6M as of Mar 18, 2026
Mar 22, 2016$30.9M then
HNW client RAUM$70.8M as of Mar 18, 2026
Mar 30, 2018$16.4M then
State-registered IARs (5.B.3)2 as of Mar 18, 2026
Mar 22, 20163 then
Employees (5.A)4 as of Mar 18, 2026
Mar 22, 20163 then
Private funds: no history
RAUM +9.5% over the last fiscal year+17% a year over threeIARs 2 to 2offices 1 to 2
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $45.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.9MderivedHNW RAUM over HNW clients
- Average account
- $429,529derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.3%derived
- Compensation
- percentage of assets, hourly, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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$70.8M78%
- Individuals$17.8M20%
- Corporations and businesses$1.1M1.2%
- Pension and profit-sharing plans$924,3931.0%
- Individual clients
- 65reported
- HNW clients
- 12reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 211reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, performancereported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• C•••• K•••••• | Cambridge, Ny | Mar 25, 2021 | 26 y | 1 |
| R••• R•••••• B••••• | Arrington, Tn | Mar 19, 2026 | 10 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
- J•••• C•••• K•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 25, 2021 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••• J••••• C•••• · Member & Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
- K••••••• J••••• C•••• · Managing Directorcontrolsince 07/2023 · owns 50% to 75% of W••••••••• H•••••••• L••
- K••••••• L•••• M•••• · Directorcontrolsince 07/2023 · owns 50% to 75% of W••••••••• H•••••••• L••
Entity owners
- W••••••••• H•••••••• L•• · Holding Company & Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cambridge, Ny · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Scottsdale, AZ1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 204 to 211Jun 13, 2025 to Mar 18, 2026
- HNW clients · 15 to 12Jun 13, 2025 to Mar 18, 2026
- Individual clients · 63 to 65Jun 13, 2025 to Mar 18, 2026
- Employees · 5 to 4Jun 13, 2025 to Mar 18, 2026
- Other offices · 1 to 2Jun 13, 2025 to Mar 18, 2026
- Discretionary RAUM · $80.7M to $87.5MJun 13, 2025 to Mar 18, 2026
- HNW RAUM · $62.7M to $70.8MJun 13, 2025 to Mar 18, 2026
- Individual RAUM · $19.1M to $17.8MJun 13, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $2.1M to $3.1MJun 13, 2025 to Mar 18, 2026
- Pension RAUM · $659,278 to $924,393Jun 13, 2025 to Mar 18, 2026
- RAUM · $82.8M to $90.6MJun 13, 2025 to Mar 18, 2026
- Financial planning clients · unset to Mar 21, 2025 to Jun 13, 2025
- Accounts · 197 to 204May 1, 2024 to Mar 21, 2025
- HNW clients · 13 to 15May 1, 2024 to Mar 21, 2025
- Individual clients · 69 to 63May 1, 2024 to Mar 21, 2025
- Employees · 2 to 5May 1, 2024 to Mar 21, 2025
- Other offices · 2 to 1May 1, 2024 to Mar 21, 2025
- Discretionary RAUM · $65.9M to $80.7MMay 1, 2024 to Mar 21, 2025
- HNW RAUM · $46.3M to $62.7MMay 1, 2024 to Mar 21, 2025
- Individual RAUM · $16.2M to $19.1MMay 1, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $2.1M to $2.1MMay 1, 2024 to Mar 21, 2025
- Pension RAUM · $4.4M to $659,278May 1, 2024 to Mar 21, 2025
- RAUM · $68.0M to $82.8MMay 1, 2024 to Mar 21, 2025
- Accounts · 188 to 197Mar 9, 2023 to Mar 15, 2024
- Advisory activities · 4 to 3Mar 9, 2023 to Mar 15, 2024
- HNW clients · 17 to 13Mar 9, 2023 to Mar 15, 2024
- Individual clients · 68 to 69Mar 9, 2023 to Mar 15, 2024
- Financial planning clients · 51-100 to unsetMar 9, 2023 to Mar 15, 2024
- Discretionary RAUM · $56.2M to $65.9MMar 9, 2023 to Mar 15, 2024
- HNW RAUM · $41.7M to $46.3MMar 9, 2023 to Mar 15, 2024
- Individual RAUM · $11.7M to $16.2MMar 9, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $955,464 to $2.1MMar 9, 2023 to Mar 15, 2024
- Pension RAUM · $3.7M to $4.4MMar 9, 2023 to Mar 15, 2024
- RAUM · $57.1M to $68.0MMar 9, 2023 to Mar 15, 2024
- Accounts · 185 to 188Dec 7, 2022 to Mar 9, 2023
- HNW clients · 16 to 17Dec 7, 2022 to Mar 9, 2023
- Individual clients · 67 to 68Dec 7, 2022 to Mar 9, 2023
- Discretionary RAUM · $47.7M to $56.2MDec 7, 2022 to Mar 9, 2023
- HNW RAUM · $32.1M to $41.7MDec 7, 2022 to Mar 9, 2023
- Individual RAUM · $12.4M to $11.7MDec 7, 2022 to Mar 9, 2023
Signals
1 dated events
- W••••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 4, 2015 · 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 phone
- 518-407-3886reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/W•••••••••-CAPITAL-MANAGEMENT-LLCreportedpublic record, Form ADV, Sep 21, 2026
- Website
- w•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 518-407-3886reportedpublic record, Form ADV, Mar 18, 2026
- Team page
- w•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $45.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026