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.
Former SEC-registered adviser
D••••••••• W••••• M••••••••• C••••••
Latest filing Mar 29, 2024
First filing on the tape Apr 30, 2015 · 27 filings
SEC status approved since Apr 1, 2015
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
58%
$764M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$1.3B as of Mar 27, 2024
Mar 17, 2016$596M then
HNW client RAUM$453M as of Mar 27, 2024
Mar 23, 2018$277M then
State-registered IARs (5.B.3)0 as of Mar 27, 2024
Mar 17, 20160 then
Employees (5.A)12 as of Mar 27, 2024
Mar 17, 20169 then
Private funds1 as of Mar 23, 2018
Mar 17, 20161 then
RAUM +16% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2024; 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
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.0%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
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$493M38%
- High-net-worth individuals$453M35%
- Individuals$311M24%
- Charitable organizations$52.2M4.0%
- Individual clients
- 552reported
- HNW clients
- 242reported
- Pension plan clients
- n/areported
- Charitable clients
- 15reported
- Accounts
- 1,018reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••••••• O••••••••• F•••no longer reported | Other Private Fund | $11.7M | 221 | Apr 30, 2015 |
Owners and control persons
Schedule A and B, latest filing
- B•••• R•••••• E•••••• · President, Directorcontrolsince 04/2015 · owns less than 5%
- G•••• A•••••• B•••• · Directorcontrolsince 04/2015 · owns less than 5%
- H•••••• B••••• T••••• · Directorcontrolsince 04/2015 · owns less than 5%
- S•••••••• D••••• V••••• · Directorcontrolsince 04/2015 · owns less than 5%
- W•••••• I•••••••• H••••• · Director, Secretary, Chief Compliance Officercontrolsince 04/2015 · owns less than 5%
Entity owners
- F•••• C••••• H•••••••• L•• · Shareholderdirect · owns 75% or more
- C••• F•••••••• C••••••••• L••• · Partnerindirect · owns 25% to 50% of C••• F•••••••• H•••••••• L•••
- C••• F•••••••• H•••••••• L••• · Partnerindirect · owns 50% to 75% of F•••••••• F•• U••••••• H•••••••• L•
- C••••••• D••••••• • R••• F••• X••• L••• · Partnerindirect · owns 50% to 75% of C••• F•••••••• H•••••••• L•••
- F•••••••• F•• A••••••••• L•• · Shareholder, Class A Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••••••• F•• I••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of F•••••••• F•• A••••••••• L••
- F•••••••• F•• P•••••• I••• · Memberindirect · owns 75% or more of F•••••••• F•• I••••••••• H•••••••• L••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholderindirect · owns 75% or more of F•••••••• F•• P•••••• I•••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholder, Class B Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••• F•••••••• P••••••• I••• · Managing Memberindirect · owns 75% or more of F•••• F•••••••• P•••••••• L••
- F•••• F•••••••• P•••••••• L•• · Memberindirect · owns 75% or more of F•••• O••••••••• L••
- F•••• O••••••••• L•• · Managing Memberindirect · owns 75% or more of F•••• C••••• H•••••••• L••
Related persons
Schedule D 7.A
- Northcoast Asset Management LLCinvestment advisernRAUM $5.0B
- Q••••••• P•••••• W••••• M••••••••• L••investment advisernRAUM $2.1B
Advisers that list D••••••••• W••••• M••••••••• C•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 970 to 1,018Sep 27, 2023 to Mar 27, 2024
- Advisory employees · 10 to 11Sep 27, 2023 to Mar 27, 2024
- Charity clients · 9 to 15Sep 27, 2023 to Mar 27, 2024
- Corporate clients · 205 to 209Sep 27, 2023 to Mar 27, 2024
- HNW clients · 227 to 242Sep 27, 2023 to Mar 27, 2024
- Individual clients · 529 to 552Sep 27, 2023 to Mar 27, 2024
- Employees · 11 to 12Sep 27, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.1B to $1.3BSep 27, 2023 to Mar 27, 2024
- HNW RAUM · $343M to $453MSep 27, 2023 to Mar 27, 2024
- Individual RAUM · $310M to $311MSep 27, 2023 to Mar 27, 2024
- RAUM · $1.1B to $1.3BSep 27, 2023 to Mar 27, 2024
- Accounts · 862 to 970Mar 29, 2022 to Mar 23, 2023
- Charity clients · 10 to 9Mar 29, 2022 to Mar 23, 2023
- Corporate clients · 189 to 205Mar 29, 2022 to Mar 23, 2023
- HNW clients · 192 to 227Mar 29, 2022 to Mar 23, 2023
- Individual clients · 471 to 529Mar 29, 2022 to Mar 23, 2023
- Discretionary RAUM · $1.1B to $1.1BMar 29, 2022 to Mar 23, 2023
- HNW RAUM · $302M to $343MMar 29, 2022 to Mar 23, 2023
- Individual RAUM · $248M to $310MMar 29, 2022 to Mar 23, 2023
- RAUM · $1.1B to $1.1BMar 29, 2022 to Mar 23, 2023
- Accounts · 879 to 862Mar 22, 2021 to Mar 26, 2022
- Advisory employees · 11 to 10Mar 22, 2021 to Mar 26, 2022
- Corporate clients · 194 to 189Mar 22, 2021 to Mar 26, 2022
- HNW clients · 202 to 192Mar 22, 2021 to Mar 26, 2022
- Individual clients · 473 to 471Mar 22, 2021 to Mar 26, 2022
- Discretionary RAUM · $864M to $1.1BMar 22, 2021 to Mar 26, 2022
- HNW RAUM · $257M to $302MMar 22, 2021 to Mar 26, 2022
- Individual RAUM · $208M to $248MMar 22, 2021 to Mar 26, 2022
- RAUM · $864M to $1.1BMar 22, 2021 to Mar 26, 2022
- Accounts · 888 to 879Nov 16, 2020 to Mar 22, 2021
- Advisory employees · 13 to 11Nov 16, 2020 to Mar 22, 2021
- Corporate clients · 198 to 194Nov 16, 2020 to Mar 22, 2021
- Individual clients · 478 to 473Nov 16, 2020 to Mar 22, 2021
- Employees · 13 to 11Nov 16, 2020 to Mar 22, 2021
- Other offices · 1 to 0Nov 16, 2020 to Mar 22, 2021
- Discretionary RAUM · $864M to $864MNov 16, 2020 to Mar 22, 2021
- HNW RAUM · $257M to $257MNov 16, 2020 to Mar 22, 2021
- Individual RAUM · $192M to $208MNov 16, 2020 to Mar 22, 2021
- RAUM · $864M to $864MNov 16, 2020 to Mar 22, 2021
- Accounts · 864 to 888Mar 18, 2019 to Mar 20, 2020
Signals
3 dated events
- D••••••••• W••••• M••••••••• C•••••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $1.3B)May 2, 2025 · Left the SEC roster · derived
- D••••••••• W••••• M••••••••• C•••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 30, 2015 · Succession (Item 4) · fact
- D••••••••• W••••• M••••••••• C•••••• filed its initial SEC registration (Form ADV)Apr 30, 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.
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