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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Former SEC-registered adviser
W••••• W••••• P••••••• L••
Legal name W••••• W••••• P•••••••• L••
Latest filing Jun 28, 2024
First filing on the tape Jun 6, 2016 · 18 filings
RAUM
$333M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$333M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$333M as of Mar 19, 2024
Mar 14, 2017$137M then
HNW client RAUM$330M as of Mar 19, 2024
Mar 6, 2018$147M then
State-registered IARs (5.B.3)2 as of Mar 19, 2024
Mar 14, 20172 then
Employees (5.A)5 as of Mar 19, 2024
Mar 14, 20172 then
Private funds: no history
RAUM +35% over the last fiscal year+14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 28, 2024; every figure names its basis
- RAUM per advisor
- $166MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $591,420derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +35%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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$330M99%
- Individuals$2.8M0.8%
- Individual clients
- 6reported
- HNW clients
- 112reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 563reported
- Financial planning clients
- 101-250reported
- 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
- S•••• A•• H••••••• to W••••••••• A•••••••Nov 14, 2024 · RIA to RIA
- K•••• M•••••• S•••••• to W••••••••• A•••••••Nov 14, 2024 · RIA to RIA
Joined, latest
- S•••• A•• H••••••• from G•• A•••• M••••••••• L••Jun 8, 2015 · Other
- K•••• M•••••• S•••••• from T••• W••••• A•••••••• L••Jun 8, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for W••••••••• A•••••••Nov 14, 2024 · Beachwood, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•• P•••••• M••••••• J• · Chief Compliance Officercontrolsince 06/2024 · owns less than 5%
- H•••••••• S••••• A•• · Managing Directorcontrolsince 06/2024 · owns less than 5%
- L•••••• M••••••• A•••••• · Chief Executive Officercontrolsince 06/2024 · owns less than 5%
- L•••••• L•••• M•••••• · Vice Presidentcontrolsince 06/2024 · owns less than 5%
- M••• V•••••••• E• C••• · Directorcontrolsince 06/2024 · owns less than 5%
- M•••••••• M••••••• J••••• · Chief Investment Officercontrolsince 06/2024 · owns less than 5%
- O•••••••• E•••••• G••••• · Directorcontrolsince 06/2024 · owns less than 5%
- P•••••• B••••• D•••• · Chief Financial Officercontrolsince 06/2024 · owns less than 5%
- S••••••••• B••••• R••••• · Directorcontrolsince 06/2024 · owns less than 5%
- S•••••• E•••• M•••••• · President & Chief Operations Officercontrolsince 06/2024 · owns less than 5%
- S•••••••• H•••• R••••• · Chief Legal Officercontrolsince 06/2024 · owns less than 5%
- S••••••• K••••• M•••••• · Managing Directorcontrolsince 06/2024 · owns less than 5%
Entity owners
- W••••••••• A••••••• · Ownerdirect · owns 75% or more
- A••• P•• · Ownerindirect · owns 75% or more of R••••••• F•••••• U•••••••• C•••••• · public reporting company
- N•• C•••• · Ownerindirect · owns 75% or more of W••••••••• H•••••••• L••
- N•• I••••••••• H••••••• B• C•••• · Ownerindirect · owns 75% or more of N•• C••••
- R••••••• A••••••••• C•••• · Ownerindirect · owns 75% or more of N•• I••••••••• H••••••• B• C••••
- R••••••• F•••••• U•••••••• C•••••• · Ownerindirect · owns 75% or more of R••••••• A••••••••• C••••
- W••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of W••••••••• A•••••••
Related persons
Schedule D 7.A
- W••••••••• A•••••••investment advisernRAUM $518M
- W••••••••• A•••••••investment advisernRAUM $4.4B
- W••••••••• Retirement Advisoryinvestment advisernRAUM $39B
- W••••••••• A•••••••investment advisernRAUM $2.8B
- W••••••••• A•••••••investment adviseryRAUM $34B
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Beachwood, Oh · principal | 0 | 0 | 0 | ||
| Solon, Oh | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Related adviser · false to trueMar 19, 2024 to Jun 28, 2024
- Related bank · false to trueMar 19, 2024 to Jun 28, 2024
- Related broker-dealer · false to trueMar 19, 2024 to Jun 28, 2024
- Accounts · 553 to 563Aug 10, 2023 to Mar 19, 2024
- HNW clients · 99 to 112Aug 10, 2023 to Mar 19, 2024
- Discretionary RAUM · $287M to $324MAug 10, 2023 to Mar 19, 2024
- HNW RAUM · $293M to $330MAug 10, 2023 to Mar 19, 2024
- Individual RAUM · $3.1M to $2.8MAug 10, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $9.1M to $9.4MAug 10, 2023 to Mar 19, 2024
- RAUM · $296M to $333MAug 10, 2023 to Mar 19, 2024
- Accounts · 578 to 553Mar 29, 2023 to Aug 10, 2023
- Discretionary RAUM · $239M to $287MMar 29, 2023 to Aug 10, 2023
- HNW RAUM · $245M to $293MMar 29, 2023 to Aug 10, 2023
- Individual RAUM · $2.6M to $3.1MMar 29, 2023 to Aug 10, 2023
- Non-discretionary RAUM · $8.0M to $9.1MMar 29, 2023 to Aug 10, 2023
- RAUM · $247M to $296MMar 29, 2023 to Aug 10, 2023
- Accounts · 497 to 578Nov 4, 2022 to Mar 29, 2023
- HNW clients · 95 to 99Nov 4, 2022 to Mar 29, 2023
- Individual clients · 9 to 6Nov 4, 2022 to Mar 29, 2023
- Discretionary RAUM · $248M to $239MNov 4, 2022 to Mar 29, 2023
- HNW RAUM · $252M to $245MNov 4, 2022 to Mar 29, 2023
- Individual RAUM · $3.3M to $2.6MNov 4, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $8.0M to $8.0MNov 4, 2022 to Mar 29, 2023
- RAUM · $256M to $247MNov 4, 2022 to Mar 29, 2023
- HQ city · SOLON to BEACHWOODMar 28, 2022 to Oct 12, 2022
- Accounts · 501 to 497Mar 16, 2021 to Mar 28, 2022
- HNW clients · 88 to 95Mar 16, 2021 to Mar 28, 2022
- Individual clients · 10 to 9Mar 16, 2021 to Mar 28, 2022
- Employees · 4 to 5Mar 16, 2021 to Mar 28, 2022
- Financial planning clients · 51-100 to 101-250Mar 16, 2021 to Mar 28, 2022
- Discretionary RAUM · $220M to $248MMar 16, 2021 to Mar 28, 2022
- HNW RAUM · $224M to $252MMar 16, 2021 to Mar 28, 2022
- Individual RAUM · $3.7M to $3.3MMar 16, 2021 to Mar 28, 2022
- Non-discretionary RAUM · $7.7M to $8.0MMar 16, 2021 to Mar 28, 2022
- RAUM · $228M to $256MMar 16, 2021 to Mar 28, 2022
- Accounts · 500 to 501Mar 15, 2021 to Mar 16, 2021
- HNW clients · 89 to 88Mar 15, 2021 to Mar 16, 2021
- Individual clients · 9 to 10Mar 15, 2021 to Mar 16, 2021
- Discretionary RAUM · $220M to $220MMar 15, 2021 to Mar 16, 2021
- Individual RAUM · $3.5M to $3.7MMar 15, 2021 to Mar 16, 2021
Signals
14 dated events
- S•••• A•• H••••••• left W••••• W••••• P••••••• L•• for W••••••••• A••••••• (registered 2024-10-15)Nov 14, 2024 · Advisor changed firm · fact
- K•••• M•••••• S•••••• left W••••• W••••• P••••••• L•• for W••••••••• A••••••• (registered 2024-10-15)Nov 14, 2024 · Advisor changed firm · fact
- 2 advisors left W••••• W••••• P••••••• L•• (Beachwood, OH) for W••••••••• A••••••• on the same dayNov 14, 2024 · Team lift-out · derived
- Ronald Brett Schneider (Director) appeared on Schedule A of W••••• W••••• P••••••• L••Jun 28, 2024 · Control person joined · fact
- Michell Lori Lieser (Vice President) appeared on Schedule A of W••••• W••••• P••••••• L••Jun 28, 2024 · Control person joined · fact
- Matthew Eric Sontag (President & Chief Operations Officer) appeared on Schedule A of W••••• W••••• P••••••• L••Jun 28, 2024 · Control person joined · fact
- George Edward O'Malley (Director) appeared on Schedule A of W••••• W••••• P••••••• L••Jun 28, 2024 · Control person joined · fact
- Ei Chun Veronica Moo (Director) appeared on Schedule A of W••••• W••••• P••••••• L••Jun 28, 2024 · Control person joined · fact
- Ronald Hoyt Stastney (Chief Legal Officer) appeared on Schedule A of W••••• W••••• P••••••• L••Jun 28, 2024 · Control person joined · fact
- Anthony Michael Lamena (Chief Executive Officer) appeared on Schedule A of W••••• W••••• P••••••• L••Jun 28, 2024 · Control person joined · fact
- J Michael Del Priore (Chief Compliance Officer) appeared on Schedule A of W••••• W••••• P••••••• L••Jun 28, 2024 · Control person joined · fact
- David Brian Powers (Chief Financial Officer) appeared on Schedule A of W••••• W••••• P••••••• L••Jun 28, 2024 · Control person joined · fact
- Joseph Michael Moriarty (Chief Investment Officer) appeared on Schedule A of W••••• W••••• P••••••• L••Jun 28, 2024 · Control person joined · fact
- W••••• W••••• P••••••• L•• filed its initial SEC registration (Form ADV)Jun 6, 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.
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