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••••••

Former SEC-registered adviserChestnut Hill (Philadelphia), PennsylvaniaCRD 281672SEC 801-106999IAPD
Legal name W•••• F•••••••• M••••••••• L••
Latest filing Sep 7, 2017
First filing on the tape Nov 25, 2015 · 23 filings
RAUM
$2.7M
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
6
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$941,729 as of Jan 25, 2017
Jan 26, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jan 25, 2017
Jan 26, 20160 then
Employees (5.A)6 as of Jan 25, 2017
Jan 26, 20168 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 2
Practice profile
derived from the filing of Sep 7, 2017; every figure names its basis
RAUM per advisor
$1.4MderivedRAUM 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
$1,500derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,827reported
Financial planning clients
0reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B•••••• B••••••• S••••• · Director Of Financial Planning & Investment Operations, Chief Compliance Officercontrol
    since 06/2016 · owns less than 5%
  • J•••••• E••••• W••• · General Managercontrol
    since 10/2015 · owns less than 5%
  • S••••••••• A•••••• M•••• · Managing Member And Chief Executive Officercontrol
    since 10/2015 · owns less than 5%
  • S••••••••• A•••••• M•••• · Investor / Ownercontrol
    since 12/2016 · owns F of W•••• F•••••••• H••••••• I•••
Entity owners
  • W•••• F•••••••• H••••••• I••• · Holding Company / Parent
    direct · owns 75% or more
  • D••••••••• I••• · Investor / Owner
    indirect · owns 25% to 50% of W•••• F•••••••• H••••••• I•••
  • W•• I•••••••• L•• · Investor / Owner
    indirect · owns 25% to 50% of W•••• F•••••••• H••••••• I•••
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 · 544 to 1,827
    Jan 25, 2017 to Sep 7, 2017
  • Advisory activities · 1 to 3
    Jan 25, 2017 to Sep 7, 2017
  • Financial planning clients · unset to 0
    Jan 25, 2017 to Sep 7, 2017
  • Discretionary RAUM · $941,729 to $2.7M
    Jan 25, 2017 to Sep 7, 2017
  • RAUM · $941,729 to $2.7M
    Jan 25, 2017 to Sep 7, 2017
  • Accounts · 670 to 544
    Nov 17, 2016 to Jan 25, 2017
  • Employees · 5 to 6
    Nov 17, 2016 to Jan 25, 2017
  • Discretionary RAUM · $900,294 to $941,729
    Nov 17, 2016 to Jan 25, 2017
  • RAUM · $900,294 to $941,729
    Nov 17, 2016 to Jan 25, 2017
  • Accounts · 267 to 670
    Oct 28, 2016 to Nov 17, 2016
  • Advisory employees · 1 to 2
    Oct 28, 2016 to Nov 17, 2016
  • Employees · 8 to 5
    Oct 28, 2016 to Nov 17, 2016
  • State-registered IARs · 0 to 2
    Oct 28, 2016 to Nov 17, 2016
  • Discretionary RAUM · $484,574 to $900,294
    Oct 28, 2016 to Nov 17, 2016
  • RAUM · $484,574 to $900,294
    Oct 28, 2016 to Nov 17, 2016
  • Related adviser · true to false
    Oct 28, 2016 to Nov 17, 2016
  • Accounts · 0 to 267
    Jun 20, 2016 to Aug 18, 2016
  • Discretionary RAUM · $0 to $484,574
    Jun 20, 2016 to Aug 18, 2016
  • RAUM · $0 to $484,574
    Jun 20, 2016 to Aug 18, 2016
  • Legal name · B•••••• W•••••••• F•••••••• L•• to W•••• F•••••••• M••••••••• L••
    Mar 2, 2016 to Apr 4, 2016
  • Accounts · unset to 0.0
    Dec 22, 2015 to Jan 5, 2016
  • Business name · B•••••• W•••••••• F•••••••• L•• to W••••••
    Dec 22, 2015 to Jan 5, 2016
  • Discretionary RAUM · unset to 0.0
    Dec 22, 2015 to Jan 5, 2016
  • Non-discretionary RAUM · unset to 0.0
    Dec 22, 2015 to Jan 5, 2016
  • RAUM · unset to 0.0
    Dec 22, 2015 to Jan 5, 2016
  • Related adviser · false to true
    Dec 22, 2015 to Jan 5, 2016
  • Advisory activities · 3 to 1
    Dec 3, 2015 to Dec 14, 2015
  • Financial planning clients · 0 to unset
    Dec 3, 2015 to Dec 14, 2015
Signals
1 dated events
  • B•••••• W•••••••• F•••••••• L•• filed its initial SEC registration (Form ADV)
    Nov 25, 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