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•••• C•••••• M••••••••• L••

Former SEC-registered adviserSummit, New JerseyCRD 281891SEC 801-106891IAPD
Latest filing Apr 25, 2017
First filing on the tape Nov 2, 2015 · 8 filings
RAUM
$3.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$1.9M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$3.7M as of Mar 20, 2017
Mar 30, 2016$1.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 20, 2017
Mar 30, 20161 then
Employees (5.A)1 as of Mar 20, 2017
Mar 30, 20161 then
Private funds: no history
RAUM +209% over the last fiscal yearIARs 1 to 3
Practice profile
derived from the filing of Apr 25, 2017; every figure names its basis
RAUM per advisor
$1.9MderivedRAUM 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
$185,000derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+209%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
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
  • 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
20reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D•••••• M•••• W••••Cleveland, OhMar 19, 202136 y2
M••• D••••• S••••Cleveland, OhMar 19, 202131 y2
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • W••••• D••••••• M•••• · Managing Member & Chief Compliance Officercontrol
      since 10/2015 · owns 75% or more
    • L•••••• J•••••••• E••••• · Managing Member
      since 03/2017 · owns 10% to 25%
    • S••••• M•••• D••••• · Managing Member
      since 03/2017 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Cleveland, Oh200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 1 to 3
      Mar 20, 2017 to Mar 30, 2017
    • Employees · 1 to 3
      Mar 20, 2017 to Mar 30, 2017
    • State-registered IARs · 1 to 3
      Mar 20, 2017 to Mar 30, 2017
    • Accounts · 1 to 20
      Mar 20, 2017 to Mar 20, 2017
    • Discretionary RAUM · $0 to $3.7M
      Mar 20, 2017 to Mar 20, 2017
    • Non-discretionary RAUM · $1.2M to $0
      Mar 20, 2017 to Mar 20, 2017
    • RAUM · $1.2M to $3.7M
      Mar 20, 2017 to Mar 20, 2017
    • Accounts · 0 to 1
      Nov 23, 2015 to Mar 30, 2016
    • Non-discretionary RAUM · $0 to $1.2M
      Nov 23, 2015 to Mar 30, 2016
    • RAUM · $0 to $1.2M
      Nov 23, 2015 to Mar 30, 2016
    Signals
    2 dated events
    • 2 advisors left C•••••••• C•••••• W••••• M••••••••• L•• (Tampa, FL) for W•••• C•••••• M••••••••• L•• on the same day
      Jan 5, 2024 · Team lift-out · derived
    • W•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Nov 2, 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
    Firm profile
    LINKEDIN.COM/COMPANY/18290003reportedpublic record, Form ADV, Sep 18, 2026
    Website
    W••••CAPITALMGMT.COMreportedpublic record, Form ADV, Sep 18, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $1.9Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026