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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SEC-registered adviser
W••••••••• L••
Latest filing Jul 8, 2026
First filing on the tape Apr 30, 2021 · 27 filings
SEC status approved since May 28, 2021
RAUM
$450M
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
44
27 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$450M as of Jul 8, 2026
Mar 9, 2022$169M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 8, 2026
Mar 9, 20220 then
Employees (5.A)44 as of Jul 8, 2026
Mar 9, 202219 then
Private funds5 as of Jul 8, 2026
Mar 9, 20222 then
RAUM +29% over the last fiscal year+30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 8, 2026; 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $75.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- +29%derivedbetween 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, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$450M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••••• A••••• F••• L• | Private Equity Fund | $150M | 59 | Apr 30, 2021 |
| G••••• A••••• F••• I• L• | Private Equity Fund | $118M | 29 | Mar 30, 2023 |
| W••••••••• I••••••••• F••• 3• L• | Private Equity Fund | $54.9M | 21 | Apr 30, 2021 |
| W••••••••• I••••••••• F••• 1• L••no longer reported | Private Equity Fund | $0 | 0 | Apr 30, 2021 |
| W•••• • C•••••• R••••••••• F••• L• | Private Equity Fund | $0 | 5 | Mar 29, 2024 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• C••••••••• E•••••••• · Manager And Chief Operating Officercontrolsince 06/2019 · owns less than 5%
- E••••••• E•••• D•••• · Manager And Chief Investor Relations Officercontrolsince 09/2021 · owns less than 5%
- H•••••• M••••••• N••••• · Manager And Chief Investment Officercontrolsince 04/2024 · owns less than 5%
- M•••••••• M••••• M••••••• · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- M••••• J•••• E••••• · Managercontrolsince 06/2019 · owns less than 5%
- O••••••••• P•••• G••• · Manager And Presidentcontrolsince 09/2019 · owns less than 5%
- W••••• G•••• J••• · Manager And Chief Executive Officercontrolsince 01/2014 · owns less than 5%
Entity owners
- W••••••••• I••• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- G••••• A••••• F••• G• L••pooled vehicle sponsory
- G••••• A••••• F••• I• G• L••pooled vehicle sponsory
- W•••• • C•••••• R••••••••• F••• G• L••pooled vehicle sponsory
- W••••••••• G• L••pooled vehicle sponsorn
- W••••••••• I•••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 6Jan 8, 2026 to Mar 30, 2026
- Advisory employees · 31 to 27Jan 8, 2026 to Mar 30, 2026
- Pooled vehicle clients · 5 to 6Jan 8, 2026 to Mar 30, 2026
- Assets in custody · 348488168.0 to unsetJan 8, 2026 to Mar 30, 2026
- Custody of client assets · true to falseJan 8, 2026 to Mar 30, 2026
- Employees · 41 to 44Jan 8, 2026 to Mar 30, 2026
- Private funds · 4 to 5Jan 8, 2026 to Mar 30, 2026
- Discretionary RAUM · $348M to $450MJan 8, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $348M to $450MJan 8, 2026 to Mar 30, 2026
- RAUM · $348M to $450MJan 8, 2026 to Mar 30, 2026
- Financial planning clients · unset to Mar 24, 2025 to May 14, 2025
- Advisory employees · 29 to 31Sep 17, 2024 to Mar 24, 2025
- Assets in custody · $322M to $348MSep 17, 2024 to Mar 24, 2025
- Employees · 39 to 41Sep 17, 2024 to Mar 24, 2025
- Discretionary RAUM · $322M to $348MSep 17, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $322M to $348MSep 17, 2024 to Mar 24, 2025
- RAUM · $322M to $348MSep 17, 2024 to Mar 24, 2025
- Accounts · 4 to 5Sep 27, 2023 to Mar 29, 2024
- Advisory employees · 22 to 29Sep 27, 2023 to Mar 29, 2024
- Business name · W••••••••• L•• to W••••••••• L••Sep 27, 2023 to Mar 29, 2024
- Pooled vehicle clients · 4 to 5Sep 27, 2023 to Mar 29, 2024
- Assets in custody · $205M to $322MSep 27, 2023 to Mar 29, 2024
- Employees · 28 to 39Sep 27, 2023 to Mar 29, 2024
- Private funds · 3 to 4Sep 27, 2023 to Mar 29, 2024
- Discretionary RAUM · $205M to $322MSep 27, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $205M to $322MSep 27, 2023 to Mar 29, 2024
- RAUM · $205M to $322MSep 27, 2023 to Mar 29, 2024
- Legal name · W••••••••• L•• to W••••••••• L••Sep 26, 2023 to Sep 27, 2023
- Accounts · 3 to 4Jan 18, 2023 to Mar 30, 2023
- Advisory employees · 13 to 22Jan 18, 2023 to Mar 30, 2023
- Pooled vehicle clients · 3 to 4Jan 18, 2023 to Mar 30, 2023
- Assets in custody · $169M to $205MJan 18, 2023 to Mar 30, 2023
- Employees · 21 to 28Jan 18, 2023 to Mar 30, 2023
- Other offices · 1 to 0Jan 18, 2023 to Mar 30, 2023
- Private funds · 2 to 3Jan 18, 2023 to Mar 30, 2023
- Discretionary RAUM · $169M to $205MJan 18, 2023 to Mar 30, 2023
- Pooled vehicle RAUM · $169M to $205MJan 18, 2023 to Mar 30, 2023
- RAUM · $169M to $205MJan 18, 2023 to Mar 30, 2023
- Advisory employees · 12 to 13May 3, 2022 to Jun 20, 2022
- Employees · 19 to 21May 3, 2022 to Jun 20, 2022
Signals
6 dated events
- W••••••••• L•• reported RAUM $450.2M, up 29% from $348.5M (2026-01-08 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Nadina Marlene Hormes (Manager And Chief Investment Officer) appeared on Schedule A of W••••••••• L••Apr 8, 2024 · Control person joined · fact
- W••••••••• L•• reported RAUM $322.2M, up 57% from $205.5M (2023-09-27 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Margaret Marie Milligan (Chief Compliance Officer) appeared on Schedule A of W••••••••• L••Jan 17, 2023 · Control person joined · fact
- D•••• E••• E•••••• (Chief Investor Relations Officer) appeared on Schedule A of W••••••••• L••Mar 9, 2022 · Control person joined · fact
- W••••••••• L•• filed its initial SEC registration (Form ADV)Apr 30, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- W••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- W••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- w•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 816-800-8100reportedpublic record, Form ADV, Jul 8, 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
- Asset manager (funds and pooled vehicles)deriveda 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