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••••••••• U•• L•••

Former SEC-registered adviserToronto, CRD 284471SEC 801-108377IAPD
Latest filing Mar 31, 2021
First filing on the tape Sep 1, 2016 · 12 filings
RAUM
$196M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$196M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$196M as of Mar 31, 2021
Mar 31, 2017$2.2M then
HNW client RAUM$17.5M as of Mar 31, 2021
Mar 27, 2018$2.7M then
State-registered IARs (5.B.3)2 as of Mar 31, 2021
Mar 31, 20170 then
Employees (5.A)22 as of Mar 31, 2021
Mar 31, 201712 then
Private funds: no history
RAUM +37% over the last fiscal year+55% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 31, 2021; every figure names its basis
RAUM per advisor
$98.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
8,527derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$95,149derivedHNW RAUM over HNW clients
Average account
$8,772derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
11.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+37%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
+18%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, publications, educational seminarsreportedItem 5.G
Wrap fee program
$182MreportedItem 5.I
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
  • Individuals$179M91%
  • High-net-worth individuals$17.5M8.9%
  • Corporations and businesses$96,7150.0%
  • Pension and profit-sharing plans$3580.0%
Individual clients
16,870reported
HNW clients
184reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
22,371reported
Financial planning clients
51-100reported
Wrap fee programs
$0 sponsored, $14.4M managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••••• B••••• T••••• · Chief Operating Officer / Chief Financial Officercontrol
        since 06/2016 · owns less than 5%
      • K••••••• M••••••• J••••••• · Chief Executive Officercontrol
        since 06/2016 · owns less than 5%
      • K••••••••• N••••• L••• · Chief Compliance Officer
        since 03/2020 · owns less than 5%
      Entity owners
      • W••••••••• F•••••••• C•••• · Shareholder
        direct · owns 75% or more
      • 9•••••• C••••• I••• · General Partner
        indirect · owns F of S••••••••• L•••
      • P•••• F•••••••• C••••••••• · Shareholder
        indirect · owns 50% to 75% of S••••••••• L•••
      • S••••••••• L••• · Shareholder
        indirect · owns 50% to 75% of W••••••••• F•••••••• C••••
      Related persons
      Schedule D 7.A
      • W••••••••• I•••
        investment advisern
      Advisers that list W••••••••• U•• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Brooklyn, NY1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 19,189 to 22,371
        Jun 29, 2020 to Mar 31, 2021
      • Advisory employees · 3 to 2
        Jun 29, 2020 to Mar 31, 2021
      • HNW clients · 208 to 184
        Jun 29, 2020 to Mar 31, 2021
      • Individual clients · 14,268 to 16,870
        Jun 29, 2020 to Mar 31, 2021
      • Employees · 23 to 22
        Jun 29, 2020 to Mar 31, 2021
      • State-registered IARs · 3 to 2
        Jun 29, 2020 to Mar 31, 2021
      • Discretionary RAUM · $143M to $196M
        Jun 29, 2020 to Mar 31, 2021
      • HNW RAUM · $17.2M to $17.5M
        Jun 29, 2020 to Mar 31, 2021
      • Individual RAUM · $125M to $179M
        Jun 29, 2020 to Mar 31, 2021
      • Pension RAUM · $974,478 to $358
        Jun 29, 2020 to Mar 31, 2021
      • RAUM · $143M to $196M
        Jun 29, 2020 to Mar 31, 2021
      • Wrap assets (manager) · $0 to $14.4M
        Jun 29, 2020 to Mar 31, 2021
      • Accounts · 14,869 to 19,189
        Mar 29, 2019 to Mar 18, 2020
      • HNW clients · 39 to 208
        Mar 29, 2019 to Mar 18, 2020
      • Individual clients · 14,830 to 14,268
        Mar 29, 2019 to Mar 18, 2020
      • Employees · 20 to 23
        Mar 29, 2019 to Mar 18, 2020
      • Financial planning clients · 0 to 51-100
        Mar 29, 2019 to Mar 18, 2020
      • Discretionary RAUM · $89.5M to $143M
        Mar 29, 2019 to Mar 18, 2020
      • HNW RAUM · $3.5M to $17.2M
        Mar 29, 2019 to Mar 18, 2020
      • Individual RAUM · $85.1M to $125M
        Mar 29, 2019 to Mar 18, 2020
      • Pension RAUM · $890,242 to $974,478
        Mar 29, 2019 to Mar 18, 2020
      • RAUM · $89.5M to $143M
        Mar 29, 2019 to Mar 18, 2020
      • Accounts · 10,601 to 14,869
        Oct 24, 2018 to Mar 29, 2019
      • Advisory employees · 2 to 3
        Oct 24, 2018 to Mar 29, 2019
      • HNW clients · 31 to 39
        Oct 24, 2018 to Mar 29, 2019
      • Individual clients · 10,565 to 14,830
        Oct 24, 2018 to Mar 29, 2019
      • State-registered IARs · 2 to 3
        Oct 24, 2018 to Mar 29, 2019
      • Discretionary RAUM · $85.4M to $89.5M
        Oct 24, 2018 to Mar 29, 2019
      • HNW RAUM · $2.7M to $3.5M
        Oct 24, 2018 to Mar 29, 2019
      • Individual RAUM · $82.6M to $85.1M
        Oct 24, 2018 to Mar 29, 2019
      • Pension RAUM · $741,869 to $890,242
        Oct 24, 2018 to Mar 29, 2019
      • RAUM · $85.4M to $89.5M
        Oct 24, 2018 to Mar 29, 2019
      • Accounts · 9,467 to 10,601
        Apr 30, 2018 to Oct 24, 2018
      • Individual clients · 7,949 to 10,565
        Apr 30, 2018 to Oct 24, 2018
      • Employees · 14 to 20
        Apr 30, 2018 to Oct 24, 2018
      • Discretionary RAUM · $52.2M to $85.4M
        Apr 30, 2018 to Oct 24, 2018
      • Individual RAUM · $48.8M to $82.6M
        Apr 30, 2018 to Oct 24, 2018
      • RAUM · $52.2M to $85.4M
        Apr 30, 2018 to Oct 24, 2018
      • Accounts · 5,111 to 9,467
        Sep 29, 2017 to Mar 27, 2018
      • Advisory employees · 4 to 2
        Sep 29, 2017 to Mar 27, 2018
      Signals
      1 dated events
      • W••••••••• U•• L••• filed its initial SEC registration (Form ADV)
        Sep 1, 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