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••••••• I••••••••• A••••••• L•••••
Latest filing Jun 3, 2026
First filing on the tape Jan 19, 2017 · 20 filings
SEC status approved since Jan 27, 2017
RAUM
$4.3B
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
226
70 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
12
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$4.3B as of Jun 3, 2026
Mar 28, 2018$146M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 3, 2026
Mar 28, 20180 then
Employees (5.A)226 as of Jun 3, 2026
Mar 28, 2018141 then
Private funds12 as of Jun 3, 2026
Mar 28, 20187 then
RAUM -4.0% over the last fiscal year+5.0% a year over threeIARs 0 to 0offices 5 to 4
Practice profile
derived from the filing of Jun 3, 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
- $255MderivedRAUM 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
- unknownderived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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 hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 17reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
20 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- B••••• S••••••••• F••••• · Managing Partner, P••••••• Managementcontrolsince 11/2021 · owns less than 5%
- H•••••• E••••• S••••• · General Counselcontrolsince 03/2024 · owns less than 5%
- H•••• R••••••• H•••••• · Managing Partner, Investment Managementcontrolsince 08/2013 · owns less than 5%
- J•••••• T•••• A••••• · Chief Compliance Officercontrolsince 12/2019 · owns less than 5%
- L•••••••• P•••• J••••• · Managing Partner, Portfolio Managementcontrolsince 12/2017 · owns less than 5%
- M••••••••• T••• · Managing Partner And Chief Financial Officercontrolsince 09/2019 · owns less than 5%
- S•••••••• D••••• R••••• · Chief Executive Officer And Chairmancontrolsince 08/2013 · owns less than 5%
- V••••• P••••• M•••••• · Vice Chairmancontrolsince 06/1995 · owns less than 5%
- W••••• M•••••••• C•••••••• · Managing Partner, Investor Relationscontrolsince 04/2022 · owns less than 5%
Entity owners
- W••••••• R••••••••• L••••• · Memberdirect · owns 75% or more
- D•••• S••••••• F••••• G••• T•••• · Memberindirect · owns 25% to 50% of S••••••• C••••••••• L•••••
- J•••• D•••••• S••••••• F••••• G••• T•••• · Memberindirect · owns 25% to 50% of S••••••• C••••••••• L•••••
- S• I••••••••• L••••• · Memberindirect · owns 75% or more of W••••••• E••••••••• L•••••
- S••••••• C••••••••• L••••• · Memberindirect · owns 75% or more of S• I••••••••• L•••••
- W••••••• A••••••••• H•••••••• L••••• · Memberindirect · owns 75% or more of W••••••• A••••••••• L•••••
- W••••••• A••••••••• L••••• · Memberindirect · owns 75% or more of W••••••• R••••••••• L•••••
- W••••••• E••••••••• L••••• · Memberindirect · owns 75% or more of W••••••• A••••••••• H•••••••• L•••••
Related persons
Schedule D 7.A
- W••••••• A••••••••• L•••••investment advisery
- W••••••• K• B••• M•••••• I•• L•••••pooled vehicle sponsorn
- W••••••• V•••••• X• G•• L•••••pooled vehicle sponsorn
- W••••••• V•••••• X•• G•• L•••••pooled vehicle sponsorn
- W••••••• V•••••• X••• G•• L•••••pooled vehicle sponsorn
- W••••••• V•••••• X•• G•• L•••••pooled vehicle sponsorn
- W••••••• V•••••• X• G•• L•••••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Ojai, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 16 to 17May 19, 2025 to Mar 29, 2026
- Advisory employees · 69 to 70May 19, 2025 to Mar 29, 2026
- Pooled vehicle clients · 16 to 17May 19, 2025 to Mar 29, 2026
- Employees · 224 to 226May 19, 2025 to Mar 29, 2026
- Other offices · 5 to 4May 19, 2025 to Mar 29, 2026
- Private funds · 11 to 12May 19, 2025 to Mar 29, 2026
- Discretionary RAUM · $4.5B to $4.3BMay 19, 2025 to Mar 29, 2026
- Pooled vehicle RAUM · $4.5B to $4.3BMay 19, 2025 to Mar 29, 2026
- RAUM · $4.5B to $4.3BMay 19, 2025 to Mar 29, 2026
- Financial planning clients · unset to Mar 27, 2025 to May 19, 2025
- Advisory employees · 64 to 69Apr 29, 2024 to Mar 27, 2025
- Assets in custody · $4.7B to $0Apr 29, 2024 to Mar 27, 2025
- Employees · 218 to 224Apr 29, 2024 to Mar 27, 2025
- Private funds · 12 to 11Apr 29, 2024 to Mar 27, 2025
- Discretionary RAUM · $4.7B to $4.5BApr 29, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $4.7B to $4.5BApr 29, 2024 to Mar 27, 2025
- RAUM · $4.7B to $4.5BApr 29, 2024 to Mar 27, 2025
- Assets in custody · $4.7B to $4.7BMar 27, 2024 to Apr 29, 2024
- Discretionary RAUM · $4.7B to $4.7BMar 27, 2024 to Apr 29, 2024
- Pooled vehicle RAUM · $4.7B to $4.7BMar 27, 2024 to Apr 29, 2024
- RAUM · $4.7B to $4.7BMar 27, 2024 to Apr 29, 2024
- Accounts · 13 to 16Sep 15, 2023 to Mar 27, 2024
- Advisory employees · 53 to 64Sep 15, 2023 to Mar 27, 2024
- Pooled vehicle clients · 13 to 16Sep 15, 2023 to Mar 27, 2024
- Assets in custody · $3.8B to $4.7BSep 15, 2023 to Mar 27, 2024
- Employees · 206 to 218Sep 15, 2023 to Mar 27, 2024
- Other offices · 4 to 5Sep 15, 2023 to Mar 27, 2024
- Private funds · 11 to 12Sep 15, 2023 to Mar 27, 2024
- Discretionary RAUM · $3.7B to $4.7BSep 15, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $3.7B to $4.7BSep 15, 2023 to Mar 27, 2024
- RAUM · $3.7B to $4.7BSep 15, 2023 to Mar 27, 2024
- Advisory employees · 59 to 53Dec 21, 2022 to Mar 29, 2023
- Employees · 227 to 206Dec 21, 2022 to Mar 29, 2023
- Other offices · 5 to 4Dec 21, 2022 to Mar 29, 2023
- Private funds · 10 to 11Dec 21, 2022 to Mar 29, 2023
- Discretionary RAUM · $3.8B to $3.7BDec 21, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $3.8B to $3.7BDec 21, 2022 to Mar 29, 2023
- RAUM · $3.8B to $3.7BDec 21, 2022 to Mar 29, 2023
- Accounts · 8 to 13Dec 17, 2021 to Mar 31, 2022
- Advisory employees · 52 to 59Dec 17, 2021 to Mar 31, 2022
Signals
13 dated events
- W••••••• I••••••••• A••••••• L••••• reported RAUM $4.7B, up 26% from $3.7B (2023-09-15 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Diamond Jamie Schwartz (Trustee) no longer on Schedule A of W••••••• I••••••••• A••••••• L••••• (listed 2023-09-15, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- S••••• E•••• H••••• (General Counsel) appeared on Schedule A of W••••••• I••••••••• A••••••• L•••••Mar 27, 2024 · Control person joined · fact
- H••••• Erin Ankin (Managing Partner And General Counsel) no longer on Schedule A of W••••••• I••••••••• A••••••• L••••• (listed 2023-08-01, absent 2023-09-15)Sep 15, 2023 · Control person left · inference
- Christine Michelle Wells (Managing Partner, Investor Relations) appeared on Schedule A of W••••••• I••••••••• A••••••• L•••••Aug 1, 2023 · Control person joined · fact
- (Nmn) Stephanie Brock (Managing Partner, Property Management) appeared on Schedule A of W••••••• I••••••••• A••••••• L•••••Aug 1, 2023 · Control person joined · fact
- (Nmn) Phil Lukowski (Managing Partner, Portfolio Management) appeared on Schedule A of W••••••• I••••••••• A••••••• L•••••Aug 1, 2023 · Control person joined · fact
- W••••••• I••••••••• A••••••• L••••• reported RAUM $3.8B, up 34% from $2.8B (2021-12-17 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- W••••••• I••••••••• A••••••• L••••• reported RAUM $2.8B, up 1328% from $196.6M (2021-03-31 to 2021-06-04)Jun 4, 2021 · RAUM change · derived
- Tara Marszewski (Chief Financial Officer) appeared on Schedule A of W••••••• I••••••••• A••••••• L•••••Mar 25, 2020 · Control person joined · fact
- Andrew Todd Joseph (Chief Compliance Officer) appeared on Schedule A of W••••••• I••••••••• A••••••• L•••••Mar 25, 2020 · Control person joined · fact
- George Douglas Denyer (Chief Financial Officer) no longer on Schedule A of W••••••• I••••••••• A••••••• L••••• (listed 2019-03-27, absent 2020-03-25)Mar 25, 2020 · Control person left · inference
- W••••••• I••••••••• A•••••• L••••• filed its initial SEC registration (Form ADV)Jan 19, 2017 · 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/79597309/admin/feed/postsreportedpublic record, Form ADV, Sep 19, 2026
- Firm profile
- linkedin.com/company/waterton/mycompanyreportedpublic record, Form ADV, Sep 19, 2026
- Website
- outboundhotel.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-948-4500reportedpublic record, Form ADV, Jun 3, 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
Across the graphs
W••••••• I••••••••• A••••••• L••••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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