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••••••• G••••• L••

Former SEC-registered adviserCRD 288398SEC 801-110565IAPD
Latest filing Dec 18, 2017
First filing on the tape May 2, 2017 · 4 filings
RAUM
$432,056
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$432,056 as of Dec 18, 2017
May 2, 2017$0 then
HNW client RAUM: $0
State-registered IARs (5.B.3)1 as of Dec 18, 2017
May 2, 20171 then
Employees (5.A)1 as of Dec 18, 2017
May 2, 20171 then
Private funds: no history
Practice profile
derived from the filing of Dec 18, 2017; every figure names its basis
RAUM per advisor
$432,056derivedRAUM 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
$432,056derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$432,056100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
  • P••••• M•••• L•••• · Managing Member/Chief Compliance Officercontrol
    since 03/2017 · owns 75% or more
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 · 0 to 1
    Nov 21, 2017 to Dec 18, 2017
  • Charity clients · unset to 0.0
    Nov 21, 2017 to Dec 18, 2017
  • Corporate clients · unset to 0.0
    Nov 21, 2017 to Dec 18, 2017
  • HNW clients · unset to 0.0
    Nov 21, 2017 to Dec 18, 2017
  • Individual clients · unset to 0.0
    Nov 21, 2017 to Dec 18, 2017
  • Pension plan clients · unset to 1.0
    Nov 21, 2017 to Dec 18, 2017
  • Pooled vehicle clients · unset to 0.0
    Nov 21, 2017 to Dec 18, 2017
  • Discretionary RAUM · $0 to $432,056
    Nov 21, 2017 to Dec 18, 2017
  • HNW RAUM · unset to 0.0
    Nov 21, 2017 to Dec 18, 2017
  • Individual RAUM · unset to 0.0
    Nov 21, 2017 to Dec 18, 2017
  • Pension RAUM · unset to 432056.0
    Nov 21, 2017 to Dec 18, 2017
  • Pooled vehicle RAUM · unset to 0.0
    Nov 21, 2017 to Dec 18, 2017
  • RAUM · $0 to $432,056
    Nov 21, 2017 to Dec 18, 2017
  • Other offices · unset to 0.0
    Sep 29, 2017 to Nov 21, 2017
Signals
1 dated events
  • W••••••• G••••• L•• filed its initial SEC registration (Form ADV)
    May 2, 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.
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