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•••• W••••• M•••••••••
Legal name J•• F•••••••• G••••• I•••
Latest filing Mar 16, 2021
First filing on the tape May 22, 2017 · 8 filings
RAUM
$142M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$140M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$142M as of Mar 16, 2021
Mar 27, 2018$128M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 16, 2021
Mar 27, 20187 then
Employees (5.A)9 as of Mar 16, 2021
Mar 27, 20187 then
Private funds: no history
RAUM +23% over the last fiscal year+3.4% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 16, 2021; every figure names its basis
- RAUM per advisor
- $23.6MderivedRAUM 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
- $513,768derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$140M99%
- Pension and profit-sharing plans$2.1M1.5%
- Individual clients
- 144reported
- HNW clients
- n/areported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 276reported
- Financial planning clients
- 0reported
- 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
Left, latest
- Z•••••• J•••• W•••••• to C••••• I••••••••• A••••••• L••Oct 8, 2021 · RIA to affiliated broker-dealer or bank
- D••••• S••• C•••••• to W••••• E••••••••• A••••••• S•••••••• L••Oct 8, 2021 · RIA to affiliated broker-dealer or bank
- D•••••• L••• P••••• to W••••• E••••••••• A••••••• S•••••••• L••Oct 8, 2021 · RIA to affiliated broker-dealer or bank
- B•••••• L•••• S••• to W••••• E••••••••• A••••••• S•••••••• L••Oct 8, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- Z•••••• J•••• W•••••• from C••••• A•••••• N••••••• L••Jul 18, 2017 · Other
- D••••• S••• C•••••• from C••••• A•••••• N••••••• L••Jul 18, 2017 · Other
- D•••••• L••• P••••• from C••••• A•••••• N••••••• L••Jul 18, 2017 · Other
- B•••••• L•••• S••• from C••••• A•••••• N••••••• L••Jul 18, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for W••••• E••••••••• A••••••• S•••••••• L••Oct 8, 2021 · W••••• C••••, Ca · Firm absorbed
- 3 joined from C••••• A•••••• N••••••• L••Sep 15, 2021 · Pleasant Hill, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• D•••••• S••• · Co-Vice President, Ccocontrolsince 04/2017 · owns 25% to 50%
- P•••••• D••••••• L••• · Co-Vice Presidentcontrolsince 04/2017 · owns 25% to 50%
- S•••• B••••••• L•••• · Presidentcontrolsince 04/2017 · owns 25% to 50%
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 · 283 to 276Aug 28, 2020 to Mar 16, 2021
- Individual clients · 149 to 144Aug 28, 2020 to Mar 16, 2021
- Pension plan clients · unset to 2.0Aug 28, 2020 to Mar 16, 2021
- Discretionary RAUM · $112M to $140MAug 28, 2020 to Mar 16, 2021
- Individual RAUM · $112M to $140MAug 28, 2020 to Mar 16, 2021
- Non-discretionary RAUM · $3.5M to $2.1MAug 28, 2020 to Mar 16, 2021
- Pension RAUM · $3.5M to $2.1MAug 28, 2020 to Mar 16, 2021
- RAUM · $115M to $142MAug 28, 2020 to Mar 16, 2021
- Accounts · 292 to 283Mar 26, 2019 to Mar 28, 2020
- Individual clients · 155 to 149Mar 26, 2019 to Mar 28, 2020
- Other offices · 1 to 0Mar 26, 2019 to Mar 28, 2020
- Discretionary RAUM · $117M to $112MMar 26, 2019 to Mar 28, 2020
- Individual RAUM · $117M to $112MMar 26, 2019 to Mar 28, 2020
- Non-discretionary RAUM · $2.5M to $3.5MMar 26, 2019 to Mar 28, 2020
- Pension RAUM · $2.5M to $3.5MMar 26, 2019 to Mar 28, 2020
- RAUM · $119M to $115MMar 26, 2019 to Mar 28, 2020
- Accounts · 283 to 292Mar 27, 2018 to Mar 26, 2019
- Advisory employees · 7 to 6Mar 27, 2018 to Mar 26, 2019
- BD registered reps · 7 to 6Mar 27, 2018 to Mar 26, 2019
- Individual clients · 169 to 155Mar 27, 2018 to Mar 26, 2019
- Employees · 7 to 9Mar 27, 2018 to Mar 26, 2019
- Insurance-licensed employees · 7 to 6Mar 27, 2018 to Mar 26, 2019
- State-registered IARs · 7 to 6Mar 27, 2018 to Mar 26, 2019
- Discretionary RAUM · $124M to $117MMar 27, 2018 to Mar 26, 2019
- Individual RAUM · $124M to $117MMar 27, 2018 to Mar 26, 2019
- Non-discretionary RAUM · $4.5M to $2.5MMar 27, 2018 to Mar 26, 2019
- Pension RAUM · $4.5M to $2.5MMar 27, 2018 to Mar 26, 2019
- RAUM · $128M to $119MMar 27, 2018 to Mar 26, 2019
- Accounts · 274 to 283Sep 6, 2017 to Mar 27, 2018
- Advisory employees · 3 to 7Sep 6, 2017 to Mar 27, 2018
- BD registered reps · 3 to 7Sep 6, 2017 to Mar 27, 2018
- Individual clients · unset to 169.0Sep 6, 2017 to Mar 27, 2018
- Employees · 3 to 7Sep 6, 2017 to Mar 27, 2018
- Insurance-licensed employees · 3 to 7Sep 6, 2017 to Mar 27, 2018
- State-registered IARs · 3 to 7Sep 6, 2017 to Mar 27, 2018
- Other offices · unset to 1.0Sep 6, 2017 to Mar 27, 2018
- Discretionary RAUM · $117M to $124MSep 6, 2017 to Mar 27, 2018
- Individual RAUM · unset to 123800000.0Sep 6, 2017 to Mar 27, 2018
- Non-discretionary RAUM · $3.9M to $4.5MSep 6, 2017 to Mar 27, 2018
- Pension RAUM · unset to 4500000.0Sep 6, 2017 to Mar 27, 2018
Signals
1 dated events
- W••••• C•••• W••••• M••••••••• filed its initial SEC registration (Form ADV)May 22, 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