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

H•••• • H•••• W••••• M•••••••••

Former SEC-registered adviserScottsdale, ArizonaCRD 289248SEC 801-111876IAPD
Legal name W••••• M••••••••• L••
Latest filing Mar 30, 2022
First filing on the tape Sep 18, 2017 · 10 filings
RAUM
$738M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$680M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
21
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$738M as of Mar 30, 2022
Mar 30, 2018$258M then
HNW client RAUM$530M as of Mar 30, 2022
Mar 30, 2018$171M then
State-registered IARs (5.B.3)19 as of Mar 30, 2022
Mar 30, 201819 then
Employees (5.A)21 as of Mar 30, 2022
Mar 30, 201819 then
Private funds: no history
RAUM +36% over the last fiscal year+45% a year over threeIARs 19 to 19
Practice profile
derived from the filing of Mar 30, 2022; every figure names its basis
RAUM per advisor
$38.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
16derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.6MderivedHNW RAUM over HNW clients
Average account
$2.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
19.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+36%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-7.2%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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
  • High-net-worth individuals$530M72%
  • Individuals$149M20%
  • Corporations and businesses$43.9M5.9%
  • State and municipal entities$12.4M1.7%
  • Pension and profit-sharing plans$1.6M0.2%
  • Charitable organizations$867,1320.1%
Individual clients
200reported
HNW clients
95reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
344reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C•••••• M••••••• J••••• · President, Chief Compliance Officer, Membercontrol
    since 09/2008 · owns 50% to 75%
Entity owners
  • H•••• L•• · Member
    direct · owns 50% to 75%
Related persons
Schedule D 7.A
  • H•••• • H••••• L••
    insurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Corporate clients · unset to 8.0
    Oct 7, 2021 to Mar 30, 2022
  • HNW clients · 121 to 95
    Oct 7, 2021 to Mar 30, 2022
  • Individual clients · 197 to 200
    Oct 7, 2021 to Mar 30, 2022
  • Employees · 22 to 21
    Oct 7, 2021 to Mar 30, 2022
  • Discretionary RAUM · $545M to $738M
    Oct 7, 2021 to Mar 30, 2022
  • HNW RAUM · $481M to $530M
    Oct 7, 2021 to Mar 30, 2022
  • Individual RAUM · $63.8M to $149M
    Oct 7, 2021 to Mar 30, 2022
  • Pension RAUM · unset to 1596743.0
    Oct 7, 2021 to Mar 30, 2022
  • RAUM · $545M to $738M
    Oct 7, 2021 to Mar 30, 2022
  • BD registered reps · 1 to 0
    Mar 29, 2021 to Oct 7, 2021
  • Accounts · 1,016 to 344
    Jun 30, 2020 to Mar 29, 2021
  • Advisory activities · 3 to 4
    Jun 30, 2020 to Mar 29, 2021
  • HNW clients · 58 to 121
    Jun 30, 2020 to Mar 29, 2021
  • Individual clients · 184 to 197
    Jun 30, 2020 to Mar 29, 2021
  • Pension plan clients · 10.0 to unset
    Jun 30, 2020 to Mar 29, 2021
  • Discretionary RAUM · $232M to $545M
    Jun 30, 2020 to Mar 29, 2021
  • HNW RAUM · $133M to $481M
    Jun 30, 2020 to Mar 29, 2021
  • Individual RAUM · $232M to $63.8M
    Jun 30, 2020 to Mar 29, 2021
  • Non-discretionary RAUM · $133M to $0
    Jun 30, 2020 to Mar 29, 2021
  • RAUM · $365M to $545M
    Jun 30, 2020 to Mar 29, 2021
  • Accounts · 646 to 1,016
    Mar 14, 2019 to Mar 10, 2020
  • Advisory employees · 4 to 3
    Mar 14, 2019 to Mar 10, 2020
  • BD registered reps · 4 to 1
    Mar 14, 2019 to Mar 10, 2020
  • Financial planning clients · 101-250 to 251-500
    Mar 14, 2019 to Mar 10, 2020
  • Discretionary RAUM · $0 to $232M
    Mar 14, 2019 to Mar 10, 2020
  • HNW RAUM · $128M to $133M
    Mar 14, 2019 to Mar 10, 2020
  • Individual RAUM · $114M to $232M
    Mar 14, 2019 to Mar 10, 2020
  • Non-discretionary RAUM · $242M to $133M
    Mar 14, 2019 to Mar 10, 2020
  • RAUM · $242M to $365M
    Mar 14, 2019 to Mar 10, 2020
  • Accounts · 260 to 646
    Aug 2, 2018 to Mar 14, 2019
  • HNW clients · 67 to 58
    Aug 2, 2018 to Mar 14, 2019
  • Individual clients · 130 to 184
    Aug 2, 2018 to Mar 14, 2019
  • Pension plan clients · 8 to 10
    Aug 2, 2018 to Mar 14, 2019
  • Employees · 19 to 22
    Aug 2, 2018 to Mar 14, 2019
  • HNW RAUM · $171M to $128M
    Aug 2, 2018 to Mar 14, 2019
  • Individual RAUM · $19.0M to $114M
    Aug 2, 2018 to Mar 14, 2019
  • Non-discretionary RAUM · $258M to $242M
    Aug 2, 2018 to Mar 14, 2019
  • Pension RAUM · 67500000.0 to unset
    Aug 2, 2018 to Mar 14, 2019
  • RAUM · $258M to $242M
    Aug 2, 2018 to Mar 14, 2019
  • Accounts · 575 to 260
    Feb 6, 2018 to Mar 30, 2018
Signals
13 dated events
  • M•••••• J••••• C••••• left H•••• • H•••• W••••• M••••••••• for I••••••••• C•••••• (registered 2022-07-12)
    Jul 15, 2022 · Advisor changed firm · fact
  • P•••••• R•• M••••••• left H•••• • H•••• W••••• M••••••••• for B•••• T•••• W••••• M••••••••• L•• (registered 2023-01-10)
    Jul 15, 2022 · Advisor changed firm · fact
  • C•••••• H•••• G••••••••• left H•••• • H•••• W••••• M••••••••• for B•••• T•••• W••••• M••••••••• L•• (registered 2023-01-11)
    Jul 15, 2022 · Advisor changed firm · fact
  • J••••• A•••• S•••• left H•••• • H•••• W••••• M••••••••• for B•••• T•••• W••••• M••••••••• L•• (registered 2023-01-10)
    Jul 15, 2022 · Advisor changed firm · fact
  • H•••• • H•••• W••••• M•••••••••'s advisors moved to B•••• T•••• W••••• M••••••••• L•• (Scottsdale, AZ): 3 of 4 registered, on the same day
    Jul 15, 2022 · Firm absorbed (people side) · derived
  • S•••••• M•••• Z••••••• left H•••• • H•••• W••••• M••••••••• for I••••••••• C•••••• (registered 2022-08-01)
    Jun 29, 2022 · Advisor changed firm · fact
  • 2 advisors left H•••• • H•••• W••••• M••••••••• (Scottsdale, AZ) for I••••••••• C•••••• on the same day
    Jun 29, 2022 · Team lift-out · derived
  • D•••• A•••• Q••••• left H•••• • H•••• W••••• M••••••••• for I••••••••• C•••••• (registered 2022-07-25)
    Jun 29, 2022 · Advisor changed firm · fact
  • H•••• • H•••• W••••• M••••••••• reported RAUM $738.4M, up 36% from $544.7M (2021-10-07 to 2022-03-30)
    Mar 30, 2022 · RAUM change · derived
  • H•••• • H•••• W••••• M••••••••• reported RAUM $544.7M, up 49% from $364.9M (2020-06-30 to 2021-03-29)
    Mar 29, 2021 · RAUM change · derived
  • H•••• • H•••• W••••• M••••••••• reported RAUM $364.9M, up 51% from $241.5M (2019-03-14 to 2020-03-10)
    Mar 10, 2020 · RAUM change · derived
  • H•••• • H•••• W••••• M••••••••• reported 19 state-registered advisory representatives, up from 3 (2018-02-06 to 2018-03-30)
    Mar 30, 2018 · Advisor headcount change · derived
  • W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Sep 18, 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