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W••••••••• A•••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser· Dallas, Texas

Former SEC-registered adviser, based in Dallas, Texas, reporting $175M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$175M
Form ADV
RAUM change, 1 year
-36%
Form ADV, consecutive annual filings
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 10 Feb 2025, RAUM $272M to $175M (-35.8%) on the Form ADV filed 10 Feb 2025.

Every filed figure, and the identifiersCRD 290065 · SEC 801-111865 · 14 filingsShow
CRD 290065SEC 801-111865First filing on the tape Sep 15, 2017, latest Feb 10, 2025SEC status approved since Oct 15, 2017IAPD
RAUM
$175M
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
Not computed
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape

RAUM -24% a year over three years · the tape starts Sep 15, 2017

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$175M as of Feb 10, 2025
Mar 21, 2018$5.9M then
HNW client RAUM$0 as of Feb 10, 2025
Mar 21, 2018$0 then
State-registered IARs (5.B.3)0 as of Feb 10, 2025
Mar 21, 20180 then
Employees (5.A)4 as of Feb 10, 2025
Mar 21, 20186 then
Private funds: no history
RAUM -36% over the last fiscal year-24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 10, 2025; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$43.6MderivedRAUM 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
unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year
-36%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-100%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing

91% investment companies, 8.6% pooled investment vehicles

The breakdown by client type, and the client counts2 client typesShow
  • Investment companies$160M91%
  • Pooled investment vehicles$15.0M8.6%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
4reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••• S••••• C••••••• · Sole Managercontrol
        since 10/2008 · owns less than 5%
      • A••••• M•••• W•••••• · Chief Compliance Officer
        since 03/2023 · owns less than 5%
      Entity owners
      • W••••••••• P• L•• · Sole Member
        direct · owns 75% or more
      • K••••• 2••• T•••• · Sole Member
        indirect · owns 75% or more of W••••••••• A•••••••• L••
      • W••••••••• A•••••••• L•• · Sole Member
        indirect · owns 75% or more of W••••••••• P• L••
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list W••••••••• A•••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 4
        Mar 12, 2024 to Feb 10, 2025
      • HNW clients · 2 to 0
        Mar 12, 2024 to Feb 10, 2025
      • Pooled vehicle clients · 1 to 2
        Mar 12, 2024 to Feb 10, 2025
      • Employees · 6 to 4
        Mar 12, 2024 to Feb 10, 2025
      • Financial planning clients · unset to
        Mar 12, 2024 to Feb 10, 2025
      Full history · 59 changes
      • Discretionary RAUM · $272M to $175M
        Mar 12, 2024 to Feb 10, 2025
      • HNW RAUM · $7.0M to $0
        Mar 12, 2024 to Feb 10, 2025
      • Pooled vehicle RAUM · $15.5M to $15.0M
        Mar 12, 2024 to Feb 10, 2025
      • RAUM · $272M to $175M
        Mar 12, 2024 to Feb 10, 2025
      • Accounts · 7 to 5
        Aug 17, 2023 to Mar 12, 2024
      • HNW clients · 3 to 2
        Aug 17, 2023 to Mar 12, 2024
      • Assets in custody · 5000000.0 to unset
        Aug 17, 2023 to Mar 12, 2024
      • Custody of client assets · true to false
        Aug 17, 2023 to Mar 12, 2024
      • Discretionary RAUM · $309M to $272M
        Aug 17, 2023 to Mar 12, 2024
      • HNW RAUM · $5.0M to $7.0M
        Aug 17, 2023 to Mar 12, 2024
      • Pooled vehicle RAUM · $14.1M to $15.5M
        Aug 17, 2023 to Mar 12, 2024
      • RAUM · $309M to $272M
        Aug 17, 2023 to Mar 12, 2024
      • Related bank · true to false
        Aug 17, 2023 to Mar 12, 2024
      • Accounts · 2 to 7
        Apr 18, 2023 to Aug 17, 2023
      • HNW clients · 0 to 3
        Apr 18, 2023 to Aug 17, 2023
      • Pooled vehicle clients · 0 to 1
        Apr 18, 2023 to Aug 17, 2023
      • Assets in custody · unset to 5000000.0
        Apr 18, 2023 to Aug 17, 2023
      • Custody of client assets · false to true
        Apr 18, 2023 to Aug 17, 2023
      • Discretionary RAUM · $373M to $309M
        Apr 18, 2023 to Aug 17, 2023
      • HNW RAUM · $0 to $5.0M
        Apr 18, 2023 to Aug 17, 2023
      • Pooled vehicle RAUM · $0 to $14.1M
        Apr 18, 2023 to Aug 17, 2023
      • RAUM · $373M to $309M
        Apr 18, 2023 to Aug 17, 2023
      • HQ city · unset to DALLAS
        Mar 17, 2023 to Apr 18, 2023
      • HQ state · unset to TX
        Mar 17, 2023 to Apr 18, 2023
      • Other offices · 1 to 0
        Mar 17, 2023 to Apr 18, 2023
      • Discretionary RAUM · $397M to $373M
        Jan 10, 2022 to Jan 4, 2023
      • RAUM · $397M to $373M
        Jan 10, 2022 to Jan 4, 2023
      • Discretionary RAUM · $324M to $397M
        Mar 29, 2021 to Jan 10, 2022
      • RAUM · $324M to $397M
        Mar 29, 2021 to Jan 10, 2022
      • Accounts · 1 to 2
        Mar 25, 2020 to Mar 29, 2021
      • Discretionary RAUM · $173M to $324M
        Mar 25, 2020 to Mar 29, 2021
      • RAUM · $173M to $324M
        Mar 25, 2020 to Mar 29, 2021
      • Discretionary RAUM · $36.6M to $173M
        Mar 26, 2019 to Mar 25, 2020
      • RAUM · $36.6M to $173M
        Mar 26, 2019 to Mar 25, 2020
      • Discretionary RAUM · $5.9M to $36.6M
        Mar 21, 2018 to Mar 26, 2019
      • RAUM · $5.9M to $36.6M
        Mar 21, 2018 to Mar 26, 2019
      • Accounts · unset to 1.0
        Dec 6, 2017 to Mar 21, 2018
      • Discretionary RAUM · unset to 5899318.0
        Dec 6, 2017 to Mar 21, 2018
      • Non-discretionary RAUM · unset to 0.0
        Dec 6, 2017 to Mar 21, 2018
      • RAUM · unset to 5899318.0
        Dec 6, 2017 to Mar 21, 2018
      • Advisory activities · 1 to 2
        Sep 15, 2017 to Dec 6, 2017
      • Business name · I••••••••• M••••••••• to W••••••••• A•••• M••••••••• L••
        Sep 15, 2017 to Dec 6, 2017
      • Charity clients · unset to 0.0
        Sep 15, 2017 to Dec 6, 2017
      • Corporate clients · unset to 0.0
        Sep 15, 2017 to Dec 6, 2017
      • HNW clients · unset to 0.0
        Sep 15, 2017 to Dec 6, 2017
      • Individual clients · unset to 0.0
        Sep 15, 2017 to Dec 6, 2017
      • Pension plan clients · unset to 0.0
        Sep 15, 2017 to Dec 6, 2017
      • Pooled vehicle clients · unset to 0.0
        Sep 15, 2017 to Dec 6, 2017
      • Employees · 5 to 6
        Sep 15, 2017 to Dec 6, 2017
      • Other offices · unset to 1.0
        Sep 15, 2017 to Dec 6, 2017
      • HNW RAUM · unset to 0.0
        Sep 15, 2017 to Dec 6, 2017
      • Individual RAUM · unset to 0.0
        Sep 15, 2017 to Dec 6, 2017
      • Pension RAUM · unset to 0.0
        Sep 15, 2017 to Dec 6, 2017
      • Pooled vehicle RAUM · unset to 0.0
        Sep 15, 2017 to Dec 6, 2017
      Signals
      3 dated events
      • ••• Locked
        Feb 2, 2026 · Left the SEC roster · derived
      • ••• Locked
        Mar 29, 2021 · RAUM change · derived
      • ••• Locked
        Sep 15, 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
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026