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••••••• E••••• F••• M••••••••• •••• L••
Latest filing Mar 29, 2026
First filing on the tape Dec 14, 2017 · 17 filings
SEC status approved since Jan 18, 2018
RAUM
$4.0B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$4.0B
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
16
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$4.0B as of Mar 29, 2026
Mar 26, 2018$565M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2026
Mar 26, 20180 then
Employees (5.A)2 as of Mar 29, 2026
Mar 26, 20183 then
Private funds16 as of Mar 29, 2026
Mar 29, 20193 then
RAUM -22% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $4.0BderivedRAUM 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
- $334MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -22%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.0B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 12reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• L••••••• R••••• | Houston, Tx | Apr 2, 2018 | 16 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
15 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W••••••• E••••• F••• ••••••••• L• | Private Equity Fund | $803M | 5 | Aug 15, 2018 |
| W••••••• E••••• F••• ••• L• | Private Equity Fund | $781M | 28 | Aug 15, 2018 |
| W••••••• E••••• F••• I•• ••••••••• F•• L• | Private Equity Fund | $733M | 17 | Mar 28, 2024 |
| W••••••• E••••• F••• ••••••••• L• | Private Equity Fund | $377M | 13 | Aug 15, 2018 |
| W••••••• E••••• F••• C••••••••• ••••••••• L• | Private Equity Fund | $215M | 12 | Mar 31, 2021 |
| W•• O••• C•••••••• I• L• | Private Equity Fund | $183M | 7 | Mar 31, 2021 |
| W••••••• E••••• F••• C••••••••• ••••••••• L• | Private Equity Fund | $174M | 6 | Mar 31, 2021 |
| W••••••• E••••• F••• I• ••••••••• L• | Private Equity Fund | $157M | 19 | Mar 24, 2022 |
| W•• O••• C•••••••• I• L• | Private Equity Fund | $154M | 6 | Mar 31, 2021 |
| W••••••• E••••• F••• I• ••• L• | Private Equity Fund | $126M | 22 | Mar 24, 2022 |
| W•• O••• C•••••••• I•• L• | Private Equity Fund | $115M | 6 | Mar 31, 2021 |
| W••••••• E••••• F••• I• ••••••••• L• | Private Equity Fund | $66.0M | 4 | Mar 24, 2022 |
| W••••••• E••••• F••• I•• •••••••• F•• L• | Private Equity Fund | $52.4M | 6 | Mar 28, 2024 |
| W••••••• E••••• F••• I•• ••• L• | Private Equity Fund | $15.3M | 8 | Mar 28, 2024 |
| W••••••• E••••• F••• I•• ••••••••• L• | Private Equity Fund | $12.7M | 9 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- R•••••• D••••• L••••••• · Chief Compliance Officercontrolsince 12/2022 · owns less than 5%
- W•••••••• A•••• R•••••• · Shareholdercontrolsince 02/2016 · owns 50% to 75% of L•••••• C•••••• L•••
- W•••••••• J••••• K•••••••• · Shareholdercontrolsince 02/2016 · owns 50% to 75% of L•••••• C•••••• L•••
Entity owners
- W••••••• E••••• F••• M••••••••• C•••• · Sole Memberdirect · owns 75% or more
- L•••••• C•••••• L••• · Shareholderindirect · owns 75% or more of W••••••• E••••• F••• M••••••••• C••••
Related persons
Schedule D 7.A
- W••••••• E••••• F••• M••••••••• C•••• ••••••••investment advisery
- W•• C••••••••• G• ••••••••• C••••pooled vehicle sponsorn
- W•• C••••••••• G• ••••••••• C••••pooled vehicle sponsorn
- W•• G• ••••••••• C•••pooled vehicle sponsorn
- W•• G• ••••••••• L•••pooled vehicle sponsorn
- W•• G• ••• L••pooled vehicle sponsorn
- W•• I• G• ••••••••• C••••pooled vehicle sponsorn
- W•• I• G• ••••••••• L•••pooled vehicle sponsorn
- W•• I• G• ••• C••••pooled vehicle sponsorn
- W•• I•• G• •••••••• F•• C••••pooled vehicle sponsorn
- W•• I•• G• ••••••••• C••••pooled vehicle sponsorn
- W•• I•• G• ••••••••• F•• C••••pooled vehicle sponsorn
- W•• I•• G• ••• C••••pooled vehicle sponsorn
- W•• O••• I• G• L•••pooled vehicle sponsorn
- W•• O••• I• G• L•••pooled vehicle sponsorn
- W•• O••• I•• G• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Greenwich, CT1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 29, 2026discretionary share of RAUM of 0% against a peer median of 100% (1506 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: asset managers, $1B to $5B (1,506) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 16 to 12Mar 26, 2025 to Mar 29, 2026
- Pooled vehicle clients · 16 to 12Mar 26, 2025 to Mar 29, 2026
- Non-discretionary RAUM · $5.2B to $4.0BMar 26, 2025 to Mar 29, 2026
- Pooled vehicle RAUM · $5.2B to $4.0BMar 26, 2025 to Mar 29, 2026
- RAUM · $5.2B to $4.0BMar 26, 2025 to Mar 29, 2026
- Accounts · 15 to 16Mar 28, 2024 to Mar 26, 2025
- Pooled vehicle clients · 15 to 16Mar 28, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 26, 2025
- Private funds · 15 to 16Mar 28, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $4.0B to $5.2BMar 28, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $4.0B to $5.2BMar 28, 2024 to Mar 26, 2025
- RAUM · $4.0B to $5.2BMar 28, 2024 to Mar 26, 2025
- Accounts · 11 to 15Mar 30, 2023 to Mar 28, 2024
- Pooled vehicle clients · 11 to 15Mar 30, 2023 to Mar 28, 2024
- Private funds · 11 to 15Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $5.7B to $0Mar 30, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $0 to $4.0BMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $5.7B to $4.0BMar 30, 2023 to Mar 28, 2024
- RAUM · $5.7B to $4.0BMar 30, 2023 to Mar 28, 2024
- Advisory activities · 2 to 1Dec 14, 2022 to Mar 30, 2023
- Discretionary RAUM · $0 to $5.7BDec 14, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $3.6B to $0Dec 14, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $3.6B to $5.7BDec 14, 2022 to Mar 30, 2023
- RAUM · $3.6B to $5.7BDec 14, 2022 to Mar 30, 2023
- Advisory employees · 3 to 2Mar 24, 2022 to Dec 14, 2022
- Employees · 3 to 2Mar 24, 2022 to Dec 14, 2022
- Accounts · 8 to 11Mar 31, 2021 to Mar 24, 2022
- Pooled vehicle clients · 8 to 11Mar 31, 2021 to Mar 24, 2022
- Private funds · 8 to 11Mar 31, 2021 to Mar 24, 2022
- Non-discretionary RAUM · $1.9B to $3.6BMar 31, 2021 to Mar 24, 2022
- Pooled vehicle RAUM · $1.9B to $3.6BMar 31, 2021 to Mar 24, 2022
- RAUM · $1.9B to $3.6BMar 31, 2021 to Mar 24, 2022
- Accounts · 3 to 8Mar 30, 2020 to Mar 31, 2021
- Pooled vehicle clients · 3 to 8Mar 30, 2020 to Mar 31, 2021
- Private funds · 3 to 8Mar 30, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $1.3B to $1.9BMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $1.3B to $1.9BMar 30, 2020 to Mar 31, 2021
- RAUM · $1.3B to $1.9BMar 30, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $1.2B to $1.3BNov 13, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $1.2B to $1.3BNov 13, 2019 to Mar 30, 2020
Signals
9 dated events
- W••••••• E••••• F••• M••••••••• •••• L•• reported RAUM $5.2B, up 30% from $4.0B (2024-03-28 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- W••••••• E••••• F••• M••••••••• •••• L•• reported RAUM $4.0B, down 30% from $5.7B (2023-03-30 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- W••••••• E••••• F••• M••••••••• •••• L•• reported RAUM $5.7B, up 57% from $3.6B (2022-12-14 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Edward Michael Buckingham (Chief Compliance Officer) no longer on Schedule A of W••••••• E••••• F••• M••••••••• •••• L•• (listed 2022-03-24, absent 2022-12-14)Dec 14, 2022 · Control person left · inference
- Lawrence David Roosth (Chief Compliance Officer) appeared on Schedule A of W••••••• E••••• F••• M••••••••• •••• L••Dec 14, 2022 · Control person joined · fact
- W••••••• E••••• F••• M••••••••• •••• L•• reported RAUM $3.6B, up 93% from $1.9B (2021-03-31 to 2022-03-24)Mar 24, 2022 · RAUM change · derived
- W••••••• E••••• F••• M••••••••• •••• L•• reported RAUM $1.9B, up 47% from $1.3B (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- W••••••• E••••• F••• M••••••••• •••• L•• reported RAUM $1.0B, up 81% from $564.9M (2018-03-26 to 2018-08-15)Aug 15, 2018 · RAUM change · derived
- W••••••• E••••• F••• M••••••••• •••• L•• filed its initial SEC registration (Form ADV)Dec 14, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- W••••••• E••••• F••• M••••••••• •••• L•• · Independent Sponsorsshared crd · capital_provider
- W••••••• E••••• F••• M••••••••• •••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- ca.linkedin.com/company/waterous-energy-fundreportedpublic record, Form ADV, Sep 19, 2026
- Website
- W•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 281-545-7397reportedpublic record, Form ADV, Mar 29, 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
- $4.0Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026