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••••••• G•••• L••
Latest filing Jan 10, 2025
First filing on the tape Dec 8, 2017 · 18 filings
SEC status approved since Jan 8, 2018
RAUM
$291M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$291M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$291M as of Jan 10, 2025
Mar 12, 2019$155M then
HNW client RAUM$279M as of Jan 10, 2025
Mar 12, 2019$145M then
State-registered IARs (5.B.3)2 as of Jan 10, 2025
Mar 12, 20192 then
Employees (5.A)4 as of Jan 10, 2025
Mar 12, 20195 then
Private funds: no history
RAUM +0.0% over the last fiscal year+1.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 10, 2025; every figure names its basis
- RAUM per advisor
- $145MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $800,917derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $290M, 105 clientsreportedItem 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$279M96%
- Individuals$12.0M4.1%
- Individual clients
- 47reported
- HNW clients
- 60reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 363reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $290M for 105 clientsreported
- 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
- D••••• W•••• S•••••••• to C•••••••Mar 20, 2025 · Other
- D•••• M•••••• T••••• to C•••••••Mar 20, 2025 · Other
- K•••• M•••• H•••••••• to M••••••Oct 22, 2019 · RIA to affiliated broker-dealer or bank
- W•••••• R•••• R••••••• to B••••••••• W••••• A•••••••• L••Oct 31, 2018 · RIA to RIA
Joined, latest
- K•••• M•••• H•••••••• from Q•••• C•••••• M••••••••• I•••Mar 7, 2019 · RIA to RIA
- W•••••• R•••• R••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 9, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- D••••• W•••• S•••••••• from S•••••••• W•••• S•••••••• F•••••••• G••••• I•••Jan 9, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• E••••• M••••• · Chief Compliance Officercontrolsince 03/2021 · owns less than 5%
- S••••••••• D•••••• W•••• · Managing Membercontrolsince 01/2018 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Related adviser · false to trueDec 12, 2024 to Jan 10, 2025
- Related broker-dealer · false to trueDec 12, 2024 to Jan 10, 2025
- Accounts · 355 to 363Aug 29, 2023 to Mar 1, 2024
- Charity clients · unset to 0.0Aug 29, 2023 to Mar 1, 2024
- Corporate clients · unset to 0.0Aug 29, 2023 to Mar 1, 2024
- HNW clients · 59 to 60Aug 29, 2023 to Mar 1, 2024
- Individual clients · 52 to 47Aug 29, 2023 to Mar 1, 2024
- Pension plan clients · unset to 0.0Aug 29, 2023 to Mar 1, 2024
- Pooled vehicle clients · unset to 0.0Aug 29, 2023 to Mar 1, 2024
- Assets in custody · $294M to $290MAug 29, 2023 to Mar 1, 2024
- Discretionary RAUM · $302M to $291MAug 29, 2023 to Mar 1, 2024
- HNW RAUM · $291M to $279MAug 29, 2023 to Mar 1, 2024
- Individual RAUM · $10.9M to $12.0MAug 29, 2023 to Mar 1, 2024
- Pension RAUM · unset to 0.0Aug 29, 2023 to Mar 1, 2024
- Pooled vehicle RAUM · unset to 0.0Aug 29, 2023 to Mar 1, 2024
- RAUM · $302M to $291MAug 29, 2023 to Mar 1, 2024
- Accounts · 327 to 355Feb 1, 2023 to Aug 29, 2023
- HNW clients · 54 to 59Feb 1, 2023 to Aug 29, 2023
- Individual clients · 47 to 52Feb 1, 2023 to Aug 29, 2023
- Assets in custody · $258M to $294MFeb 1, 2023 to Aug 29, 2023
- Custody of client assets · false to trueFeb 1, 2023 to Aug 29, 2023
- Discretionary RAUM · $270M to $302MFeb 1, 2023 to Aug 29, 2023
- HNW RAUM · $260M to $291MFeb 1, 2023 to Aug 29, 2023
- Individual RAUM · $10.6M to $10.9MFeb 1, 2023 to Aug 29, 2023
- RAUM · $270M to $302MFeb 1, 2023 to Aug 29, 2023
- Accounts · 311 to 327Aug 5, 2022 to Feb 1, 2023
- HNW clients · 63 to 54Aug 5, 2022 to Feb 1, 2023
- Individual clients · 38 to 47Aug 5, 2022 to Feb 1, 2023
- Assets in custody · $245M to $258MAug 5, 2022 to Feb 1, 2023
- Financial planning clients · 1-10 to 51-100Aug 5, 2022 to Feb 1, 2023
- Discretionary RAUM · $276M to $270MAug 5, 2022 to Feb 1, 2023
- HNW RAUM · $269M to $260MAug 5, 2022 to Feb 1, 2023
- Individual RAUM · $7.7M to $10.6MAug 5, 2022 to Feb 1, 2023
- RAUM · $276M to $270MAug 5, 2022 to Feb 1, 2023
- Accounts · 302 to 311Mar 31, 2021 to Mar 23, 2022
- Individual clients · 35 to 38Mar 31, 2021 to Mar 23, 2022
- Assets in custody · $174M to $245MMar 31, 2021 to Mar 23, 2022
- Employees · 3 to 4Mar 31, 2021 to Mar 23, 2022
- Discretionary RAUM · $194M to $276MMar 31, 2021 to Mar 23, 2022
- HNW RAUM · $187M to $269MMar 31, 2021 to Mar 23, 2022
Signals
6 dated events
- W••••• C••••••• G•••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $290.7M)May 2, 2025 · Left the SEC roster · derived
- D••••• W•••• S•••••••• left W••••• C••••••• G•••• L•• for C••••••• (registered 2025-01-10)Mar 20, 2025 · Advisor changed firm · fact
- D•••• M•••••• T••••• left W••••• C••••••• G•••• L•• for C••••••• (registered 2025-01-10)Mar 20, 2025 · Advisor changed firm · fact
- 2 advisors left W••••• C••••••• G•••• L•• (Houston, TX) for C••••••• on the same dayMar 20, 2025 · Team lift-out · derived
- Maxine Erica Richard (Chief Compliance Officer) appeared on Schedule A of W••••• C••••••• G•••• L••Mar 31, 2021 · Control person joined · fact
- C••••••• W••••• G••••• L•• filed its initial SEC registration (Form ADV)Dec 8, 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