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••••• L••

Former SEC-registered adviserAtlanta, GeorgiaCRD 293091SEC 801-112933IAPD
Latest filing Jun 30, 2020
First filing on the tape Mar 23, 2018 · 5 filings
RAUM
$279M
reported, Item 5.F
Discretionary
53%
of RAUM
Private clients
86%
$238M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$279M as of Mar 30, 2020
Mar 28, 2019$16.6M then
HNW client RAUM$235M as of Mar 30, 2020
Mar 28, 2019$248,000 then
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 28, 20190 then
Employees (5.A)1 as of Mar 30, 2020
Mar 28, 20191 then
Private funds: no history
RAUM +1576% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 2020; every figure names its basis
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
$1.7MderivedHNW RAUM over HNW clients
Average account
$512,592derivedRAUM over accounts (5.F.2.f)
Discretionary
53%derivedof RAUM
Institutional
6.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+1576%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+14900%derived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • 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$235M84%
  • Corporations and businesses$23.0M8.2%
  • Insurance companies$11.1M4.0%
  • Pension and profit-sharing plans$6.3M2.3%
  • Individuals$3.9M1.4%
Individual clients
14reported
HNW clients
136reported
Pension plan clients
4reported
Charitable clients
n/areported
Accounts
544reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • W•••••• C••••••••• J••••• · Managing Director/Chief Compliance Officercontrol
        since 11/2017 · owns 75% or more
      • O••••••• S•••• D•••• · Ownercontrol
        since 03/2020 · owns 75% or more of 1••• W••••• L••
      Entity owners
      • 1••• W••••• L•• · Owner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 9 to 544
        Mar 28, 2019 to Mar 30, 2020
      • Charity clients · 1.0 to unset
        Mar 28, 2019 to Mar 30, 2020
      • Corporate clients · 0 to 6
        Mar 28, 2019 to Mar 30, 2020
      • HNW clients · 1 to 136
        Mar 28, 2019 to Mar 30, 2020
      • Individual clients · 0 to 14
        Mar 28, 2019 to Mar 30, 2020
      • Pension plan clients · 0 to 4
        Mar 28, 2019 to Mar 30, 2020
      • Discretionary RAUM · $16.6M to $148M
        Mar 28, 2019 to Mar 30, 2020
      • HNW RAUM · $248,000 to $235M
        Mar 28, 2019 to Mar 30, 2020
      • Individual RAUM · unset to 3900000.0
        Mar 28, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $0 to $131M
        Mar 28, 2019 to Mar 30, 2020
      • Pension RAUM · $0 to $6.3M
        Mar 28, 2019 to Mar 30, 2020
      • RAUM · $16.6M to $279M
        Mar 28, 2019 to Mar 30, 2020
      • Accounts · 14 to 9
        Mar 23, 2018 to Mar 28, 2019
      • Advisory employees · 3 to 1
        Mar 23, 2018 to Mar 28, 2019
      • HNW clients · 0 to 1
        Mar 23, 2018 to Mar 28, 2019
      • Employees · 3 to 1
        Mar 23, 2018 to Mar 28, 2019
      • Insurance-licensed employees · 2 to 1
        Mar 23, 2018 to Mar 28, 2019
      • Financial planning clients · unset to 0
        Mar 23, 2018 to Mar 28, 2019
      • Discretionary RAUM · $23.5M to $16.6M
        Mar 23, 2018 to Mar 28, 2019
      • HNW RAUM · $0 to $248,000
        Mar 23, 2018 to Mar 28, 2019
      • Individual RAUM · 0.0 to unset
        Mar 23, 2018 to Mar 28, 2019
      • RAUM · $23.5M to $16.6M
        Mar 23, 2018 to Mar 28, 2019
      • Related adviser · false to true
        Mar 23, 2018 to Mar 28, 2019
      Signals
      3 dated events
      • David Sean O'Toole (Owner) appeared on Schedule A of W••••• L••
        Mar 30, 2020 · Control person joined · fact
      • H••••• J•••• K•••• (Chief Compliance Officer/Manager) no longer on Schedule A of W••••• L•• (listed 2018-03-23, absent 2019-03-28)
        Mar 28, 2019 · Control person left · inference
      • W••••• L•• filed its initial SEC registration (Form ADV)
        Mar 23, 2018 · 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