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••••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Nov 29, 2018 · 14 filings
SEC status approved since Jul 10, 2019
RAUM
$3.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$3.1M 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
14 filings and snapshots on the tape
RAUM$3.1M as of Mar 18, 2026
Feb 5, 2020$34,200 then
HNW client RAUM$0 as of Jan 31, 2022
Feb 5, 2020$0 then
State-registered IARs (5.B.3)0 as of Mar 18, 2026
Feb 5, 20200 then
Employees (5.A)1 as of Mar 18, 2026
Feb 5, 20204 then
Private funds: no history
RAUM +6.1% over the last fiscal year-9.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2026; 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $134,794derivedRAUM 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 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$3.1M100%
- Individual clients
- 23reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 23reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• B•••• · Chief Executive Officer And Chief Compliance Officercontrolsince 10/2020 · owns less than 5%
- M••••••• B•••• · Directorcontrolsince 10/2018 · owns 25% to 50% of W•••••••••
Entity owners
- W••••••••• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $2.9M to $3.1MMar 27, 2025 to Mar 18, 2026
- Individual RAUM · $2.9M to $3.1MMar 27, 2025 to Mar 18, 2026
- RAUM · $2.9M to $3.1MMar 27, 2025 to Mar 18, 2026
- Accounts · 21 to 23Mar 29, 2024 to Mar 27, 2025
- Individual clients · 21 to 23Mar 29, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Mar 29, 2024 to Mar 27, 2025
- HQ state · unset to Mar 29, 2024 to Mar 27, 2025
- Discretionary RAUM · $3.0M to $2.9MMar 29, 2024 to Mar 27, 2025
- Individual RAUM · $3.0M to $2.9MMar 29, 2024 to Mar 27, 2025
- RAUM · $3.0M to $2.9MMar 29, 2024 to Mar 27, 2025
- Accounts · 159 to 21Mar 28, 2023 to Mar 29, 2024
- Individual clients · 159 to 21Mar 28, 2023 to Mar 29, 2024
- Employees · 2 to 1Mar 28, 2023 to Mar 29, 2024
- Discretionary RAUM · $4.1M to $3.0MMar 28, 2023 to Mar 29, 2024
- Individual RAUM · $4.1M to $3.0MMar 28, 2023 to Mar 29, 2024
- RAUM · $4.1M to $3.0MMar 28, 2023 to Mar 29, 2024
- Advisory employees · 2 to 1Jan 31, 2022 to Mar 28, 2023
- Pooled vehicle clients · 0.0 to unsetJan 31, 2022 to Mar 28, 2023
- Employees · 4 to 2Jan 31, 2022 to Mar 28, 2023
- Discretionary RAUM · $3.6M to $4.1MJan 31, 2022 to Mar 28, 2023
- HNW RAUM · 0.0 to unsetJan 31, 2022 to Mar 28, 2023
- Individual RAUM · $3.6M to $4.1MJan 31, 2022 to Mar 28, 2023
- Pension RAUM · 0.0 to unsetJan 31, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · 0.0 to unsetJan 31, 2022 to Mar 28, 2023
- RAUM · $3.6M to $4.1MJan 31, 2022 to Mar 28, 2023
- Accounts · 60 to 159Feb 1, 2021 to Jan 31, 2022
- Individual clients · 60 to 159Feb 1, 2021 to Jan 31, 2022
- Discretionary RAUM · $116,267 to $3.6MFeb 1, 2021 to Jan 31, 2022
- Individual RAUM · $116,267 to $3.6MFeb 1, 2021 to Jan 31, 2022
- RAUM · $116,267 to $3.6MFeb 1, 2021 to Jan 31, 2022
- Accounts · 8 to 60Oct 28, 2020 to Feb 1, 2021
- Individual clients · 8 to 60Oct 28, 2020 to Feb 1, 2021
- Discretionary RAUM · $34,200 to $116,267Oct 28, 2020 to Feb 1, 2021
- Individual RAUM · $34,200 to $116,267Oct 28, 2020 to Feb 1, 2021
- RAUM · $34,200 to $116,267Oct 28, 2020 to Feb 1, 2021
- Accounts · 2 to 8Jan 14, 2020 to Feb 5, 2020
- Individual clients · 2 to 8Jan 14, 2020 to Feb 5, 2020
- Discretionary RAUM · $25,635 to $34,200Jan 14, 2020 to Feb 5, 2020
- Individual RAUM · $25,635 to $34,200Jan 14, 2020 to Feb 5, 2020
- RAUM · $25,635 to $34,200Jan 14, 2020 to Feb 5, 2020
Signals
2 dated events
- Y••••• N••••••• (Chief Financial Officer) no longer on Schedule A of W••••••••• L•• (listed 2020-10-28, absent 2021-02-01)Feb 1, 2021 · Control person left · inference
- W••••••••• L•• filed its initial SEC registration (Form ADV)Nov 29, 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.
How to reach
public business contact points only, each with its source
- Business email
- s••••••@w•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 514-567-0815reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/wealthfacecoreportedpublic record, Form ADV, Sep 18, 2026
- Website
- w•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 971509641641reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- w•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda 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