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• W••••• P••••••• L••

Former SEC-registered adviserColumbia, MissouriCRD 306951SEC 801-118523websiteIAPD
Latest filing Aug 28, 2024
First filing on the tape Mar 25, 2020 · 29 filings
SEC status approved since Apr 24, 2020
RAUM
$482M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$459M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
14 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$482M as of Feb 8, 2024
Feb 19, 2021$268M then
HNW client RAUM$285M as of Feb 8, 2024
Feb 19, 2021$70.6M then
State-registered IARs (5.B.3)15 as of Feb 8, 2024
Feb 19, 20217 then
Employees (5.A)23 as of Feb 8, 2024
Feb 19, 202114 then
Private funds: no history
RAUM +36% over the last fiscal year+22% a year over threeIARs 9 to 14offices 2 to 5
Practice profile
derived from the filing of Aug 28, 2024; every figure names its basis
RAUM per advisor
$34.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
86derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$157,054derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
2.3derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+36%derivedbetween the last two annual amendments
Advisor growth, one year
+67%derivedItem 5.B.3 between annual amendments
Client growth, one year
+63%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody
$550,250, 2 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$285M59%
  • Individuals$173M36%
  • Corporations and businesses$15.1M3.1%
  • Charitable organizations$4.3M0.9%
  • Pension and profit-sharing plans$4.0M0.8%
  • Insurance companies$100,0710.0%
Individual clients
1,072reported
HNW clients
132reported
Pension plan clients
5reported
Charitable clients
2reported
Accounts
3,070reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$550,250 for 2 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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • R•••••••• J••••• W•••• · Managing Membercontrol
    since 01/2017 · owns 50% to 75%
  • W••••••••• C••••••• W•••• · Managing Member, Ccocontrol
    since 01/2017 · owns 50% to 75%
  • H•••••••• J••••• · Chief Investment Officer
    since 05/2023 · owns less than 5%
  • M••••••••• C••••• · Chief Operations Officer
    since 01/2023 · owns less than 5%
Related persons
Schedule D 7.A
  • T•• W• G••••
    real estaten
  • W• T•• P••••••• L••
    insurancey
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Columbia, Mo · principal000
Sarasota, Fl000
Offices
Schedule D 1.F, the 25 largest
  • Columbia, MO4 employees
  • Sarasota, FL3 employees
  • C••••••Ton, MO1 employees
  • Rogers, AR1 employees
  • Sarasota, FL1 employees
What changed
consecutive filings, newest first
  • Advisory employees · 15 to 14
    Feb 8, 2024 to Apr 2, 2024
  • Employees · 23 to 22
    Feb 8, 2024 to Apr 2, 2024
  • State-registered IARs · 15 to 14
    Feb 8, 2024 to Apr 2, 2024
  • Accounts · 2,814 to 3,070
    Nov 16, 2023 to Feb 8, 2024
  • HNW clients · 117 to 132
    Nov 16, 2023 to Feb 8, 2024
  • Individual clients · 1,084 to 1,072
    Nov 16, 2023 to Feb 8, 2024
  • Assets in custody · $530,409 to $550,250
    Nov 16, 2023 to Feb 8, 2024
  • Financial planning clients · 1-10 to 26-50
    Nov 16, 2023 to Feb 8, 2024
  • Other offices · 4 to 5
    Nov 16, 2023 to Feb 8, 2024
  • Discretionary RAUM · $455M to $482M
    Nov 16, 2023 to Feb 8, 2024
  • HNW RAUM · $238M to $285M
    Nov 16, 2023 to Feb 8, 2024
  • Individual RAUM · $195M to $173M
    Nov 16, 2023 to Feb 8, 2024
  • Pension RAUM · $3.9M to $4.0M
    Nov 16, 2023 to Feb 8, 2024
  • RAUM · $455M to $482M
    Nov 16, 2023 to Feb 8, 2024
  • Accounts · 2,877 to 2,814
    Aug 29, 2023 to Nov 16, 2023
  • Advisory employees · 16 to 15
    Aug 29, 2023 to Nov 16, 2023
  • Corporate clients · 8 to 5
    Aug 29, 2023 to Nov 16, 2023
  • HNW clients · 149 to 117
    Aug 29, 2023 to Nov 16, 2023
  • Individual clients · 857 to 1,084
    Aug 29, 2023 to Nov 16, 2023
  • Pension plan clients · 4 to 5
    Aug 29, 2023 to Nov 16, 2023
  • Employees · 24 to 23
    Aug 29, 2023 to Nov 16, 2023
  • State-registered IARs · 16 to 15
    Aug 29, 2023 to Nov 16, 2023
  • Discretionary RAUM · $431M to $455M
    Aug 29, 2023 to Nov 16, 2023
  • HNW RAUM · $276M to $238M
    Aug 29, 2023 to Nov 16, 2023
  • Individual RAUM · $133M to $195M
    Aug 29, 2023 to Nov 16, 2023
  • Pension RAUM · $2.9M to $3.9M
    Aug 29, 2023 to Nov 16, 2023
  • RAUM · $431M to $455M
    Aug 29, 2023 to Nov 16, 2023
  • Related insurance company · false to true
    Aug 29, 2023 to Nov 16, 2023
  • Wrap assets (manager) · 0.0 to unset
    Aug 29, 2023 to Nov 16, 2023
  • Wrap assets (sponsor) · 0.0 to unset
    Aug 29, 2023 to Nov 16, 2023
  • Advisory employees · 14 to 15
    Aug 23, 2023 to Aug 29, 2023
  • Employees · 22 to 23
    Aug 23, 2023 to Aug 29, 2023
  • State-registered IARs · 14 to 15
    Aug 23, 2023 to Aug 29, 2023
  • Other offices · 3 to 4
    Aug 23, 2023 to Aug 29, 2023
  • Advisory employees · 15 to 16
    Aug 29, 2023 to Aug 29, 2023
  • Employees · 23 to 24
    Aug 29, 2023 to Aug 29, 2023
  • State-registered IARs · 15 to 16
    Aug 29, 2023 to Aug 29, 2023
  • Advisory employees · 13 to 14
    Jun 14, 2023 to Aug 23, 2023
  • Employees · 21 to 22
    Jun 14, 2023 to Aug 23, 2023
  • State-registered IARs · 13 to 14
    Jun 14, 2023 to Aug 23, 2023
Signals
21 dated events
  • W• W••••• P••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $482.2M)
    May 2, 2025 · Left the SEC roster · derived
  • C••••• J• K•••••• left W• W••••• P••••••• L•• for I•••••••• A••••••• S•••••••• (registered 2024-09-05)
    Mar 27, 2025 · Advisor changed firm · fact
  • B••••••• J••• D•••••• left W• W••••• P••••••• L•• for W•••••••• A••••••• G•••• L•• (registered 2025-02-14)
    Mar 27, 2025 · Advisor changed firm · fact
  • R••••• J••••• S•••••••• left W• W••••• P••••••• L•• for I•••••••• A••••••• S•••••••• (registered 2024-09-05)
    Mar 27, 2025 · Advisor changed firm · fact
  • J•••• A•••••• K••••• left W• W••••• P••••••• L•• for I•••••••• A••••••• S•••••••• (registered 2024-09-13)
    Mar 27, 2025 · Advisor changed firm · fact
  • G••••• M•••••• B••••• left W• W••••• P••••••• L•• for W•••••••• A••••••• G•••• L•• (registered 2025-02-16)
    Mar 27, 2025 · Advisor changed firm · fact
  • J•••••• J•• K•••••• left W• W••••• P••••••• L•• for I•••••••• A••••••• S•••••••• (registered 2024-09-05)
    Mar 27, 2025 · Advisor changed firm · fact
  • J••• R•••••• left W• W••••• P••••••• L•• for Oneseven (registered 2025-02-06)
    Mar 27, 2025 · Advisor changed firm · fact
  • C•••••• W•••• W•••••••• left W• W••••• P••••••• L•• for W•••••••• A••••••• G•••• L•• (registered 2025-02-16)
    Mar 27, 2025 · Advisor changed firm · fact
  • T••••• P•••• S•••••• left W• W••••• P••••••• L•• for W•••••••• A••••••• G•••• L•• (registered 2025-02-16)
    Mar 27, 2025 · Advisor changed firm · fact
  • 4 advisors left W• W••••• P••••••• L•• (Columbia, MO) for W•••••••• A••••••• G•••• L•• on the same day
    Mar 27, 2025 · Team lift-out · derived
  • 4 advisors left W• W••••• P••••••• L•• (Columbia, MO) for I•••••••• A••••••• S•••••••• on the same day
    Mar 27, 2025 · Team lift-out · derived
  • G••• M•••• T•••••• left W• W••••• P••••••• L•• for N•••••• A••••••• (registered 2026-01-01)
    Feb 10, 2025 · Advisor changed firm · fact
  • S•••• M•••••• A•••• left W• W••••• P••••••• L•• for N•••••• A••••••• (registered 2025-01-14)
    Jan 30, 2025 · Advisor changed firm · fact
  • J•••• W•••• R••••••• left W• W••••• P••••••• L•• for N•••••• A••••••• (registered 2025-01-07)
    Jan 28, 2025 · Advisor changed firm · fact
  • 2 advisors left W• W••••• P••••••• L•• (Columbia, MO) for N•••••• A••••••• within 2 days
    Jan 28, 2025 · Team lift-out · derived
  • D••••• P••• K••••• left W• W••••• P••••••• L•• for Farther (registered 2024-04-01)
    Apr 2, 2024 · Advisor changed firm · fact
  • J•••••• W•••••• S••••• left W• W••••• P••••••• L•• for R••• F•••••••• P••••••• (registered 2023-06-19)
    Jun 14, 2023 · Advisor changed firm · fact
  • R••• J••••• P•••• left W• W••••• P••••••• L•• for B••••• F•••••••• G•••• (registered 2022-01-06)
    Jan 5, 2022 · Advisor changed firm · fact
  • Marie Kelsey Lyman (Cco) no longer on Schedule A of W• W••••• P••••••• L•• (listed 2021-05-04, absent 2021-09-02)
    Sep 2, 2021 · Control person left · inference
  • W• W••••• P••••••• L•• filed its initial SEC registration (Form ADV)
    Mar 25, 2020 · 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