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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
W••••• C•••••• A•••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 23, 2023 · 10 filings
SEC status approved since Jul 24, 2023
RAUM
$71.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
58%
$40.9M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$71.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$71.0M as of Mar 31, 2026
Mar 28, 2024$52.8M then
HNW client RAUM$40.9M as of Mar 31, 2026
Mar 28, 2024$31.7M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20240 then
Employees (5.A)2 as of Mar 31, 2026
Mar 28, 20241 then
Private funds1 as of Mar 31, 2026
Mar 28, 20241 then
RAUM -7.2% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $71.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$40.9M79%
- Pooled investment vehicles$8.6M17%
- Corporations and businesses$1.5M2.9%
- Other investment advisers$511,4351.0%
- Individual clients
- 0reported
- HNW clients
- 21reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 49reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.58 fund_share=0.13 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 |
|---|---|---|---|---|
| R•••••• B••••••• | New York, Ny | Apr 15, 2022 | 23 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••• S• O• 4•••• P••••••• S•• | Hedge Fund | $944,056 | 2 | Oct 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• R•••••• · President, Cco And Portfolio Managercontrolsince 08/2013 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Mar 31, 2026institutional share of RAUM moved from 23.0% to 3.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, under $100M (707)
What changed
consecutive filings, newest first
- Accounts · 52 to 49Mar 31, 2025 to Mar 31, 2026
- Corporate clients · 3 to 2Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $76.5M to $71.0MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $39.3M to $40.9MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $9.6M to $8.6MMar 31, 2025 to Mar 31, 2026
- RAUM · $76.5M to $71.0MMar 31, 2025 to Mar 31, 2026
- Accounts · 55 to 52Sep 20, 2024 to Mar 31, 2025
- Advisory employees · 3 to 2Sep 20, 2024 to Mar 31, 2025
- Advisory activities · 2 to 3Sep 20, 2024 to Mar 31, 2025
- Corporate clients · 2 to 3Sep 20, 2024 to Mar 31, 2025
- HNW clients · 19 to 21Sep 20, 2024 to Mar 31, 2025
- Employees · 3 to 2Sep 20, 2024 to Mar 31, 2025
- Financial planning clients · unset to Sep 20, 2024 to Mar 31, 2025
- HQ city · unset to Sep 20, 2024 to Mar 31, 2025
- HQ state · unset to Sep 20, 2024 to Mar 31, 2025
- Discretionary RAUM · $52.8M to $76.5MSep 20, 2024 to Mar 31, 2025
- HNW RAUM · $31.7M to $39.3MSep 20, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $944,056 to $9.6MSep 20, 2024 to Mar 31, 2025
- RAUM · $52.8M to $76.5MSep 20, 2024 to Mar 31, 2025
- Advisory employees · 1 to 3Jul 29, 2024 to Sep 20, 2024
- Employees · 1 to 3Jul 29, 2024 to Sep 20, 2024
- Accounts · 39 to 55Feb 14, 2024 to Mar 28, 2024
- HNW clients · 18 to 19Feb 14, 2024 to Mar 28, 2024
- Discretionary RAUM · $75.9M to $52.8MFeb 14, 2024 to Mar 28, 2024
- HNW RAUM · $27.6M to $31.7MFeb 14, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $27.9M to $944,056Feb 14, 2024 to Mar 28, 2024
- RAUM · $75.9M to $52.8MFeb 14, 2024 to Mar 28, 2024
- Accounts · 38 to 39Jul 30, 2023 to Oct 31, 2023
- Advisory activities · 1 to 2Jul 30, 2023 to Oct 31, 2023
- Pooled vehicle clients · 0 to 1Jul 30, 2023 to Oct 31, 2023
- Private funds · unset to 1Jul 30, 2023 to Oct 31, 2023
- Discretionary RAUM · $48.0M to $75.9MJul 30, 2023 to Oct 31, 2023
- Pooled vehicle RAUM · $0 to $27.9MJul 30, 2023 to Oct 31, 2023
- RAUM · $48.0M to $75.9MJul 30, 2023 to Oct 31, 2023
Signals
1 dated events
- W••••• C•••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 23, 2023 · 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
- Website
- w•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 9173970393reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- 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
- $71.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026