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•••• C•••••• L••
Latest filing Jun 1, 2026
First filing on the tape Jul 5, 2023 · 7 filings
SEC status approved since Aug 4, 2023
RAUM
$119M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$119M as of Jun 1, 2026
Mar 28, 2024$186M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 1, 2026
Mar 28, 20240 then
Employees (5.A)3 as of Jun 1, 2026
Mar 28, 20243 then
Private funds1 as of Jun 1, 2026
Mar 28, 20241 then
RAUM -53% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 1, 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
- $29.8MderivedRAUM 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
- -53%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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$119M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•• M••••• F•••• L• | Hedge Fund | $136M | 12 | Jul 5, 2023 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• C••••••• W•••••• · Managing Member And Chief Investment Officercontrolsince 12/2019 · owns 75% or more
- B••••• E•••• A••••• · Chief Compliance Officercontrolsince 06/2023 · owns less than 5%
Related persons
Schedule D 7.A
- W•• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 50 %Change between filings · filing Mar 17, 2026RAUM (Item 5.F) moved from $251,534,465 to $119,235,048 (-53.0%) between the annual amendments of 2025-03-28 and 2026-03-17; the peer median change was +4.0% (1147 comparable advisers, 3.0th percentile of changes)peers: asset managers, $100M to $500M (1,147) · 2.9% percentile
What changed
consecutive filings, newest first
- Accounts · 5 to 4Jun 12, 2025 to Mar 17, 2026
- Advisory employees · 3 to 2Jun 12, 2025 to Mar 17, 2026
- Pooled vehicle clients · 5 to 4Jun 12, 2025 to Mar 17, 2026
- Employees · 4 to 3Jun 12, 2025 to Mar 17, 2026
- Discretionary RAUM · $252M to $119MJun 12, 2025 to Mar 17, 2026
- Pooled vehicle RAUM · $252M to $119MJun 12, 2025 to Mar 17, 2026
- RAUM · $252M to $119MJun 12, 2025 to Mar 17, 2026
- Financial planning clients · unset to Mar 28, 2025 to Jun 12, 2025
- Accounts · 4 to 5Jun 20, 2024 to Mar 28, 2025
- Advisory employees · 2 to 3Jun 20, 2024 to Mar 28, 2025
- Pooled vehicle clients · 4 to 5Jun 20, 2024 to Mar 28, 2025
- Employees · 3 to 4Jun 20, 2024 to Mar 28, 2025
- Discretionary RAUM · $186M to $252MJun 20, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $186M to $252MJun 20, 2024 to Mar 28, 2025
- RAUM · $186M to $252MJun 20, 2024 to Mar 28, 2025
- Accounts · 3 to 4Jul 5, 2023 to Mar 28, 2024
- Advisory employees · 3 to 2Jul 5, 2023 to Mar 28, 2024
- Advisory activities · 2 to 1Jul 5, 2023 to Mar 28, 2024
- Pooled vehicle clients · 3 to 4Jul 5, 2023 to Mar 28, 2024
- Private funds · 2 to 1Jul 5, 2023 to Mar 28, 2024
- Discretionary RAUM · $50.0M to $186MJul 5, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $50.0M to $186MJul 5, 2023 to Mar 28, 2024
- RAUM · $50.0M to $186MJul 5, 2023 to Mar 28, 2024
Signals
3 dated events
- W••••• L•••• C•••••• L•• reported RAUM $119.2M, down 53% from $251.5M (2025-06-12 to 2026-03-17)Mar 17, 2026 · RAUM change · derived
- W••••• L•••• C•••••• L•• reported RAUM $186.2M, up 272% from $50.0M (2023-07-05 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- W••••• L•••• C•••••• L•• filed its initial SEC registration (Form ADV)Jul 5, 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
- 303-381-0156reportedpublic record, Form ADV, Jun 1, 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
- Asset manager (funds and pooled vehicles)deriveda 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