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••• P•••••• C•••••• L••
Latest filing Mar 12, 2024
First filing on the tape Nov 16, 2022 · 7 filings
RAUM
$5.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$5.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 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$5.3M as of Mar 12, 2024
Nov 16, 2022$8.3B then
HNW client RAUM: $5.3M
State-registered IARs (5.B.3)0 as of Mar 12, 2024
Nov 16, 20220 then
Employees (5.A)3 as of Mar 12, 2024
Nov 16, 20221 then
Private funds: 1
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 12, 2024; 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
- $1.3MderivedRAUM 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
- unknownderivedbetween 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 individuals, 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
- 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)
- 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
- High-net-worth individuals$5.3M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•• F••••••••• I••••• F••• I• L• | Other Private Fund | $0 | 0 | Mar 12, 2024 |
Owners and control persons
Schedule A and B, latest filing
- M••••••• T••••• · Managing Member, Chief Compliance Officercontrolsince 12/2019 · owns 75% or more
Related persons
Schedule D 7.A
- W•• F••••••••• I••••• I• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1 to 4Nov 6, 2023 to Mar 12, 2024
- Pooled vehicle clients · unset to 1.0Nov 6, 2023 to Mar 12, 2024
- Private funds · unset to 1Nov 6, 2023 to Mar 12, 2024
- Discretionary RAUM · $0 to $5.3MNov 6, 2023 to Mar 12, 2024
- HNW RAUM · unset to 5293000.0Nov 6, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $2.5B to $0Nov 6, 2023 to Mar 12, 2024
- Pooled vehicle RAUM · unset to 0.0Nov 6, 2023 to Mar 12, 2024
- RAUM · $2.5B to $5.3MNov 6, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $2.5B to $2.5BSep 5, 2023 to Nov 1, 2023
- RAUM · $2.5B to $2.5BSep 5, 2023 to Nov 1, 2023
- Advisory employees · 2 to 3Jul 11, 2023 to Sep 5, 2023
- Employees · 2 to 3Jul 11, 2023 to Sep 5, 2023
- Advisory employees · 1 to 2Nov 16, 2022 to Jan 18, 2023
- Employees · 1 to 2Nov 16, 2022 to Jan 18, 2023
- Non-discretionary RAUM · $8.3B to $2.5BNov 16, 2022 to Jan 18, 2023
- RAUM · $8.3B to $2.5BNov 16, 2022 to Jan 18, 2023
Signals
3 dated events
- W••• P•••••• C•••••• L•• reported RAUM $5.3M, down 100% from $2.5B (2023-11-06 to 2024-03-12)Mar 12, 2024 · RAUM change · derived
- W••• P•••••• C•••••• L•• reported RAUM $2.5B, down 70% from $8.3B (2022-11-16 to 2023-01-18)Jan 18, 2023 · RAUM change · derived
- W••• P•••••• C•••••• L•• filed its initial SEC registration (Form ADV)Nov 16, 2022 · 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