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••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Nov 10, 2020 · 8 filings
SEC status approved since Dec 10, 2020
RAUM
$220M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$210M 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
8 filings and snapshots on the tape
RAUM$220M as of Mar 24, 2026
Mar 15, 2021$105M then
HNW client RAUM$177M as of Mar 24, 2026
Mar 15, 2021$82.3M then
State-registered IARs (5.B.3)1 as of Mar 24, 2026
Mar 15, 20212 then
Employees (5.A)1 as of Mar 24, 2026
Mar 15, 20212 then
Private funds: no history
RAUM +27% over the last fiscal year+14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $220MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 171derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.6%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$177M81%
- Individuals$33.1M15%
- Corporations and businesses$4.9M2.3%
- Pension and profit-sharing plans$3.3M1.5%
- Charitable organizations$1.2M0.6%
- Individual clients
- 101reported
- HNW clients
- 70reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 179reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.02 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
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- R•••••• B•••• C••••• to W•••••• A•••••••• L••Sep 2, 2026 · RIA to RIA
Joined, latest
- R•••••• B•••• C••••• from A•••••• A••••••• S•••••••Jan 8, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• R••••••• B•••• · Member And Chief Compliance Officercontrolsince 11/2020 · owns 75% or more
Related persons
Schedule D 7.A
- C••••• • A••••••••• P•insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Frederick, Md · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 237 to 179Mar 28, 2025 to Mar 24, 2026
- HNW clients · 58 to 70Mar 28, 2025 to Mar 24, 2026
- Individual clients · 104 to 101Mar 28, 2025 to Mar 24, 2026
- Discretionary RAUM · $173M to $220MMar 28, 2025 to Mar 24, 2026
- HNW RAUM · $132M to $177MMar 28, 2025 to Mar 24, 2026
- Individual RAUM · $34.7M to $33.1MMar 28, 2025 to Mar 24, 2026
- Pension RAUM · unset to 3256162.0Mar 28, 2025 to Mar 24, 2026
- RAUM · $173M to $220MMar 28, 2025 to Mar 24, 2026
- Accounts · 355 to 237Mar 20, 2024 to Mar 28, 2025
- Corporate clients · unset to 5.0Mar 20, 2024 to Mar 28, 2025
- HNW clients · 64 to 58Mar 20, 2024 to Mar 28, 2025
- Individual clients · 83 to 104Mar 20, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 20, 2024 to Mar 28, 2025
- Discretionary RAUM · $156M to $173MMar 20, 2024 to Mar 28, 2025
- HNW RAUM · $134M to $132MMar 20, 2024 to Mar 28, 2025
- Individual RAUM · $17.6M to $34.7MMar 20, 2024 to Mar 28, 2025
- RAUM · $156M to $173MMar 20, 2024 to Mar 28, 2025
- Accounts · 445 to 355Mar 21, 2023 to Mar 20, 2024
- HNW clients · 51 to 64Mar 21, 2023 to Mar 20, 2024
- Individual clients · 111 to 83Mar 21, 2023 to Mar 20, 2024
- Pension plan clients · 9.0 to unsetMar 21, 2023 to Mar 20, 2024
- Discretionary RAUM · $121M to $156MMar 21, 2023 to Mar 20, 2024
- HNW RAUM · $97.2M to $134MMar 21, 2023 to Mar 20, 2024
- Individual RAUM · $20.3M to $17.6MMar 21, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $26.0M to $0Mar 21, 2023 to Mar 20, 2024
- Pension RAUM · 25049908.0 to unsetMar 21, 2023 to Mar 20, 2024
- RAUM · $147M to $156MMar 21, 2023 to Mar 20, 2024
- Accounts · 368 to 445Mar 7, 2022 to Mar 21, 2023
- Charity clients · 1.0 to unsetMar 7, 2022 to Mar 21, 2023
- Corporate clients · 3.0 to unsetMar 7, 2022 to Mar 21, 2023
- HNW clients · 47 to 51Mar 7, 2022 to Mar 21, 2023
- Individual clients · 112 to 111Mar 7, 2022 to Mar 21, 2023
- Pension plan clients · 5 to 9Mar 7, 2022 to Mar 21, 2023
- Discretionary RAUM · $139M to $121MMar 7, 2022 to Mar 21, 2023
- HNW RAUM · $105M to $97.2MMar 7, 2022 to Mar 21, 2023
- Individual RAUM · $28.5M to $20.3MMar 7, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $28.4M to $26.0MMar 7, 2022 to Mar 21, 2023
- Pension RAUM · $28.4M to $25.0MMar 7, 2022 to Mar 21, 2023
- RAUM · $167M to $147MMar 7, 2022 to Mar 21, 2023
- Accounts · 228 to 368Jan 19, 2022 to Mar 7, 2022
Signals
2 dated events
- R•••••• B•••• C••••• left W••••••••• L•• for W•••••• A•••••••• L•• (registered 2026-05-29)Sep 2, 2026 · Advisor changed firm · fact
- W••••••••• L•• filed its initial SEC registration (Form ADV)Nov 10, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 301-695-2800reportedpublic record, Form ADV, Mar 20, 2024
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