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••••••• A•••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 24, 2021 · 13 filings
SEC status approved since Apr 23, 2021
RAUM
$8.2B
reported, Item 5.F
Discretionary
89%
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
28
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$8.2B as of Mar 31, 2026
Mar 31, 2022$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20220 then
Employees (5.A)28 as of Mar 31, 2026
Mar 31, 202210 then
Private funds1 as of Mar 31, 2026
Mar 31, 20233 then
RAUM +38% over the last fiscal year+59% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $431MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 7.6%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
- +38%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $15.9M, 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$7.3B89%
- Insurance companies$620M7.6%
- Corporations and businesses$306M3.7%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 19reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $15.9M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.89 institutional_share=0.08 related_bd=true related_bank=true 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•• T••••••• F••• I• L• | Other Private Fund | $8.0M | 38 | Mar 31, 2023 |
| W•• T•• T••••••• L•• | Other Private Fund | $4.9M | 2 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• M•••••• · Managing Partnercontrolsince 10/2020 · owns less than 5%
- C••••••• T•••• P••••••••• · Chief Compliance Officer, Vp Financecontrolsince 01/2021 · owns less than 5%
- G••••••• A•••••• T••••• · Managing Partnercontrolsince 10/2020 · owns less than 5%
- G••••••••• J••••• B•••• · Partnercontrolsince 10/2020 · owns less than 5%
- M••••••••• W••••••• H••••• · Managing Partnercontrolsince 10/2020 · owns less than 5%
- S•••• S•••••• M••••• · Partnercontrolsince 10/2020 · owns less than 5%
- S••••• J••••• B••••••• · Partnercontrolsince 11/2020 · owns less than 5%
- B••••••••• M•••••• · Class A Manager, Member And Special Membercontrolsince 10/2020 · owns F of W••••••• G• L••
- G••••••• A•••••• T••••• · Class A Manager And Membercontrolsince 10/2020 · owns F of W••••••• G• L••
- M••••••••• W••••••• H••••• · Class A Manager, Member And Special Membercontrolsince 10/2020 · owns F of W••••••• G• L••
- C••••••••• J•••• N••••• · Class B Manager And Special Membersince 10/2020 · owns F of W••••••• G• L••
- S••••••••• J•••••••• G•••• · Class B Manager And Special Membersince 10/2020 · owns F of W••••••• G• L••
Entity owners
- W••••••• H••••••• L• · Memberdirect · owns 75% or more
- W••••••• G• L•• · General Partnerindirect · owns F of W••••••• H••••••• L•
Related persons
Schedule D 7.A
- E•••• L••pooled vehicle sponsory
- E••••• A••••••••• F••• G• L••pooled vehicle sponsory
- E••••• A••••••••• V•••••• I• ••• L••pooled vehicle sponsory
- W•• T••••••• F••• I• G• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 0.0% to 89.0% between the annual amendments of 2025-03-29 and 2026-03-31peers: asset managers, $5B to $20B (684)
What changed
consecutive filings, newest first
- Accounts · 17 to 19Aug 12, 2025 to Mar 31, 2026
- Advisory employees · 13 to 11Aug 12, 2025 to Mar 31, 2026
- Pooled vehicle clients · 12 to 15Aug 12, 2025 to Mar 31, 2026
- Assets in custody · $2.1M to $15.9MAug 12, 2025 to Mar 31, 2026
- Employees · 26 to 28Aug 12, 2025 to Mar 31, 2026
- Discretionary RAUM · $5.9B to $7.3BAug 12, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $2.2B to $929MAug 12, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $5.2B to $7.3BAug 12, 2025 to Mar 31, 2026
- RAUM · $8.1B to $8.2BAug 12, 2025 to Mar 31, 2026
- Accounts · 11 to 17Mar 29, 2025 to Aug 12, 2025
- Advisory activities · 1 to 2Mar 29, 2025 to Aug 12, 2025
- Pooled vehicle clients · 11 to 12Mar 29, 2025 to Aug 12, 2025
- Discretionary RAUM · $10.3M to $5.9BMar 29, 2025 to Aug 12, 2025
- Non-discretionary RAUM · $5.9B to $2.2BMar 29, 2025 to Aug 12, 2025
- Pooled vehicle RAUM · $5.9B to $5.2BMar 29, 2025 to Aug 12, 2025
- RAUM · $5.9B to $8.1BMar 29, 2025 to Aug 12, 2025
- Related adviser · false to trueMar 29, 2025 to Aug 12, 2025
- Related bank · false to trueMar 29, 2025 to Aug 12, 2025
- Related broker-dealer · false to trueMar 29, 2025 to Aug 12, 2025
- Accounts · 10 to 11May 10, 2024 to Mar 29, 2025
- Advisory employees · 14 to 13May 10, 2024 to Mar 29, 2025
- Advisory activities · 2 to 1May 10, 2024 to Mar 29, 2025
- Pooled vehicle clients · 5 to 11May 10, 2024 to Mar 29, 2025
- Assets in custody · $2.6M to $2.1MMay 10, 2024 to Mar 29, 2025
- Employees · 18 to 26May 10, 2024 to Mar 29, 2025
- Financial planning clients · unset to May 10, 2024 to Mar 29, 2025
- Private funds · 2 to 1May 10, 2024 to Mar 29, 2025
- Discretionary RAUM · $131M to $10.3MMay 10, 2024 to Mar 29, 2025
- Non-discretionary RAUM · $2.3B to $5.9BMay 10, 2024 to Mar 29, 2025
- Pooled vehicle RAUM · $156M to $5.9BMay 10, 2024 to Mar 29, 2025
- RAUM · $2.4B to $5.9BMay 10, 2024 to Mar 29, 2025
- Accounts · 6 to 10Jan 17, 2024 to Mar 29, 2024
- Advisory employees · 9 to 14Jan 17, 2024 to Mar 29, 2024
- Pooled vehicle clients · 3 to 5Jan 17, 2024 to Mar 29, 2024
- Assets in custody · $8.3M to $2.6MJan 17, 2024 to Mar 29, 2024
- Employees · 12 to 18Jan 17, 2024 to Mar 29, 2024
- Discretionary RAUM · $36.9M to $131MJan 17, 2024 to Mar 29, 2024
- Non-discretionary RAUM · $2.0B to $2.3BJan 17, 2024 to Mar 29, 2024
- Pooled vehicle RAUM · $208M to $156MJan 17, 2024 to Mar 29, 2024
- RAUM · $2.0B to $2.4BJan 17, 2024 to Mar 29, 2024
Signals
5 dated events
- W••••••• A•••• M••••••••• L•• reported RAUM $8.1B, up 37% from $5.9B (2025-03-29 to 2025-08-12)Aug 12, 2025 · RAUM change · derived
- W••••••• A•••• M••••••••• L•• reported RAUM $5.9B, up 148% from $2.4B (2024-05-10 to 2025-03-29)Mar 29, 2025 · RAUM change · derived
- W••••••• A•••• M••••••••• L•• reported RAUM $2.0B, up 66% from $1.2B (2022-03-31 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- W••••••• A•••• M••••••••• L•• reported RAUM $1.2B, up 195% from $414.2M (2021-08-30 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- W••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 24, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- W••••••• A•••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Principal office phone
- 832-791-2320reportedpublic record, Form ADV, Mar 31, 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