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••••••• C••••••
Legal name W••••••• C•••••• M••••••••• L••
Latest filing Aug 7, 2025
First filing on the tape Apr 13, 2022 · 9 filings
SEC status approved since May 13, 2022
RAUM
$202M
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
11
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$202M as of Aug 7, 2025
Mar 21, 2023$102M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 7, 2025
Mar 21, 20230 then
Employees (5.A)11 as of Aug 7, 2025
Mar 21, 20236 then
Private funds2 as of Aug 7, 2025
Mar 21, 20232 then
RAUM +57% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 7, 2025; 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
- $14.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%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
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$202M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- reported
- 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W••••••• I••••• F••• I•• | Real Estate Fund | $17.1M | 100 | Aug 30, 2021 |
| W••••••• I••••• F••• I• | Real Estate Fund | $16.2M | 100 | Jan 28, 2022 |
Owners and control persons
Schedule A and B, latest filing
- F••••• B•••• · Sole Membercontrolsince 09/2005 · owns 75% or more of C•••••• M••••••••• C••••••• L••
- K••••• B••••••• P• · Managing Membercontrolsince 12/2018 · owns 75% or more of S••••• I••••••••• L••
- M••••• P••• T• · Managing Membercontrolsince 12/2018 · owns 75% or more of F•••••••• I••••••••• G••••• L••
- H•••• A•••••••• Y••• · Chief Compliance Officersince 01/2023 · owns less than 5%
Entity owners
- F•••••••• I••••••••• G••••• L•• · Partnerdirect · owns 25% to 50%
- S••••• I••••••••• L•• · Partnerdirect · owns 50% to 75%
- C•••••• M••••••••• C••••••• L•• · Memberdirect · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 10 to 14Mar 4, 2025 to Aug 7, 2025
- Advisory activities · 2 to 1Mar 4, 2025 to Aug 7, 2025
- Pooled vehicle clients · 9 to 14Mar 4, 2025 to Aug 7, 2025
- Discretionary RAUM · $166M to $202MMar 4, 2025 to Aug 7, 2025
- Pooled vehicle RAUM · $94.0M to $202MMar 4, 2025 to Aug 7, 2025
- RAUM · $166M to $202MMar 4, 2025 to Aug 7, 2025
- Accounts · 7 to 10Feb 29, 2024 to Mar 4, 2025
- Pooled vehicle clients · 6 to 9Feb 29, 2024 to Mar 4, 2025
- Employees · 7 to 11Feb 29, 2024 to Mar 4, 2025
- Financial planning clients · unset to Feb 29, 2024 to Mar 4, 2025
- Discretionary RAUM · $129M to $166MFeb 29, 2024 to Mar 4, 2025
- Pooled vehicle RAUM · $77.8M to $94.0MFeb 29, 2024 to Mar 4, 2025
- RAUM · $129M to $166MFeb 29, 2024 to Mar 4, 2025
- Employees · 6 to 7Sep 5, 2023 to Feb 28, 2024
- Discretionary RAUM · $120M to $129MSep 5, 2023 to Feb 28, 2024
- Pooled vehicle RAUM · $79.3M to $77.8MSep 5, 2023 to Feb 28, 2024
- RAUM · $120M to $129MSep 5, 2023 to Feb 28, 2024
- Discretionary RAUM · $102M to $120MMar 21, 2023 to Sep 5, 2023
- RAUM · $102M to $120MMar 21, 2023 to Sep 5, 2023
- Accounts · 8 to 7Jan 6, 2023 to Mar 21, 2023
- Advisory employees · 6 to 5Jan 6, 2023 to Mar 21, 2023
- Pooled vehicle clients · 7 to 6Jan 6, 2023 to Mar 21, 2023
- Discretionary RAUM · $81.0M to $102MJan 6, 2023 to Mar 21, 2023
- Pooled vehicle RAUM · $81.0M to $79.3MJan 6, 2023 to Mar 21, 2023
- RAUM · $81.0M to $102MJan 6, 2023 to Mar 21, 2023
- HQ city · LYNCHBURG to FORESTApr 13, 2022 to May 18, 2022
- Private funds · 4 to 2Apr 13, 2022 to May 18, 2022
Signals
4 dated events
- W••••••• C•••••• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $201.9M)Apr 1, 2026 · Left the SEC roster · derived
- B•••• F•••• (Sole Member) appeared on Schedule A of W••••••• C••••••Mar 21, 2023 · Control person joined · fact
- Francis Michael Swallow (Chief Compliance Officer) no longer on Schedule A of W••••••• C•••••• (listed 2022-05-18, absent 2023-01-06)Jan 6, 2023 · Control person left · inference
- W••••••• C•••••• filed its initial SEC registration (Form ADV)Apr 13, 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
Across the graphs
W••••••• C•••••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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