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•• A•••••••• L••
Latest filing Feb 3, 2025
First filing on the tape Apr 11, 2022 · 12 filings
SEC status approved since May 11, 2022
RAUM
$6,382
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$6,382 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$6,382 as of Feb 3, 2025
Mar 1, 2023$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 3, 2025
Mar 1, 20230 then
Employees (5.A)8 as of Feb 3, 2025
Mar 1, 202315 then
Private funds: no history
RAUM +0.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 3, 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
- $3,191derivedRAUM 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
- +0.0%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$6,382100%
- Individual clients
- 2reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• T••••••• A•• · Chief Executive Officercontrolsince 11/2023 · owns less than 5%
- I•••• C••••••• J•••• · Chief Operating Officercontrolsince 11/2023 · owns less than 5%
- N••••••••• S••••• · Cco & Chief Legal Officercontrolsince 08/2024 · owns less than 5%
Entity owners
- W•• F••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- D•••••• T••••• L••n
- R••••• D••••• A••••••• I•••investment advisern
Advisers that list W•• A•••••••• L•• as a related person
- 170520 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Related broker-dealer · false to trueDec 9, 2024 to Feb 3, 2025
- Related adviser · false to trueMar 15, 2024 to Apr 12, 2024
- Accounts · 0 to 2Nov 8, 2023 to Mar 15, 2024
- Business name · S•••••• A••••••• to W•• A•••••••• L••Nov 8, 2023 to Mar 15, 2024
- Individual clients · 0 to 2Nov 8, 2023 to Mar 15, 2024
- Legal name · BENTHOS LABS A••••••Y, LLC to W•• A•••••••• L••Nov 8, 2023 to Mar 15, 2024
- Discretionary RAUM · $0 to $6,382Nov 8, 2023 to Mar 15, 2024
- Individual RAUM · $0 to $6,382Nov 8, 2023 to Mar 15, 2024
- RAUM · $0 to $6,382Nov 8, 2023 to Mar 15, 2024
- Individual clients · unset to 0.0May 15, 2023 to Nov 8, 2023
- Employees · 15 to 8May 15, 2023 to Nov 8, 2023
- HQ city · ST C•••••• to LAS VEGASMay 15, 2023 to Nov 8, 2023
- HQ state · IL to NVMay 15, 2023 to Nov 8, 2023
- Individual RAUM · unset to 0.0May 15, 2023 to Nov 8, 2023
- Employees · 8 to 15Jan 26, 2023 to Mar 1, 2023
- Advisory employees · 2 to 3Apr 20, 2022 to Dec 21, 2022
Signals
11 dated events
- W•• A•••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $6,382)May 2, 2025 · Left the SEC roster · derived
- Margaret Maryann Bullion Mitchell (Chief Compliance Officer) no longer on Schedule A of W•• A•••••••• L•• (listed 2024-04-12, absent 2024-08-19)Aug 19, 2024 · Control person left · inference
- S••••• N•••••••• (Cco & Chief Legal Officer) appeared on Schedule A of W•• A•••••••• L••Aug 19, 2024 · Control person joined · fact
- Andres Camilo Concha (Co-Ceo, Manager) no longer on Schedule A of W•• A•••••••• L•• (listed 2024-03-15, absent 2024-04-12)Apr 12, 2024 · Control person left · inference
- Kyle Michael Mccarty (Ceo) no longer on Schedule A of W•• A•••••••• L•• (listed 2023-05-15, absent 2023-11-08)Nov 8, 2023 · Control person left · inference
- J Victor Bay (Chief Operating Officer & Cco) no longer on Schedule A of W•• A•••••••• L•• (listed 2023-05-15, absent 2023-11-08)Nov 8, 2023 · Control person left · inference
- Anh Theresa Fette (Co-Ceo, Manager) appeared on Schedule A of W•• A•••••••• L••Nov 8, 2023 · Control person joined · fact
- Andres Camilo Concha (Co-Ceo, Manager) appeared on Schedule A of W•• A•••••••• L••Nov 8, 2023 · Control person joined · fact
- James Charles Ives (Chief Operating Officer) appeared on Schedule A of W•• A•••••••• L••Nov 8, 2023 · Control person joined · fact
- Margaret Maryann Bullion Mitchell (Chief Compliance Officer) appeared on Schedule A of W•• A•••••••• L••Nov 8, 2023 · Control person joined · fact
- S•••••• A••••••• filed its initial SEC registration (Form ADV)Apr 11, 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