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••• F•••••••• I•••

Former SEC-registered adviserNewport Beach, CaliforniaCRD 321886SEC 801-126777IAPD
Latest filing Mar 6, 2023
First filing on the tape Sep 22, 2022 · 11 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: $0
State-registered IARs (5.B.3)1 as of Mar 6, 2023
Sep 22, 20221 then
Employees (5.A)4 as of Mar 6, 2023
Sep 22, 20224 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 6, 2023; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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
fixed feesreportedItem 5.E
Advisory activities
financial planningreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••• J•••• W•••••• · Chief Financial Officer/Chief Compliance Officercontrol
        since 06/2021 · owns 25% to 50%
      • W•••• S••• · Chief Executive Officercontrol
        since 04/2021 · owns 25% to 50%
      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
      • Charity clients · unset to 0.0
        Jan 31, 2023 to Mar 6, 2023
      • Corporate clients · unset to 0.0
        Jan 31, 2023 to Mar 6, 2023
      • HNW clients · unset to 0.0
        Jan 31, 2023 to Mar 6, 2023
      • Individual clients · unset to 0.0
        Jan 31, 2023 to Mar 6, 2023
      • Pension plan clients · unset to 0.0
        Jan 31, 2023 to Mar 6, 2023
      • Pooled vehicle clients · unset to 0.0
        Jan 31, 2023 to Mar 6, 2023
      • HNW RAUM · unset to 0.0
        Jan 31, 2023 to Mar 6, 2023
      • Individual RAUM · unset to 0.0
        Jan 31, 2023 to Mar 6, 2023
      • Pension RAUM · unset to 0.0
        Jan 31, 2023 to Mar 6, 2023
      • Pooled vehicle RAUM · unset to 0.0
        Jan 31, 2023 to Mar 6, 2023
      • Financial planning clients · unset to 0
        Sep 26, 2022 to Oct 4, 2022
      Signals
      1 dated events
      • W••• F•••••••• I••• filed its initial SEC registration (Form ADV)
        Sep 22, 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