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
C•••••• W••••• M•••••••••
Legal name C•••••• W••••• M••••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Sep 8, 2023 · 10 filings
SEC status approved since Nov 29, 2023
RAUM
$283M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
11%
$32.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$283M as of Mar 20, 2026
Mar 26, 2024$226M then
HNW client RAUM$32.0M as of Mar 20, 2026
Mar 26, 2024$10.5M then
State-registered IARs (5.B.3)0 as of Mar 20, 2026
Mar 26, 20241 then
Employees (5.A)6 as of Mar 20, 2026
Mar 26, 20245 then
Private funds1 as of Mar 20, 2026
Mar 26, 20242 then
RAUM +20% over the last fiscal yearIARs 1 to 0
Practice profile
derived from the filing of Mar 20, 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
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $5.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 33%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
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $283M, 50 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$156M55%
- Charitable organizations$94.7M33%
- High-net-worth individuals$32.0M11%
- Individual clients
- n/areported
- HNW clients
- 6reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 50reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $283M for 50 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.11 fund_share=0.55 institutional_share=0.33 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
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 |
|---|---|---|---|---|
| C••••••••• C•••••• L•• | Private Equity Fund | $98.9M | 12 | Sep 8, 2023 |
| C••••••• L•• | Private Equity Fund | $30.1M | 2 | Sep 8, 2023 |
Owners and control persons
Schedule A and B, latest filing
- D•••••• T••••••• L•••• · Chief Compliance Officercontrolsince 09/2023 · owns less than 5%
- H•••••• C••••••••• L•• · Managing Principalcontrolsince 01/2004 · owns 75% or more of W••••• I••••••••• L••
- S••••• J•••• A•••• · Principalcontrolsince 02/2011 · owns 75% or more of M••• C•••••• I• L••
Entity owners
- M••• C•••••• I• L•• · Co-Ownerdirect · owns 25% to 50%
- W••••• I••••••••• L•• · Co-Ownerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- C•••••• I••••••••• M••••••••• L••investment adviserpooled vehicle sponsorn
- D••••• W••••• M••••••••• L••investment advisernRAUM $106M
Advisers that list C•••••• W••••• M••••••••• as a related person
- 327810 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 47 to 50Sep 30, 2025 to Mar 20, 2026
- Advisory employees · 3 to 2Sep 30, 2025 to Mar 20, 2026
- Assets in custody · $272M to $283MSep 30, 2025 to Mar 20, 2026
- Employees · 5 to 6Sep 30, 2025 to Mar 20, 2026
- Insurance-licensed employees · 1 to 0Sep 30, 2025 to Mar 20, 2026
- State-registered IARs · 1 to 0Sep 30, 2025 to Mar 20, 2026
- Discretionary RAUM · $272M to $283MSep 30, 2025 to Mar 20, 2026
- HNW RAUM · $42.5M to $32.0MSep 30, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $152M to $156MSep 30, 2025 to Mar 20, 2026
- RAUM · $272M to $283MSep 30, 2025 to Mar 20, 2026
- Accounts · 64 to 47May 28, 2025 to Sep 30, 2025
- Assets in custody · $238M to $272MMay 28, 2025 to Sep 30, 2025
- Financial planning clients · 0 to 0May 28, 2025 to Sep 30, 2025
- Discretionary RAUM · $236M to $272MMay 28, 2025 to Sep 30, 2025
- HNW RAUM · $10.7M to $42.5MMay 28, 2025 to Sep 30, 2025
- Pooled vehicle RAUM · $138M to $152MMay 28, 2025 to Sep 30, 2025
- RAUM · $236M to $272MMay 28, 2025 to Sep 30, 2025
- Accounts · 89 to 64Dec 4, 2024 to Mar 4, 2025
- Charity clients · 1 to 5Dec 4, 2024 to Mar 4, 2025
- HNW clients · 5 to 6Dec 4, 2024 to Mar 4, 2025
- Pooled vehicle clients · 2 to 1Dec 4, 2024 to Mar 4, 2025
- Assets in custody · $226M to $238MDec 4, 2024 to Mar 4, 2025
- Private funds · 2 to 1Dec 4, 2024 to Mar 4, 2025
- Discretionary RAUM · $226M to $236MDec 4, 2024 to Mar 4, 2025
- HNW RAUM · $10.5M to $10.7MDec 4, 2024 to Mar 4, 2025
- Pooled vehicle RAUM · $130M to $138MDec 4, 2024 to Mar 4, 2025
- RAUM · $226M to $236MDec 4, 2024 to Mar 4, 2025
- Accounts · 50 to 89Nov 17, 2023 to Mar 26, 2024
- HNW clients · 4 to 5Nov 17, 2023 to Mar 26, 2024
- Assets in custody · $215M to $226MNov 17, 2023 to Mar 26, 2024
- Discretionary RAUM · $215M to $226MNov 17, 2023 to Mar 26, 2024
- HNW RAUM · $9.6M to $10.5MNov 17, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $122M to $130MNov 17, 2023 to Mar 26, 2024
- RAUM · $215M to $226MNov 17, 2023 to Mar 26, 2024
- Legal name · C•••••• W••••• M••••••••• to C•••••• W••••• M••••••••• L••Sep 8, 2023 to Sep 22, 2023
Signals
1 dated events
- C•••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Sep 8, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••••• W••••• M••••••••• · Family Officesshared crd · office
- C•••••• W••••• M••••••••• · Independent Sponsorsshared crd · capital_provider
- C•••••• W••••• M••••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- w••.c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (331) 307-7444reportedpublic record, Form ADV, Mar 20, 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
- Other 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