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•••••• I••••••••• F••• M••••••• L••
Latest filing Mar 12, 2026
First filing on the tape Nov 26, 2024 · 2 filings
SEC status approved since Jan 6, 2025
RAUM
$255M
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
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$255M as of Mar 12, 2026
Nov 26, 2024$167M then
HNW client RAUM$0 as of Mar 12, 2026
Nov 26, 2024$0 then
State-registered IARs (5.B.3)0 as of Mar 12, 2026
Nov 26, 20240 then
Employees (5.A)5 as of Mar 12, 2026
Nov 26, 20245 then
Private funds5 as of Mar 12, 2026
Nov 26, 20244 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 12, 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
- $50.9MderivedRAUM 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
- unknownderivedbetween 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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $255M, 5 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$255M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $255M for 5 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•••••• P•••••••• C••••••• L•• | Hedge Fund | $115M | 99 | Nov 26, 2024 |
| W•••••• B•••••••• F••• Q•• L•• | Venture Capital Fund | $22.5M | 118 | Nov 26, 2024 |
| W•••••• B•••••••• F••• A•• L•• | Venture Capital Fund | $17.5M | 86 | Nov 26, 2024 |
| W•••••• P•••••••• C•••••• Q•• L•• | Hedge Fund | $11.9M | 18 | Nov 26, 2024 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• D•••• L•• · Chief Executive Officercontrolsince 09/2022 · owns less than 5%
- L••••••• R•••• S•••• · Chief Compliance Officer And Chief Financial Officercontrolsince 01/2024 · owns less than 5%
- H•••••• D•••• L•• · Chief Executive Officercontrolsince 04/1998 · owns 25% to 50% of W•••••• A••••••••• A•• C•••••• I•••
Entity owners
- W•••••• A••••••••• A•• C•••••• I••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- W•••••• E••••• P•••••••investment advisernRAUM $337M
Advisers that list W•••••• I••••••••• F••• M••••••• L•• as a related person
- 326762 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 5Nov 26, 2024 to Mar 12, 2026
- Advisory employees · 1 to 4Nov 26, 2024 to Mar 12, 2026
- Pooled vehicle clients · 4 to 5Nov 26, 2024 to Mar 12, 2026
- Assets in custody · $167M to $255MNov 26, 2024 to Mar 12, 2026
- Financial planning clients · unset to Nov 26, 2024 to Mar 12, 2026
- Private funds · 4 to 5Nov 26, 2024 to Mar 12, 2026
- Discretionary RAUM · $167M to $255MNov 26, 2024 to Mar 12, 2026
- Pooled vehicle RAUM · $167M to $255MNov 26, 2024 to Mar 12, 2026
- RAUM · $167M to $255MNov 26, 2024 to Mar 12, 2026
Signals
1 dated events
- W•••••• I••••••••• F••• M••••••• L•• filed its initial SEC registration (Form ADV)Nov 26, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- W•••••• I••••••••• F••• M••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 435-755-2000reportedpublic record, Form ADV, Mar 12, 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 M••••••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