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••••• O•••••• L••
Latest filing May 7, 2024
First filing on the tape Feb 14, 2023 · 5 filings
SEC status approved since Mar 16, 2023
RAUM
$359M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$359M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$359M as of May 7, 2024
Jul 11, 2023$330M then
HNW client RAUM$352M as of May 7, 2024
Jul 11, 2023$323M then
State-registered IARs (5.B.3)1 as of May 7, 2024
Feb 14, 20231 then
Employees (5.A)7 as of May 7, 2024
Feb 14, 20236 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 7, 2024; every figure names its basis
- RAUM per advisor
- $359MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.5MderivedHNW RAUM over HNW clients
- Average account
- $5.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.0derivedItem 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
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $259M, 51 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$352M98%
- Individuals$7.4M2.1%
- Individual clients
- 23reported
- HNW clients
- 47reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 70reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $259M for 51 clientsreported
- Compensation
- % of AUM, 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
- D••••• M• Z•••••••• to C••••••••• C••••••••• A••••••• S••••••••Feb 13, 2025 · RIA to RIA
- A•••• C••••• B••• to C••••••••• C••••••••• A••••••• S••••••••Feb 13, 2025 · RIA to RIA
Joined, latest
- A•••• C••••• B••• from N••••••••• A•••• M••••••••• L••Mar 16, 2023 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C••••••••• C••••••••• A••••••• S••••••••Feb 13, 2025 · Deerfield, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• A••••• C••••• · Managing Membercontrolsince 12/2022 · owns 50% to 75%
- Z••••••••• D•••••• M• · Managing Member And Chief Compliance Officercontrolsince 12/2022 · owns 50% to 75%
Related persons
Schedule D 7.A
- W••••••• I••••••••• I• L••investment adviserpooled vehicle sponsorn
- W••••••• I••••••••• I•• L••investment adviserpooled vehicle sponsorn
- W••••••• I••••••••• L••investment adviserpooled vehicle sponsorn
- W• S••••••• G•• L••investment adviserpooled vehicle sponsorn
- W• S••••••• M••••••••• L••investment adviserpooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Deerfield, Il · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · NORTHBROOK to DEERFIELDMar 26, 2024 to May 7, 2024
- Accounts · 68 to 70Jul 11, 2023 to Mar 26, 2024
- HNW clients · 45 to 47Jul 11, 2023 to Mar 26, 2024
- Assets in custody · $236M to $259MJul 11, 2023 to Mar 26, 2024
- Employees · 6 to 7Jul 11, 2023 to Mar 26, 2024
- Financial planning clients · 0 to 11-25Jul 11, 2023 to Mar 26, 2024
- Discretionary RAUM · $330M to $359MJul 11, 2023 to Mar 26, 2024
- HNW RAUM · $323M to $352MJul 11, 2023 to Mar 26, 2024
- Individual RAUM · $6.7M to $7.4MJul 11, 2023 to Mar 26, 2024
- RAUM · $330M to $359MJul 11, 2023 to Mar 26, 2024
- Accounts · unset to 68.0Mar 22, 2023 to Jul 11, 2023
- HNW clients · unset to 45.0Mar 22, 2023 to Jul 11, 2023
- Individual clients · unset to 23.0Mar 22, 2023 to Jul 11, 2023
- Assets in custody · unset to 235509168.0Mar 22, 2023 to Jul 11, 2023
- Custody of client assets · false to trueMar 22, 2023 to Jul 11, 2023
- Discretionary RAUM · unset to 329544375.0Mar 22, 2023 to Jul 11, 2023
- HNW RAUM · unset to 322798682.0Mar 22, 2023 to Jul 11, 2023
- Individual RAUM · unset to 6745693.0Mar 22, 2023 to Jul 11, 2023
- Non-discretionary RAUM · unset to 0.0Mar 22, 2023 to Jul 11, 2023
- RAUM · unset to 329544375.0Mar 22, 2023 to Jul 11, 2023
- Insurance-licensed employees · 1 to 0Feb 14, 2023 to Mar 22, 2023
Signals
5 dated events
- W••••••• F••••• O•••••• L•• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $359.0M)Mar 6, 2025 · Left the SEC roster · derived
- D••••• M• Z•••••••• left W••••••• F••••• O•••••• L•• for C••••••••• C••••••••• A••••••• S•••••••• (registered 2025-02-13)Feb 13, 2025 · Advisor changed firm · fact
- A•••• C••••• B••• left W••••••• F••••• O•••••• L•• for C••••••••• C••••••••• A••••••• S•••••••• (registered 2025-02-14)Feb 13, 2025 · Advisor changed firm · fact
- 2 advisors left W••••••• F••••• O•••••• L•• (Deerfield, IL) for C••••••••• C••••••••• A••••••• S•••••••• on the same dayFeb 13, 2025 · Team lift-out · derived
- W••••••• F••••• O•••••• L•• filed its initial SEC registration (Form ADV)Feb 14, 2023 · 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