DFX Intelligence

W•••• I••••••••• M••••••••• C••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

W•••• I••••••••• M••••••••• C••••

CRD 111712

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Search this name across graphsid dfx:ria:47f555c2-1a4f-0b7e-71a1-faa039056f5d

Data as of Mar 30, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2024
15 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $169M••• Locked
Discretionary RAUM: $169M
Private client RAUM: $164Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
W••••• J••••	CHIEF COMPLIANCE OFFICER	E	yes	01/2005	Mar 30, 2012	Mar 30, 2024
W••••• J••••	President	E	yes	07/1984	Mar 30, 2012	Mar 30, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Hampstead	Md	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$169M	$156M	8.3%	$145M	5.2%	4	4	1	1

Relationships

Controls (1)

← W••••• J••••OwnerCHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 30, 2012 to presentfactForm ADV

Owns (1)

← W••••• E••••• R•••••••OwnerSECRETARY/TREASURER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:47f555c2-1a4f-0b7e-71a1-faa039056f5d
First observed: Mar 30, 2012
Last observed: Mar 30, 2024 30 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.