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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

W••••••••• S•••••• • C••• L••

CRD 149021

NEW YORK, NY

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Search this name across graphsid dfx:ria:531587b2-6b49-51b5-d932-0182ca9301fb

Data as of Mar 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 50
Dated events: 5
On other graphs: 0
Observed: Mar 29, 2012 to Mar 17, 2026
30 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: independent wealth managerderivedprivate_client_share=0.91 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=false bd_reps=19.0
Regulatory AUM: $546MItem 5.F on the latest filing (2026-03-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $511M
Private client RAUM: $497MderivedItem 5.D individuals plus high net worth individuals
Private client share: 91%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 23
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P••••• F•••••• W••••••	n/a	NEW YORK, NY	16	42	1	yes
G•••••• C••••• B••••	n/a	Peapack, NJ \| Vero Beach, FL \| NEW YORK, NY	16

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• P••••• M••••••	CFO/COO	Na	yes	11/2008	Mar 29, 2012	Oct 14, 2024
G••••• T••••• W•••••	MANAGING MEMBER	Na	yes	11/2008	Mar 29, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W••••••••• S•••••• C•••••• M••••••••• L••	n/a	Independent wealth	$1.2B	N	yes	n/a
C•••••• M••••••••• A••••••••• I••	n/a	Asset manager	$68.7M	N	yes

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
T•••••VILLE	Ga	United States	3	yes
SHELBURNE FALLS	Ma	United States	3	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	4.3%	0	0	0	0	2

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$546M	$471M	15.9%	$383M	12.6%	25	25	2	2

Relationships

Registered with (28)

← W•••••• R••••• P•••••••Advisorregistration: current employment
Jul 2, 2026 to presentfactForm ADV
← W•••••• S•••••• H••••Advisorregistration: current employment
Feb 14, 2025 to presentfactForm ADV
← C•••••• R•••••• T•••••••Advisorregistration: current employment
Jan 22, 2025 to presentfactForm ADV
← J••••• B••••••

Dated events

Occurred
Mar 24, 2026
Advisor changed firm
Joseph Matthew Edwards left W••••••••• S•••••• • C••• L•• for Lpl Financial Llc (registered 2026-04-14)
Form ADVobserved 7 days ago
Occurred
Jul 1, 2025
Advisor changed firm
Terence W•••••• Brogan left W••••••••• S•••••• • C••• L•• for Brogan Asset Management, Llc (registered 2025-12-03)
Form ADVobserved 7 days ago
Occurred
Mar 22, 2023
Control person left
Maury Shields (Executrix) no longer on Schedule A of W••••••••• S•••••• • C••• L•• (listed 2022-10-14, absent 2023-03-22)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:531587b2-6b49-51b5-d932-0182ca9301fb
First observed: Mar 29, 2012
Last observed: Mar 17, 2026 6 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.

2025	Mar 17, 2026	$546M	$511M	25	15	2	n/a	n/a
2024	Mar 24, 2025	$471M	$431M	25	15	2	n/a	n/a
2023	Mar 12, 2024	$409M	$371M	24	16	2	n/a	n/a
2022	Mar 22, 2023	$383M	$350M	23	13	2	n/a	n/a
2021	Mar 17, 2022	$420M	$391M	22	12	2	n/a	n/a
2020	Mar 19, 2021	$362M	$340M	20	10	2	n/a	n/a
2019	Mar 25, 2020	$308M	$284M	21	10	2	n/a	n/a
2018	Mar 21, 2019	$258M	$232M	21	11	2	n/a	n/a
2017	Mar 26, 2018	$255M	$226M	20	9	2	n/a	n/a
2016	Mar 21, 2017	$278M	$246M	21	10	n/a	n/a	n/a
2015	Mar 29, 2016	$219M	$188M	21	10	n/a	n/a	n/a
2014	Mar 31, 2015	$247M	$214M	19	10	n/a	n/a	n/a
2013	Mar 27, 2014	$217M	$187M	20	10	n/a	n/a	n/a
2012	Mar 22, 2013	$245M	$219M	25	10	n/a	n/a	n/a
2011	Mar 29, 2012	$229M	$213M	n/a	n/a	n/a	n/a	n/a