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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

W••••• M••••••••• S••••••••

W••••• M••••••••• S••••••••, LLC, CRD 127517

S••••SDALE, AZ

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Search this name across graphsid dfx:ria:7ca5839f-be65-f69f-a98e-89af39f04856

Data as of May 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: Dec 22, 2011 to May 14, 2026
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: independent wealth managerderivedprivate_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $173M••• Locked
Discretionary RAUM: $173M
Private client RAUM: $163Mderived••• Locked
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $173Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••• S•••• R••••••••	Certified Financial Planner	S••••SDALE, AZ	23	25	1	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R••••••••• D••••• S••••	CHIEF COMPLIANCE OFFICER, PRINCIPAL, SENIOR FINANCIAL ADVISOR, MANAGING MEMBER	E	yes	06/2003	Dec 22, 2011	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W•• F•••• I••••• F••• I• L••	n/a	n/a	n/a	N	yes	n/a
W•• F••• M••••••••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 23, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	1

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$173M	$155M	11.2%	$142M	6.8%	4	4	0	0

Relationships

Registered with (8)

← D•••• S•••• R••••••••Advisorregistration: current employment
Sep 2, 2003 to presentfactForm ADV
← JOSEPH ANGELO VAZQUEZAdvisorregistration: previous registration
Jun 29, 2015 to Mar 13, 2024factForm ADV
← MATTHEW PAUL CHERRYAdvisorregistration: previous registration
Dec 7, 2018 to Jan 28, 2021factForm ADV
← JULIE ANN KERN

Dated events

Occurred
Mar 13, 2024
Advisor changed firm
Joseph Angelo Vazquez left W••••• M••••••••• S•••••••• for Transition Family Wealth (registered 2024-05-23)
Form ADVobserved 7 days ago
Occurred
Dec 6, 2021
First Form ADV filing
W••••• M••••••••• S•••••••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7ca5839f-be65-f69f-a98e-89af39f04856
First observed: Dec 22, 2011
Last observed: May 14, 2026 4 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.