DFX Intelligence

W•••• • A••••••••• 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•••• • A••••••••• L••

CRD 144441

SARASOTA, FL

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Search this name across graphsid dfx:ria:b04bf598-b6c2-669a-8eb9-177c976c58c5

Data as of Mar 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 4
On other graphs: 0
Observed: Jan 28, 2013 to Mar 10, 2026
35 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=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=9.0
Regulatory AUM: $828M••• Locked
Discretionary RAUM: $828M
Private client RAUM: $807Mderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 9
RAUM per advisor: $92.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••••• P•••••• W••••	Certified Financial Planner\|Chartered Financial Analyst	SARASOTA, FL \| DeKalb, IL	13	32	1	yes
J••••• P•••••• W••••	n/a	MIAMI, FL \| SARASOTA, FL	13	23

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
W••••• J•••••• P••••••	MANAGING MEMBER	D	yes	11/2012	Jan 28, 2013	Mar 27, 2024
W••••• J•••••• P••••••	WEALTH ADVISOR	B	no	03/2018	Mar 23, 2018	Mar 27, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Dekalb	IL	United States	1	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	1	0

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	$828M	$660M	25.4%	$482M	19.8%	15	13	2	1

Relationships

Registered with (10)

← P••••••• A••• M•••••••Advisorregistration: current employment
Sep 10, 2025 to presentfactForm ADV
← T••••• M•••• G••••••••Advisorregistration: current employment
Jun 24, 2025 to presentfactForm ADV
← K•••• M••••• H•••••••Advisorregistration: current employment
Apr 9, 2025 to presentfactForm ADV
← H••••• H••••••• S••••

Dated events

Occurred
Mar 10, 2026
Regulatory AUM changed
W•••• • A••••••••• L•• reported RAUM $827.7M, up 25% from $660.2M (2025-09-10 to 2026-03-10)
Form ADVobserved 7 days ago
$168M
Occurred
Mar 30, 2021
Regulatory AUM changed
W•••• • A••••••••• L•• reported RAUM $490.0M, up 28% from $381.9M (2020-06-29 to 2021-03-30)
Form ADVobserved 7 days ago
$108M
Occurred
May 10, 2013
Succession filed (Item 4)
The Caring Advisors Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b04bf598-b6c2-669a-8eb9-177c976c58c5
First observed: Jan 28, 2013
Last observed: Mar 10, 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.