DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM under $100M

W•• T••• A••••••• S•••••••

WIN T••• INSURANCE SERVICES, INC., CRD 136680

IRVINE, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e3a43320-539e-ca37-30b6-61f11f7339e3

Data as of Apr 30, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Dec 13, 2011 to Apr 30, 2025
21 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: $56.6M••• Locked
Discretionary RAUM: $56.6M
Private client RAUM: $56.0Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $18.9Mderived

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• D••••• W••••••	CHIEF COMPLIANCE OFFICER	E	yes	01/1999	Dec 13, 2011	Feb 27, 2024

Regulatory AUM by fiscal year

••• Locked

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

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	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
2024	$56.6M	$117M	-51.6%	$123M	-22.7%	3	3	0	0

Relationships

Registered with (3)

← J••• C••••• M•••••••Advisorregistration: current employment
Sep 9, 2009 to presentfactForm ADV
← B•••• R••••• B•••••••Advisorregistration: current employment
Sep 9, 2009 to presentfactForm ADV
← D•••• W•••••• C••••Advisorregistration: current employment
Apr 25, 2001 to presentfactForm ADV

Controls (1)

Dated events

Occurred
Jul 1, 2025
Left the SEC roster
••• Locked
Form ADVobserved 8 days ago
$56.6M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e3a43320-539e-ca37-30b6-61f11f7339e3
First observed: Dec 13, 2011
Last observed: Apr 30, 2025 17 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.