DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
C•••••• M••••••••• A••••••••• I••
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2012 · 27 filings
SEC status approved since Sep 2, 1982
RAUM
$68.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$68.7M
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$68.7M as of Mar 31, 2026
Mar 29, 2012$189M then
HNW client RAUM$31.1M as of Mar 31, 2025
Mar 28, 2018$93.6M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 29, 20120 then
Employees (5.A)8 as of Mar 31, 2026
Mar 28, 201316 then
Private funds: no history
RAUM -27% over the last fiscal year-12% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $68.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $68.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -27%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$68.7M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=5.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• J•••••• M••••••• | New York, Ny | Aug 31, 2010 | 20 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• P•••••• M•••••• · Secretary & Treasurercontrolsince 01/2014 · owns less than 5%
- K•••••••• D••••••• H••••• · Director Of Researchcontrolsince 10/1982 · owns less than 5%
- M•••••••• W••••••• J•••••• · President & Ceocontrolsince 01/2014 · owns 25% to 50%
- P•••••• S••••••• J••• · Chief Compliance Officercontrolsince 03/2013 · owns less than 5%
- S••••••• D••••• L•••• · Shareholdersince 12/2012 · owns 25% to 50%
- S••••••• D••••• V•••••• · Directorsince 07/1982 · owns 10% to 25%
Related persons
Schedule D 7.A
- W••••••••• S•••••• • C••• L••broker-dealerinvestment advisernRAUM $546M
- W••••••••• S•••••• C•••••• M••••••••• L••investment advisernRAUM $1.2B
Advisers that list C•••••• M••••••••• A••••••••• I•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 31, 2026wrap fee program participation (Item 5.I): yes on the filing of 2025-03-31, no on the filing of 2026-03-31peers: asset managers, under $100M (330)
- client mix shiftChange between filings · filing Mar 31, 2026private-client share of RAUM moved from 36.0% to 0.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: asset managers, under $100M (330)
What changed
consecutive filings, newest first
- Accounts · 15 to 1Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 4 to 3Mar 31, 2025 to Mar 31, 2026
- Advisory activities · 3 to 1Mar 31, 2025 to Mar 31, 2026
- BD registered reps · 7 to 5Mar 31, 2025 to Mar 31, 2026
- HNW clients · 9.0 to unsetMar 31, 2025 to Mar 31, 2026
- Individual clients · 5.0 to unsetMar 31, 2025 to Mar 31, 2026
- Employees · 9 to 8Mar 31, 2025 to Mar 31, 2026
- Insurance-licensed employees · 3 to 5Mar 31, 2025 to Mar 31, 2026
- State-registered IARs · 3 to 2Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $94.0M to $68.7MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · 31140810.0 to unsetMar 31, 2025 to Mar 31, 2026
- Individual RAUM · 2631384.0 to unsetMar 31, 2025 to Mar 31, 2026
- RAUM · $94.0M to $68.7MMar 31, 2025 to Mar 31, 2026
- Wrap assets (manager) · 0.0 to unsetMar 31, 2025 to Mar 31, 2026
- Wrap assets (sponsor) · 0.0 to unsetMar 31, 2025 to Mar 31, 2026
- Accounts · 26 to 15Nov 5, 2024 to Mar 31, 2025
- HNW clients · 18 to 9Nov 5, 2024 to Mar 31, 2025
- Individual clients · 7 to 5Nov 5, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Nov 5, 2024 to Mar 31, 2025
- Discretionary RAUM · $93.5M to $94.0MNov 5, 2024 to Mar 31, 2025
- HNW RAUM · $39.5M to $31.1MNov 5, 2024 to Mar 31, 2025
- Individual RAUM · $2.7M to $2.6MNov 5, 2024 to Mar 31, 2025
- RAUM · $93.5M to $94.0MNov 5, 2024 to Mar 31, 2025
- Accounts · 39 to 26Mar 29, 2023 to Mar 22, 2024
- HNW clients · 25 to 18Mar 29, 2023 to Mar 22, 2024
- Individual clients · 12 to 7Mar 29, 2023 to Mar 22, 2024
- Discretionary RAUM · $99.6M to $93.5MMar 29, 2023 to Mar 22, 2024
- HNW RAUM · $44.7M to $39.5MMar 29, 2023 to Mar 22, 2024
- Individual RAUM · $4.2M to $2.7MMar 29, 2023 to Mar 22, 2024
- Pension RAUM · 1517964.0 to unsetMar 29, 2023 to Mar 22, 2024
- RAUM · $99.6M to $93.5MMar 29, 2023 to Mar 22, 2024
- Accounts · 42 to 39Oct 17, 2022 to Mar 29, 2023
- HNW clients · 29 to 25Oct 17, 2022 to Mar 29, 2023
- Individual clients · 11 to 12Oct 17, 2022 to Mar 29, 2023
- Discretionary RAUM · $136M to $99.6MOct 17, 2022 to Mar 29, 2023
- HNW RAUM · $69.7M to $44.7MOct 17, 2022 to Mar 29, 2023
- Individual RAUM · $2.8M to $4.2MOct 17, 2022 to Mar 29, 2023
- Pension RAUM · $2.2M to $1.5MOct 17, 2022 to Mar 29, 2023
- RAUM · $136M to $99.6MOct 17, 2022 to Mar 29, 2023
- Accounts · 50 to 42Mar 26, 2021 to Mar 28, 2022
Signals
1 dated events
- M•••• S•••••• (Executrix) no longer on Schedule A of C•••••• M••••••••• A••••••••• I•• (listed 2022-10-17, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- wellingtonshields.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-320-2000reportedpublic record, Form ADV, Mar 31, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $68.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026