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
W•••••••• I•••••••• I••
Latest filing Mar 24, 2026
First filing on the tape Mar 23, 2012 · 16 filings
SEC status approved since Apr 3, 1987
RAUM
$216M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
74%
$159M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$216M as of Mar 24, 2026
Mar 23, 2012$112M then
HNW client RAUM$141M as of Mar 24, 2026
Mar 28, 2018$111M then
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 22, 20130 then
Employees (5.A)4 as of Mar 24, 2026
Mar 22, 20133 then
Private funds: no history
RAUM +7.2% over the last fiscal year+3.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $981,097derivedHNW RAUM over HNW clients
- Average account
- $729,210derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $1.5M, 64 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$141M65%
- Corporations and businesses$31.7M15%
- Pension and profit-sharing plans$20.9M9.7%
- Individuals$17.7M8.2%
- Charitable organizations$4.2M1.9%
- Individual clients
- 132reported
- HNW clients
- 144reported
- Pension plan clients
- 10reported
- Charitable clients
- 5reported
- Accounts
- 296reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.5M for 64 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.74 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- M•••••• W•••••• B••••• to B••••• • C•••••• I••••••••• M••••••••• L••Dec 2, 2008 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••• D•••••• J••••• · President And Ccocontrolsince 01/2011 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 265 to 296Mar 26, 2025 to Mar 24, 2026
- Corporate clients · 3 to 5Mar 26, 2025 to Mar 24, 2026
- HNW clients · 126 to 144Mar 26, 2025 to Mar 24, 2026
- Individual clients · 122 to 132Mar 26, 2025 to Mar 24, 2026
- Pension plan clients · 9 to 10Mar 26, 2025 to Mar 24, 2026
- Discretionary RAUM · $200M to $214MMar 26, 2025 to Mar 24, 2026
- HNW RAUM · $127M to $141MMar 26, 2025 to Mar 24, 2026
- Individual RAUM · $26.5M to $17.7MMar 26, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $1.7M to $1.7MMar 26, 2025 to Mar 24, 2026
- Pension RAUM · $19.9M to $20.9MMar 26, 2025 to Mar 24, 2026
- RAUM · $201M to $216MMar 26, 2025 to Mar 24, 2026
- Accounts · 285 to 265Mar 22, 2024 to Mar 26, 2025
- HNW clients · 158 to 126Mar 22, 2024 to Mar 26, 2025
- Individual clients · 109 to 122Mar 22, 2024 to Mar 26, 2025
- Pension plan clients · 10 to 9Mar 22, 2024 to Mar 26, 2025
- Assets in custody · $2.0M to $1.5MMar 22, 2024 to Mar 26, 2025
- Financial planning clients · 1-10 to 11-25Mar 22, 2024 to Mar 26, 2025
- Discretionary RAUM · $203M to $200MMar 22, 2024 to Mar 26, 2025
- HNW RAUM · $131M to $127MMar 22, 2024 to Mar 26, 2025
- Individual RAUM · $15.3M to $26.5MMar 22, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $1.2M to $1.7MMar 22, 2024 to Mar 26, 2025
- Pension RAUM · $28.2M to $19.9MMar 22, 2024 to Mar 26, 2025
- RAUM · $204M to $201MMar 22, 2024 to Mar 26, 2025
- Accounts · 283 to 285Apr 6, 2023 to Mar 22, 2024
- Charity clients · 6 to 5Apr 6, 2023 to Mar 22, 2024
- Corporate clients · 4 to 3Apr 6, 2023 to Mar 22, 2024
- HNW clients · 151 to 158Apr 6, 2023 to Mar 22, 2024
- Pension plan clients · 13 to 10Apr 6, 2023 to Mar 22, 2024
- Assets in custody · $1.7M to $2.0MApr 6, 2023 to Mar 22, 2024
- Discretionary RAUM · $194M to $203MApr 6, 2023 to Mar 22, 2024
- HNW RAUM · $118M to $131MApr 6, 2023 to Mar 22, 2024
- Individual RAUM · $17.6M to $15.3MApr 6, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $1.0M to $1.2MApr 6, 2023 to Mar 22, 2024
- Pension RAUM · $29.4M to $28.2MApr 6, 2023 to Mar 22, 2024
- RAUM · $195M to $204MApr 6, 2023 to Mar 22, 2024
- Accounts · 288 to 283Mar 31, 2022 to Apr 6, 2023
- HNW clients · 179 to 151Mar 31, 2022 to Apr 6, 2023
- Individual clients · 77 to 109Mar 31, 2022 to Apr 6, 2023
- Pension plan clients · 22 to 13Mar 31, 2022 to Apr 6, 2023
- Assets in custody · $1.0M to $1.7MMar 31, 2022 to Apr 6, 2023
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- W•••••••• I•••••••• I•• /PA/ · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 814-456-3651reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- W••••••••INVESTORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- [814]456-3651reportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- w•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026