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
G••••••• B••••••• • A••••••••• I••
Latest filing Mar 31, 2026
First filing on the tape Mar 26, 2012 · 21 filings
SEC status approved since Aug 29, 1975
RAUM
$138M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$134M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$46.1M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$138M as of Mar 31, 2026
Mar 26, 2012$138M then
HNW client RAUM$129M as of Mar 31, 2026
Mar 27, 2018$141M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 26, 20120 then
Employees (5.A)3 as of Mar 31, 2026
Mar 28, 20135 then
Private funds: no history
RAUM +3.2% over the last fiscal year+7.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $46.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +171%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$129M93%
- Individuals$5.4M3.9%
- Charitable organizations$2.4M1.7%
- Pension and profit-sharing plans$1.7M1.2%
- Individual clients
- 39reported
- HNW clients
- 53reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 96reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• B•••••••Chartered Financial Analyst | New York, Ny | Aug 17, 2021 | 41 y | 0 |
| S••••• S• L••• | New York, Ny | Dec 5, 2021 | 14 y | 0 |
| P••• A•••• | New York, Ny | Nov 20, 2025 | 15 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- P••• A•••• from S•••••• W•••••Nov 20, 2025 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• W•••••• · President, Chief Compliance Officercontrolsince 12/1985 · owns 75% or more
- L•••• S•••••• S• · Executive Vice President, Secretarycontrolsince 07/2023 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 31, 2026financial planning (Item 5.G.1): no on the filing of 2025-03-14, yes on the filing of 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 35 to 96Mar 14, 2025 to Mar 31, 2026
- Advisory employees · 2 to 3Mar 14, 2025 to Mar 31, 2026
- Advisory activities · 1 to 2Mar 14, 2025 to Mar 31, 2026
- HNW clients · 29 to 53Mar 14, 2025 to Mar 31, 2026
- Individual clients · 5 to 39Mar 14, 2025 to Mar 31, 2026
- Employees · 2 to 3Mar 14, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 26-50Mar 14, 2025 to Mar 31, 2026
- Discretionary RAUM · $134M to $138MMar 14, 2025 to Mar 31, 2026
- HNW RAUM · $130M to $129MMar 14, 2025 to Mar 31, 2026
- Individual RAUM · $2.8M to $5.4MMar 14, 2025 to Mar 31, 2026
- Pension RAUM · $1.6M to $1.7MMar 14, 2025 to Mar 31, 2026
- RAUM · $134M to $138MMar 14, 2025 to Mar 31, 2026
- Accounts · 52 to 35Mar 22, 2024 to Mar 14, 2025
- HNW clients · 41 to 29Mar 22, 2024 to Mar 14, 2025
- Individual clients · 10 to 5Mar 22, 2024 to Mar 14, 2025
- Financial planning clients · 0 to 0Mar 22, 2024 to Mar 14, 2025
- State-registered IARs · 2 to 0Mar 22, 2024 to Mar 14, 2025
- Discretionary RAUM · $123M to $134MMar 22, 2024 to Mar 14, 2025
- HNW RAUM · $117M to $130MMar 22, 2024 to Mar 14, 2025
- Individual RAUM · $3.9M to $2.8MMar 22, 2024 to Mar 14, 2025
- Pension RAUM · $1.9M to $1.6MMar 22, 2024 to Mar 14, 2025
- RAUM · $123M to $134MMar 22, 2024 to Mar 14, 2025
- Accounts · 49 to 52Mar 22, 2023 to Mar 22, 2024
- HNW clients · 27 to 41Mar 22, 2023 to Mar 22, 2024
- Individual clients · 21 to 10Mar 22, 2023 to Mar 22, 2024
- Financial planning clients · unset to 0Mar 22, 2023 to Mar 22, 2024
- Discretionary RAUM · $110M to $123MMar 22, 2023 to Mar 22, 2024
- HNW RAUM · $102M to $117MMar 22, 2023 to Mar 22, 2024
- Individual RAUM · $7.3M to $3.9MMar 22, 2023 to Mar 22, 2024
- Pension RAUM · $1.5M to $1.9MMar 22, 2023 to Mar 22, 2024
- RAUM · $110M to $123MMar 22, 2023 to Mar 22, 2024
- Accounts · 50 to 49Mar 21, 2022 to Mar 22, 2023
- HNW clients · 28 to 27Mar 21, 2022 to Mar 22, 2023
- Discretionary RAUM · $138M to $110MMar 21, 2022 to Mar 22, 2023
- HNW RAUM · $127M to $102MMar 21, 2022 to Mar 22, 2023
- Individual RAUM · $8.6M to $7.3MMar 21, 2022 to Mar 22, 2023
- Pension RAUM · $2.0M to $1.5MMar 21, 2022 to Mar 22, 2023
- RAUM · $138M to $110MMar 21, 2022 to Mar 22, 2023
- Accounts · 56 to 50Jan 21, 2022 to Mar 21, 2022
- Advisory employees · 3 to 2Jan 21, 2022 to Mar 21, 2022
Signals
1 dated events
- William Garrison (President) no longer on Schedule A of G••••••• B••••••• • A••••••••• I•• (listed 2021-03-29, absent 2022-01-21)Jan 21, 2022 · 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
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-557-7440reportedpublic 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $46.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026