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RIA Intelligence

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W••••••••• I••••••••• M••••••••• I••

Independent wealth managerSEC-registered

Independent wealth manager, reporting $385M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$385M
Advisors
0
RAUM change, 1 year
+5.5%
Private clients
100%
of RAUM, $385M
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What may matter next

A pattern DFX replayed against history, using only what was known on each date, points at this record. The rate belongs to the pattern, not to this entity; what already happened is below.

W••••••••• I••••••••• M••••••••• I••ValidatedHighly elevated

3.1x elevated pattern: launches its first private fund.

Historical cohort rate 3.5% vs 0.7% baseline within 12 months. A rate for the pattern, not a probability for this entity.

Window 2026-09-25 to 2027-09-25, as of 2026-09-25

Firm AUM band, Form ADV Item 5.F (firm size, not the size of a first fund): $250M to $500M

Confidence: signal moderate, timing moderate, outcome low, identity high, magnitude high.

  • DerivedI•• l••••• F••• A•• ••••••••• s••• i• c•••••• p••••••••• f••• b•• i• r•••••• n• p•••••• f••••

Decision maker identified; on file: firm phone.

How the pattern measured, and every other entity on it: RIA firms: what comes next, for distributors.

Nothing material in the last 180 days. Last change: 27 Mar 2026, RAUM $365M to $385M (+5.5%) on the Form ADV filed 27 Mar 2026.

Every filed figure, and the identifiersCRD 105792 · SEC 801-32143 · 21 filingsShow
CRD 105792SEC 801-32143First filing on the tape Mar 30, 2012, latest Mar 27, 2026SEC status approved since Jun 2, 1988IAPD
RAUM
$385M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$385M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
1
1 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 +6.7% a year over three years · the tape starts Mar 30, 2012

Peer group: Independent wealth managers, $100M to $500M, 5,553 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$385M as of Mar 27, 2026
Mar 30, 2012$159M then
HNW client RAUM$385M as of Mar 27, 2026
Apr 2, 2018$266M then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 30, 20120 then
Employees (5.A)1 as of Mar 27, 2026
Mar 28, 20131 then
Private funds: no history
RAUM +5.5% over the last fiscal year+6.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$7.9MderivedHNW RAUM over HNW clients
Average account
$3.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year
+5.5%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-16%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
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
  • 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

100% high-net-worth individuals

The breakdown by client type, and the client counts1 client typesShow
  • High-net-worth individuals$385M100%
Individual clients
0reported
HNW clients
49reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
126reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bank; no bank ownerderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • W••••••••• J••• · President & Chief Compliance Officercontrol
        since 04/1988 · owns 75% or more
      Ownership changes
      Schedule A, between consecutive filings
      No owner or control person joined or left between filings on the tape.
      Who runs the funds
      related persons named most often on the Form D filings of the firm's funds
      No Form D related person is on record for this firm's funds.
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • unusually large average HNW clientStatic outlier · filing Mar 27, 2026
        HNW RAUM per HNW client of $7,860,719 against a peer median of $2,410,713 (4870 comparable advisers, 99.0th percentile, 3.7 robust deviations)
        peers: independent wealth managers, $100M to $500M (4,870) · 99% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 155 to 126
        Oct 16, 2025 to Mar 27, 2026
      • Charity clients · 1 to 0
        Oct 16, 2025 to Mar 27, 2026
      • HNW clients · 52 to 49
        Oct 16, 2025 to Mar 27, 2026
      • Individual clients · 6 to 0
        Oct 16, 2025 to Mar 27, 2026
      • Financial planning clients · to 0
        Oct 16, 2025 to Mar 27, 2026
      Full history · 80 changes
      • Discretionary RAUM · $365M to $385M
        Oct 16, 2025 to Mar 27, 2026
      • HNW RAUM · $360M to $385M
        Oct 16, 2025 to Mar 27, 2026
      • Individual RAUM · 4043705.0 to unset
        Oct 16, 2025 to Mar 27, 2026
      • RAUM · $365M to $385M
        Oct 16, 2025 to Mar 27, 2026
      • HQ city · unset to
        Mar 30, 2024 to Mar 29, 2025
      • Accounts · 170 to 155
        Mar 30, 2024 to Mar 29, 2025
      • Advisory activities · 2 to 1
        Mar 30, 2024 to Mar 29, 2025
      • HNW clients · 51 to 52
        Mar 30, 2024 to Mar 29, 2025
      • Individual clients · 10 to 6
        Mar 30, 2024 to Mar 29, 2025
      • Financial planning clients · unset to
        Mar 30, 2024 to Mar 29, 2025
      • HQ state · unset to
        Mar 30, 2024 to Mar 29, 2025
      • Discretionary RAUM · $360M to $365M
        Mar 30, 2024 to Mar 29, 2025
      • HNW RAUM · $353M to $360M
        Mar 30, 2024 to Mar 29, 2025
      • Individual RAUM · $6.4M to $4.0M
        Mar 30, 2024 to Mar 29, 2025
      • RAUM · $360M to $365M
        Mar 30, 2024 to Mar 29, 2025
      • Accounts · 183 to 170
        Mar 20, 2023 to Mar 30, 2024
      • HNW clients · 54 to 51
        Mar 20, 2023 to Mar 30, 2024
      • Individual clients · 11 to 10
        Mar 20, 2023 to Mar 30, 2024
      • Discretionary RAUM · $317M to $360M
        Mar 20, 2023 to Mar 30, 2024
      • HNW RAUM · $311M to $353M
        Mar 20, 2023 to Mar 30, 2024
      • Individual RAUM · $5.9M to $6.4M
        Mar 20, 2023 to Mar 30, 2024
      • RAUM · $317M to $360M
        Mar 20, 2023 to Mar 30, 2024
      • Accounts · 177 to 183
        Mar 31, 2022 to Mar 20, 2023
      • Charity clients · 3 to 1
        Mar 31, 2022 to Mar 20, 2023
      • HNW clients · 57 to 54
        Mar 31, 2022 to Mar 20, 2023
      • Individual clients · 10 to 11
        Mar 31, 2022 to Mar 20, 2023
      • Discretionary RAUM · $395M to $317M
        Mar 31, 2022 to Mar 20, 2023
      • HNW RAUM · $369M to $311M
        Mar 31, 2022 to Mar 20, 2023
      • Individual RAUM · $6.7M to $5.9M
        Mar 31, 2022 to Mar 20, 2023
      • RAUM · $395M to $317M
        Mar 31, 2022 to Mar 20, 2023
      • Accounts · 165 to 177
        Mar 30, 2021 to Mar 31, 2022
      • Charity clients · unset to 3.0
        Mar 30, 2021 to Mar 31, 2022
      • HNW clients · 52 to 57
        Mar 30, 2021 to Mar 31, 2022
      • Individual clients · 11 to 10
        Mar 30, 2021 to Mar 31, 2022
      • Pension plan clients · unset to 0.0
        Mar 30, 2021 to Mar 31, 2022
      • Discretionary RAUM · $298M to $395M
        Mar 30, 2021 to Mar 31, 2022
      • HNW RAUM · $276M to $369M
        Mar 30, 2021 to Mar 31, 2022
      • Individual RAUM · $6.6M to $6.7M
        Mar 30, 2021 to Mar 31, 2022
      • Pension RAUM · 358638.0 to unset
        Mar 30, 2021 to Mar 31, 2022
      • RAUM · $298M to $395M
        Mar 30, 2021 to Mar 31, 2022
      • Accounts · 177 to 165
        Jul 8, 2020 to Mar 30, 2021
      • HNW clients · 54 to 52
        Jul 8, 2020 to Mar 30, 2021
      • Individual clients · 12 to 11
        Jul 8, 2020 to Mar 30, 2021
      • Discretionary RAUM · $329M to $298M
        Jul 8, 2020 to Mar 30, 2021
      • HNW RAUM · $305M to $276M
        Jul 8, 2020 to Mar 30, 2021
      • Individual RAUM · $6.3M to $6.6M
        Jul 8, 2020 to Mar 30, 2021
      • Pension RAUM · $403,320 to $358,638
        Jul 8, 2020 to Mar 30, 2021
      • RAUM · $329M to $298M
        Jul 8, 2020 to Mar 30, 2021
      • Accounts · 173 to 177
        Mar 31, 2019 to Mar 30, 2020
      • HNW clients · 50 to 54
        Mar 31, 2019 to Mar 30, 2020
      • Individual clients · 17 to 12
        Mar 31, 2019 to Mar 30, 2020
      • Discretionary RAUM · $267M to $329M
        Mar 31, 2019 to Mar 30, 2020
      • HNW RAUM · $240M to $305M
        Mar 31, 2019 to Mar 30, 2020
      • Individual RAUM · $9.6M to $6.3M
        Mar 31, 2019 to Mar 30, 2020
      • Pension RAUM · $1.1M to $403,320
        Mar 31, 2019 to Mar 30, 2020
      • RAUM · $267M to $329M
        Mar 31, 2019 to Mar 30, 2020
      • Discretionary RAUM · $296M to $267M
        Apr 2, 2018 to Mar 31, 2019
      • HNW RAUM · $266M to $240M
        Apr 2, 2018 to Mar 31, 2019
      • Individual RAUM · $10.6M to $9.6M
        Apr 2, 2018 to Mar 31, 2019
      • Pension RAUM · $910,647 to $1.1M
        Apr 2, 2018 to Mar 31, 2019
      • RAUM · $296M to $267M
        Apr 2, 2018 to Mar 31, 2019
      • Other offices · unset to 0.0
        Mar 31, 2017 to Apr 2, 2018
      • Accounts · 174 to 173
        Mar 31, 2017 to Apr 2, 2018
      • Corporate clients · unset to 0.0
        Mar 31, 2017 to Apr 2, 2018
      • HNW clients · unset to 50.0
        Mar 31, 2017 to Apr 2, 2018
      • Individual clients · unset to 17.0
        Mar 31, 2017 to Apr 2, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 31, 2017 to Apr 2, 2018
      • Discretionary RAUM · $274M to $296M
        Mar 31, 2017 to Apr 2, 2018
      • HNW RAUM · unset to 266157344.0
        Mar 31, 2017 to Apr 2, 2018
      • Individual RAUM · unset to 10553376.0
        Mar 31, 2017 to Apr 2, 2018
      • Pension RAUM · unset to 910647.0
        Mar 31, 2017 to Apr 2, 2018
      • RAUM · $274M to $296M
        Mar 31, 2017 to Apr 2, 2018
      • Accounts · 171 to 174
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $234M to $274M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $234M to $274M
        Mar 30, 2016 to Mar 31, 2017
      Signals
      No event on the tape.
      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
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months.