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••• C•••••• G••••• I•••
Latest filing Apr 20, 2026
First filing on the tape Mar 14, 2012 · 33 filings
SEC status approved since Jun 25, 1992
RAUM
$295M
reported, Item 5.F
Discretionary
45%
of RAUM
Private clients
48%
$142M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$98.2M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$295M as of Apr 20, 2026
Mar 14, 2012$618M then
HNW client RAUM$49.4M as of Apr 20, 2026
Mar 15, 2018$10.7M then
State-registered IARs (5.B.3)3 as of Apr 20, 2026
Mar 14, 20120 then
Employees (5.A)5 as of Apr 20, 2026
Mar 11, 20134 then
Private funds: no history
RAUM +174% over the last fiscal year-22% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Apr 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- $98.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 265derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $198,158derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 45%derivedof RAUM
- Institutional
- 51%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +174%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +37%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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
- State and municipal entities$148M50%
- Individuals$92.9M32%
- High-net-worth individuals$49.4M17%
- Charitable organizations$2.7M0.9%
- Other investment advisers$1.9M0.7%
- Corporations and businesses$26,1180.0%
- Individual clients
- 760reported
- HNW clients
- 34reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,487reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.48 fund_share=0.01 institutional_share=0.51 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 |
|---|---|---|---|---|
| D•••• J••••• W•••Certified Financial Planner | Phoenix, Az | Jul 14, 1998 | 36 y | 0 |
| A••••• M••••••• S•••••• | Phoenix, Az | Dec 3, 2021 | 10 y | 0 |
| J•••• L•• S•••••• | Phoenix, Az | Jul 31, 2025 | 13 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
- S•••••• M••••• to M••••••• S••••••••• L••Jun 1, 2020 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• A•••••• M••••••• · Vice Presidentcontrolsince 05/2022 · owns less than 5%
- W•••• C••••••• M•• · Secretarycontrolsince 05/1990 · owns 50% to 75%
- W•••• D••••• J••••• · President And Chief Compliance Officercontrolsince 05/1990 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Phoenix, Az · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
8 against comparable advisers; where to look, not conclusions
- wealth to institutional shiftCombination · filing Apr 20, 2026private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $107,549,169 to $294,661,243, advisors 2 to 3, private clients 579 to 794, offices 0 to 0 (2025-03-24 to 2026-04-20)peers: independent wealth managers, $100M to $500M (5,676)
- high institutional concentrationStatic outlier · filing Apr 20, 2026institutional share of RAUM of 51% against a peer median of 0% (5676 comparable advisers, 99.0th percentile, 17.1 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 99% percentile
- unusually high clients per advisorStatic outlier · filing Apr 20, 2026private clients per advisor of 264.7 against a peer median of 57.3 (3076 comparable advisers, 99.0th percentile, 5.9 robust deviations)peers: independent wealth managers, $100M to $500M (3,076) · 99% percentile
- HNW share shiftChange between filings · filing Apr 20, 2026HNW share of RAUM moved from 36.0% to 17.0% between the annual amendments of 2025-03-24 and 2026-04-20peers: independent wealth managers, $100M to $500M (5,676)
- RAUM up 50 %Change between filings · filing Apr 20, 2026RAUM (Item 5.F) moved from $107,549,169 to $294,661,243 (+174.0%) between the annual amendments of 2025-03-24 and 2026-04-20; the peer median change was +15.0% (4550 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 100% percentile
- institutional asset share shiftChange between filings · filing Apr 20, 2026institutional share of RAUM moved from 4.0% to 52.0% between the annual amendments of 2025-03-24 and 2026-04-20peers: independent wealth managers, $100M to $500M (5,676)
- client mix shiftChange between filings · filing Apr 20, 2026private-client share of RAUM moved from 96.0% to 48.0% between the annual amendments of 2025-03-24 and 2026-04-20peers: independent wealth managers, $100M to $500M (5,676)
- discretionary share shiftChange between filings · filing Apr 20, 2026discretionary share of RAUM moved from 96.0% to 45.0% between the annual amendments of 2025-03-24 and 2026-04-20peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,212 to 1,487Mar 24, 2025 to Mar 9, 2026
- Advisory employees · 2 to 3Mar 24, 2025 to Mar 9, 2026
- HNW clients · 32 to 34Mar 24, 2025 to Mar 9, 2026
- Individual clients · 547 to 760Mar 24, 2025 to Mar 9, 2026
- Financial planning clients · 11-25 to 101-250Mar 24, 2025 to Mar 9, 2026
- State-registered IARs · 2 to 3Mar 24, 2025 to Mar 9, 2026
- Discretionary RAUM · $103M to $132MMar 24, 2025 to Mar 9, 2026
- HNW RAUM · $39.0M to $49.4MMar 24, 2025 to Mar 9, 2026
- Individual RAUM · $64.2M to $92.9MMar 24, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $4.7M to $163MMar 24, 2025 to Mar 9, 2026
- Pension RAUM · 0.0 to unsetMar 24, 2025 to Mar 9, 2026
- RAUM · $108M to $295MMar 24, 2025 to Mar 9, 2026
- Accounts · 1,152 to 1,212Oct 23, 2024 to Mar 24, 2025
- Advisory employees · 4 to 2Oct 23, 2024 to Mar 24, 2025
- Charity clients · 7.0 to unsetOct 23, 2024 to Mar 24, 2025
- HNW clients · 25 to 32Oct 23, 2024 to Mar 24, 2025
- Individual clients · 532 to 547Oct 23, 2024 to Mar 24, 2025
- Employees · 6 to 5Oct 23, 2024 to Mar 24, 2025
- Financial planning clients · 11-25 to 11-25Oct 23, 2024 to Mar 24, 2025
- State-registered IARs · 4 to 2Oct 23, 2024 to Mar 24, 2025
- Discretionary RAUM · $260M to $103MOct 23, 2024 to Mar 24, 2025
- HNW RAUM · $30.6M to $39.0MOct 23, 2024 to Mar 24, 2025
- Individual RAUM · $60.6M to $64.2MOct 23, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $398M to $4.7MOct 23, 2024 to Mar 24, 2025
- RAUM · $658M to $108MOct 23, 2024 to Mar 24, 2025
- Accounts · 992 to 1,152Jan 2, 2024 to Mar 13, 2024
- Charity clients · unset to 7.0Jan 2, 2024 to Mar 13, 2024
- HNW clients · 19 to 25Jan 2, 2024 to Mar 13, 2024
- Individual clients · 468 to 532Jan 2, 2024 to Mar 13, 2024
- Discretionary RAUM · $144M to $260MJan 2, 2024 to Mar 13, 2024
- HNW RAUM · $19.5M to $30.6MJan 2, 2024 to Mar 13, 2024
- Individual RAUM · $42.7M to $60.6MJan 2, 2024 to Mar 13, 2024
- Non-discretionary RAUM · $487M to $398MJan 2, 2024 to Mar 13, 2024
- Pension RAUM · $199,618 to $0Jan 2, 2024 to Mar 13, 2024
- RAUM · $630M to $658MJan 2, 2024 to Mar 13, 2024
- Accounts · 857 to 992Oct 27, 2022 to Mar 27, 2023
- Charity clients · 8.0 to unsetOct 27, 2022 to Mar 27, 2023
- HNW clients · 13 to 19Oct 27, 2022 to Mar 27, 2023
- Individual clients · 389 to 468Oct 27, 2022 to Mar 27, 2023
- State-registered IARs · 3 to 4Oct 27, 2022 to Mar 27, 2023
Signals
5 dated events
- W••• C•••••• G••••• I••• reported RAUM $294.7M, up 174% from $107.5M (2025-03-24 to 2026-03-09)Mar 9, 2026 · RAUM change · derived
- W••• C•••••• G••••• I••• reported RAUM $107.5M, down 84% from $657.7M (2024-10-23 to 2025-03-24)Mar 24, 2025 · RAUM change · derived
- W••• C•••••• G••••• I••• reported RAUM $630.2M, down 61% from $1.6B (2022-10-27 to 2023-03-27)Mar 27, 2023 · RAUM change · derived
- M••••••• A••••• S•••••• (Vice President) appeared on Schedule A of W••• C•••••• G••••• I•••Oct 27, 2022 · Control person joined · fact
- W••• C•••••• G••••• I••• reported RAUM $1.4B, up 32% from $1.1B (2019-03-21 to 2020-03-12)Mar 12, 2020 · RAUM change · derived
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
- Business phone
- 623-242-6332reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- W•••CAPITALGROUP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 623-242-6332reportedpublic record, Form ADV, Apr 20, 2026
- Team page
- w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $98.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026