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••••••••• A•••••••

Independent wealth managerNew York, New YorkCRD 106181SEC 801-49390website IAPD

Legal name W••••••••• A••••••• L••

Latest filing Apr 30, 2026

First filing on the tape Apr 3, 2012 · 47 filings

SEC status approved since Jun 16, 1995

RAUM

$34B

reported, Item 5.F

Discretionary

96%

of RAUM

Private clients

97%

$33B individuals and HNW

Advisors

237

registered through the firm on IAPD

RAUM per advisor

$145M

derived; firm RAUM over IAPD count

Employees

397

220 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

47 filings and snapshots on the tape

RAUM$34B as of Apr 30, 2026

Apr 3, 2012$3.3B then

HNW client RAUM$32B as of Apr 30, 2026

Apr 9, 2018$4.7B then

State-registered IARs (5.B.3)210 as of Apr 30, 2026

Apr 1, 20132 then

Employees (5.A)397 as of Apr 30, 2026

Apr 1, 201332 then

Private funds1 as of Mar 30, 2020

Apr 3, 20121 then

RAUM +33% over the last fiscal year+28% a year over threeIARs 170 to 210offices 24 to 26

Practice profile

derived from the filing of Apr 30, 2026; every figure names its basis

Archetypes, each a printed rule

Multi-office growth platform · an independent wealth manager (not a wirehouse, national broker-dealer RIA or broker-dealer affiliated firm) with at least five offices, at least 50 advisors, and RAUM up at least 20 percent over the last annual amendment
p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
retirement p••• adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $145MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 41derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $5.7MderivedHNW RAUM over HNW clients
Average account: $3.4MderivedRAUM over accounts (5.F.2.f)
Discretionary: 96%derivedof RAUM
Institutional: 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.7derivedItem 5.A over advisors
Advisors per office: 8.7derived27 offices incl. principal (1.F.5)
RAUM growth, one year: +33%derivedbetween the last two annual amendments
Advisor growth, one year: +24%derivedItem 5.B.3 between annual amendments
Client growth, one year: +13%derived
Compensation: percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Financial planning clients: 3,000reportedItem 5.H
Wrap fee program: $3.7BreportedItem 5.I
Custody: $14B, 5,475 clientsreportedItem 9.A
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Firms absorbed, 24 months: 1derivedhalf or more of a firm's advisors moved here within 14 days
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)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
marketing includes testimonials (5.L.1.c)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$32B92%
Individuals$1.6B4.8%
Charitable organizations$619M1.8%
Corporations and businesses$290M0.8%
Pension and profit-sharing plans$175M0.5%
State and municipal entities$36.6M0.1%

Individual clients: 4,183reported
HNW clients: 5,553reported
Pension plan clients: 69reported
Charitable clients: 94reported
Accounts: 9,973reported
Financial planning clients: 3,000reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: $14B for 5,475 clientsreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=0.97 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

237 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
M••••• S•••••• S••••••••	New York, Ny	Apr 27, 2006	29 y	0
M•••••• N••••••• D••••••	New York, Ny	Sep 12, 2007	21 y	0
G••• M• H•••••Certified Financial Planner	New York, Ny	Dec 14, 2018	30 y	3
J••••• L•••• G••••••••	Aliso Viejo, Ca	Jun 18, 2019	26 y	3
C••••• J••••• D••••••	New York, Ny	Aug 5, 2020	12 y	1
O••••• P••••••	Westport, Ct	Nov 9, 2020	24 y	4
G•••• M•••••• R••••Certified Financial Planner	Reston, Va	Jan 3, 2021	18 y	2
W•••••• B•••• S•••••••Certified Financial Planner	Potomac, Md	Jan 3, 2021	30 y	3
L•••• S•• B••••Certified Financial Planner	Milwaukee, Wi	Jan 3, 2021	24 y	4
A••••• E•••• I••••••	Potomac, Md	Jan 3, 2021	23 y	4
M•••••• G•••••••• W•••••••Certified Financial Planner	Potomac, Md	Jan 3, 2021	24 y	3
K•••• C•••••• K••••••	Appleton, Wi	Jan 3, 2021	27 y	4
T•••••• R•••••• H•••••Certified Financial Planner	Reston, Va	Jan 3, 2021	20 y	3
J••••• L•••••• F••••	Delafield, Wi	Jan 4, 2021	14 y	1
D•••• A••••• D••••••	Potomac, Md	Jan 4, 2021	13 y	1
R•••• A• D••••Certified Financial Planner	Potomac, Md	Jan 4, 2021	17 y	2
J••• M•••••• D•••••	Delafield, Wi	Jan 4, 2021	12 y	1
C•••••• J•••• C••Certified Financial Planner	Madison, Wi	Jan 4, 2021	14 y	3
G••• R•••••• S•••••••	Potomac, Md	Jan 4, 2021	40 y	5
R••••• N••••••• H••••Certified Financial Planner	Delafield, Wi	Jan 4, 2021	11 y	2
S•••• D••••• D•••••Certified Financial Planner	Reston, Va	Jan 4, 2021	13 y	4
B•••• A•••• S•••••••Certified Financial Planner	Reston, Va	Jan 4, 2021	12 y	2
M••• B•••••• K•••••Certified Financial Planner	Reston, Va	Jan 4, 2021	13 y	4
K•••••••• F•••••• S••••••••Certified Financial Planner	Reston, Va	Jan 4, 2021	10 y	2
E••• G•••••Certified Financial Planner, Chartered Financial Analyst	Reston, Va	Jan 4, 2021	16 y	3
J•• A•••••• C••••••••Certified Financial Planner	Chicago, Il	Jan 4, 2021	22 y	4
M•• J••••• M••••••Certified Financial Planner	Potomac, Md	Jan 4, 2021	18 y	6
S•••• N•••••••• B••••	Potomac, Md	Jan 4, 2021	32 y	3
K•••• W•••••• S••••Certified Financial Planner	Indialantic, Fl	Jan 4, 2021	20 y	4
C••••••••• S•••••••• M••••	Potomac, Md	Jan 5, 2021	12 y	2
J•• M••••• F••••Certified Financial Planner, Chartered Financial Consultant	Delafield, Wi	Jan 5, 2021	39 y	4
O•••••• K•••••••••	Reston, Va	Jan 5, 2021	13 y	2
S•••• H• K••	Potomac, Md	Jan 5, 2021	10 y	2
L•••• L••	Potomac, Md	Jan 5, 2021	42 y	2
C••••••••• C•••• K••••••••Certified Financial Planner	Potomac, Md	Jan 5, 2021	15 y	2
J•• M•••••• W••••••••Chartered Financial Analyst	Potomac, Md	Jan 5, 2021	32 y	2
K•••• P••••• M••••••	Madison, Wi	Jan 5, 2021	27 y	3
S•••••••• M•••• S••••••Certified Financial Planner	Madison, Wi	Jan 5, 2021	10 y	2
T••••• E•••••••• L••••••	Appleton, Wi	Jan 5, 2021	18 y	1
B••• J••••• L•••••Certified Financial Planner	Potomac, Md	Jan 5, 2021	25 y	2

All 237 advisors at W••••••••• A•••••••

Advisor movement

5 left, 12 joined in 12 months

net +7 in 12 months1 left in 90 days2 joined in 90 daysdeparture rate 2.1% of current headcount14 left over 36 months

Left, latest

M••••••• C• E•••• to S••••••••• W••••• M•••••••••
Jul 20, 2026 · RIA to a state-registered adviser
L•••• S•••••• to D••••• A•••• M••••••••• L••
Jun 12, 2026 · RIA to RIA
R••• C•••••• M•••• to M••••• G••••• A••••••• I•••
Nov 20, 2025 · RIA to RIA
M•• B•••• K•••••••• to H•••••• F•••••••• S•••••••• I•••
Oct 17, 2025 · RIA to RIA
R••••• K••••••• C•••• to C•••••• A•••• M••••••••• L••
Oct 14, 2025 · RIA to RIA
E•••• E•••••••• P•••• to R•••• A•••••••• L••
Sep 17, 2025 · RIA to RIA
M•••••• L••••••• to W••••• E••••••••• A••••••• S•••••••• L••
Sep 11, 2025 · RIA to affiliated broker-dealer or bank
C••••••••• A•••• O•••• to B••• R••• F•••••••• G••••
Jun 24, 2025 · RIA to RIA
A•••• L• to M••••• W••••• M••••••••• L••
Mar 18, 2025 · RIA to RIA
M••• J• P•••• to C•• W••••• A•••••••• L•••
Mar 3, 2025 · RIA to RIA
S••••• S•••• to C••••••
Jan 8, 2025 · RIA to RIA
A••• E•••••••• W••••••••• to C••••• P••••••• L••
Mar 28, 2024 · RIA to RIA
A••••• A•• to C••••••••• W•••••• L••
Mar 26, 2024 · RIA to RIA
M•••••• J•••• T•••• to W•• A•••• M••••••••• C•••
Oct 2, 2023 · RIA to RIA
J•••• C•••• C••••••• to S•• W•••••
Aug 21, 2023 · RIA to a newly registered adviser

Joined, latest

B••• R•••• from H•••••••• A•••••••• L••
Sep 9, 2026 · Affiliated broker-dealer or bank to independent RIA
A•••••• D••••• E•••• from J••• M••••• S••••••••• L••
Jul 28, 2026 · Wirehouse to independent RIA
D•••• S• K••••• from M••••• S••••••
Jun 11, 2026 · Wirehouse to independent RIA
S•••• P•••• V•••••• from S•••••••• A••••••• L••
Jun 10, 2026 · Affiliated broker-dealer or bank to independent RIA
M•••• P••••••• L•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
May 13, 2026 · Wirehouse to independent RIA
R••••• A• F•••• from B••••••••• P•••••••
May 12, 2026 · RIA to RIA
J••••••• E••• B•••••••• from F••••••••• R••••••••• P••• C••••••••• L••
May 6, 2026 · Other
D•••••• A•• D••••• from R••••••••• A••••••• L••
May 6, 2026 · RIA to RIA
P•••••• C••••••• C•••••••• from F•••• P••••••• W•••••• L••
Apr 15, 2026 · RIA to RIA
C•••• B••••••• D•••• from M•••• F•••••••• A••••••• L••
Feb 11, 2026 · RIA to RIA
C•••• J•••• H•••• from C•••••• S••••• • C••• I•••
Jan 5, 2026 · Affiliated broker-dealer or bank to independent RIA
I•• M•••••• W••••••• from L•• F•••••••• L••
Nov 3, 2025 · Affiliated broker-dealer or bank to independent RIA
S•••••• F••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Aug 13, 2025 · Wirehouse to independent RIA
J••• C••••••••• C••••• from S•••••• W••••• A••••••• L••
Jun 12, 2025 · RIA to RIA
E•••••••• S•••••• from W•••• F•••• A•••••••
May 23, 2025 · Wirehouse to independent RIA

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

3 joined from W••••••••• A•••••••
Dec 31, 2024 · Midlothian, Va · Firm absorbed
2 joined from W••••• W••••• P••••••• L••
Nov 14, 2024 · Beachwood, Oh
19 joined from W••••••••• A•••••••
Sep 11, 2024 · San Rafael, Ca · Firm absorbed
3 joined from P•••••• C•••••• G••••• L••
Oct 26, 2022 · West Hartford, Ct · Firm absorbed
9 joined from W••••••••• A•••••••
Jul 5, 2022 · New York, Ny · Firm absorbed
13 joined from S•••••••••
Oct 1, 2021 · Fulton, Md · Firm absorbed

Teams out Teams in

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
S••••• S•••••• O••••••••• F•••no longer reported	Hedge Fund	$3,000	104	Apr 3, 2012

Owners and control persons

Schedule A and B, latest filing

D•• P•••••• M••••••• J• · Chief Compliance Officercontrol
since 01/2020 · owns less than 5%
G•••• M••••••• E••••• · Directorcontrol
since 10/2025 · owns less than 5%
H••••••••• R•••••• J•• · Directorcontrol
since 10/2025 · owns less than 5%
L•••••• M••••••• A•••••• · Chief Executive Officer, W•••••••••, LPcontrol
since 05/2019 · owns less than 5%
L•••• B•••• L••••••• · Chief Investment Officercontrol
since 10/2025 · owns less than 5%
M••• V•••••••• E• C••• · Directorcontrol
since 07/2017 · owns less than 5%
M•••••••• M••••••• J••••• · Chief Investment Officercontrol
since 12/2017 · owns less than 5%
N•••••• C•••• E••••• · President, W•••••••••, LPcontrol
since 10/2025 · owns less than 5%
O•••••••• E•••••• G••••• · Directorcontrol
since 02/2015 · owns less than 5%
O••••• C••••••• · Chief Operations Officercontrol
since 10/2025 · owns less than 5%
P•••••• B••••• D•••• · Chief Financial Officercontrol
since 05/2019 · owns less than 5%
S••••••••• B••••• R••••• · Directorcontrol
since 01/2009 · owns less than 5%
S•••••• E•••• M•••••• · Presidentcontrol
since 11/2011 · owns less than 5%
S•••••••• H•••• R••••• · Chief Legal Officercontrol
since 05/2019 · owns less than 5%
L•••••• L•••• M•••••• · Vice President
since 08/2005 · owns less than 5%

Entity owners

W••••••••• H•••••••• L•• · Member
direct · owns 75% or more
A••• P•• · Owner
indirect · owns 75% or more of R••••••• F•••••• U•••••••• C••••••
N•• C•••• · Owner
indirect · owns 75% or more of W••••••••• H•••••••• L••
N•• I••••••••• H••••••• B• C•••• · Owner
indirect · owns 75% or more of N•• C••••
R••••••• A••••••••• C•••• · Owner
indirect · owns 75% or more of N•• I••••••••• H••••••• B• C••••
R••••••• F•••••• U•••••••• C•••••• · Owner
indirect · owns 75% or more of R••••••• A••••••••• C••••

Related persons

Schedule D 7.A

W••••••••• A•••••••
investment adviseryRAUM $518M
F•••••••• A••••••• L••
investment advisernRAUM $98B
W••••••••• A•••••••
investment adviseryRAUM $4.4B
L•••• A•••••••• I•••
investment adviserreal estaten
M•••••• J• B••••
insurancen
N•••••• P•••••• W••••• I•••
investment advisern
W••••••••• R••••••••• A•••••••
investment advisernRAUM $39B
W••••••••• T•••• L••
n

Advisers that list W••••••••• A••••••• as a related person

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left
New York, Ny · principal	66	12	0
Potomac, Md	24	2	1
Melville, Ny	19	19	1
San Rafael, Ca	15	4	0
Reston, Va	14	0	1
Fulton, Md	14	1	0
Madison, Wi	12	3	0
Milwaukee, Wi	9	1	0
Delafield, Wi	8	0	0
Seattle, Wa	7	1	0
Boca Raton, Fl	6	6	0
West Hartford, Ct	6	1	0
Ann•••••S, Md	6	0	0
Salisbury, Md	5	0	0
Chicago, Il	4	1	1
Beachwood, Oh	4	1	0
San Francisco, Ca	4	0	1
Palm Beach Gardens, Fl	4	0	0
Westport, Ct	3	0	0
Midlothian, Va	3	0	0

Post-acquisition retention

advisors of absorbed firms still registered here after the move

Firms absorbed: 5 since 2015, 1 in 24 monthsderived
Advisors acquired: 46derived
Still registered after 90 days: 93% of 46derived
After 180 days: 96% of 46derived
After 365 days: 93% of 46derived
After 730 days: 91% of 43derived
Team lift-outs after: 0derivedteams that left this firm within two years of an absorption

Lower bound: a person who left the industry is on neither side of the tape, and a re-registration to an affiliated CRD of the same group counts as a departure.

Offices

Schedule D 1.F, the 25 largest

San Rafael, CA15 employees
Potomac, MD15 employees
Reston, VA13 employees
Fulton, MD7 employees
Salisbury, MD6 employees
Ann•••••S, MD6 employees
Westport, CT6 employees
Seattle, WA6 employees
Delafield, WI6 employees
Milwaukee, WI5 employees
Madison, WI5 employees
Palm Beach Gardens, FL3 employees
San Francisco, CA3 employees
West Hartford, CT3 employees
Appleton, WI2 employees
Reno, NV2 employees
M•••••Town, NJ1 employees
Chicago, IL1 employees
Denver, CO1 employees
, 1 employees
Bay Head, NJ

ADV anomalies

9 against comparable advisers; where to look, not conclusions

business activity changedChange between filings · filing Apr 30, 2026
wrap fee program participation (Item 5.I): no on the filing of 2026-03-27, yes on the filing of 2026-04-30
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Apr 30, 2026
H••••••••• R•••••• J•• (DIRECTOR) appeared on Schedule A between the filings of 2024-04-29 and 2026-04-30
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Apr 30, 2026
N•••••• C•••• E••••• (PRESIDENT, W•••••••••, LP) appeared on Schedule A between the filings of 2024-04-29 and 2026-04-30
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Apr 30, 2026
G•••• M••••••• E••••• (DIRECTOR) appeared on Schedule A between the filings of 2024-04-29 and 2026-04-30
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Apr 30, 2026
L•••• B•••• L••••••• (CHIEF INVESTMENT OFFICER) appeared on Schedule A between the filings of 2024-04-29 and 2026-04-30
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Apr 30, 2026
O••••• C••••••• (CHIEF OPERATIONS OFFICER) appeared on Schedule A between the filings of 2024-04-29 and 2026-04-30
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Apr 30, 2026
M•••••••• M••••••• J••••• (CHIEF INVESTMENT OFFICER) left Schedule A between the filings of 2024-04-29 and 2026-04-30
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Apr 30, 2026
O•••••••• E•••••• G••••• (DIRECTOR) left Schedule A between the filings of 2024-04-29 and 2026-04-30
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Apr 30, 2026
S•••••••• H•••• R••••• (CHIEF LEGAL OFFICER) left Schedule A between the filings of 2024-04-29 and 2026-04-30
peers: independent wealth managers, $20B and over (84)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 8,807 to 9,973
Mar 27, 2026 to Apr 30, 2026
Advisory employees · 195 to 220
Mar 27, 2026 to Apr 30, 2026
Charity clients · 85 to 94
Mar 27, 2026 to Apr 30, 2026
Corporate clients · 54 to 73
Mar 27, 2026 to Apr 30, 2026
HNW clients · 4,908 to 5,553
Mar 27, 2026 to Apr 30, 2026
Individual clients · 3,723 to 4,183
Mar 27, 2026 to Apr 30, 2026
Pension plan clients · 36 to 69
Mar 27, 2026 to Apr 30, 2026
Assets in custody · $13B to $14B
Mar 27, 2026 to Apr 30, 2026
Employees · 368 to 397
Mar 27, 2026 to Apr 30, 2026
State-registered IARs · 185 to 210
Mar 27, 2026 to Apr 30, 2026
Other offices · 22 to 26
Mar 27, 2026 to Apr 30, 2026
Discretionary RAUM · $29B to $33B
Mar 27, 2026 to Apr 30, 2026
HNW RAUM · $27B to $32B
Mar 27, 2026 to Apr 30, 2026
Individual RAUM · $1.5B to $1.6B
Mar 27, 2026 to Apr 30, 2026
Non-discretionary RAUM · $554M to $1.3B
Mar 27, 2026 to Apr 30, 2026
Pension RAUM · $63.7M to $175M
Mar 27, 2026 to Apr 30, 2026
RAUM · $29B to $34B
Mar 27, 2026 to Apr 30, 2026
Wrap assets (manager) · unset to 0.0
Mar 27, 2026 to Apr 30, 2026
Wrap assets (sponsor) · unset to 0.0
Mar 27, 2026 to Apr 30, 2026
Accounts · 8,760 to 8,807
Nov 25, 2025 to Mar 27, 2026
Advisory employees · 185 to 195
Nov 25, 2025 to Mar 27, 2026
Charity clients · 78 to 85
Nov 25, 2025 to Mar 27, 2026
Corporate clients · 59 to 54
Nov 25, 2025 to Mar 27, 2026
HNW clients · 4,425 to 4,908
Nov 25, 2025 to Mar 27, 2026
Individual clients · 4,157 to 3,723
Nov 25, 2025 to Mar 27, 2026
Pension plan clients · 40 to 36
Nov 25, 2025 to Mar 27, 2026
Assets in custody · $11B to $13B
Nov 25, 2025 to Mar 27, 2026
Employees · 335 to 368
Nov 25, 2025 to Mar 27, 2026
State-registered IARs · 170 to 185
Nov 25, 2025 to Mar 27, 2026
Other offices · 24 to 22
Nov 25, 2025 to Mar 27, 2026
Discretionary RAUM · $25B to $29B
Nov 25, 2025 to Mar 27, 2026
HNW RAUM · $23B to $27B
Nov 25, 2025 to Mar 27, 2026
Individual RAUM · $2.0B to $1.5B
Nov 25, 2025 to Mar 27, 2026
Non-discretionary RAUM · $587M to $554M
Nov 25, 2025 to Mar 27, 2026
Pension RAUM · $42.6M to $63.7M
Nov 25, 2025 to Mar 27, 2026
RAUM · $26B to $29B
Nov 25, 2025 to Mar 27, 2026
Related bank · true to false
May 12, 2025 to Nov 25, 2025
Related broker-dealer · true to false
May 12, 2025 to Nov 25, 2025
Related insurance company · true to false
May 12, 2025 to Nov 25, 2025
Financial planning clients · More than 500 to More than 500
Mar 28, 2025 to May 12, 2025

Signals

47 dated events

Megan Nicole J••• no longer holds an investment adviser registration (last listed at W••••••••• A••••••• on the 2026-09-17 feed)
Sep 17, 2026 · a•••••• registration ended · derived
Matthew Krueger no longer holds an investment adviser registration (last listed at W••••••••• A••••••• on the 2026-09-16 feed)
Sep 16, 2026 · a•••••• registration ended · derived
M••••••• C• E•••• left W••••••••• A••••••• for S••••••••• W••••• M••••••••• (registered 2026-08-11)
Jul 20, 2026 · a•••••• firm change · fact
L•••• S•••••• left W••••••••• A••••••• for D••••• A•••• M••••••••• L•• (registered 2026-07-17)
Jun 12, 2026 · a•••••• firm change · fact
R••• C•••••• M•••• left W••••••••• A••••••• for M••••• G••••• A••••••• I••• (registered 2026-01-14)
Nov 20, 2025 · a•••••• firm change · fact
M•• B•••• K•••••••• left W••••••••• A••••••• for H•••••• F•••••••• S•••••••• I••• (registered 2026-01-28)
Oct 17, 2025 · a•••••• firm change · fact
R••••• K••••••• C•••• left W••••••••• A••••••• for C•••••• A•••• M••••••••• L•• (registered 2025-12-02)
Oct 14, 2025 · a•••••• firm change · fact
E•••• E•••••••• P•••• left W••••••••• A••••••• for R•••• A•••••••• L•• (registered 2025-09-23)
Sep 17, 2025 · a•••••• firm change · fact
M•••••• L••••••• left W••••••••• A••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-09-17)
Sep 11, 2025 · a•••••• firm change · fact
C••••••••• A•••• O•••• left W••••••••• A••••••• for B••• R••• F•••••••• G•••• (registered 2025-07-08)
Jun 24, 2025 · a•••••• firm change · fact
A•••• L• left W••••••••• A••••••• for M••••• W••••• M••••••••• L•• (registered 2025-06-18)
Mar 18, 2025 · a•••••• firm change · fact
M••• J• P•••• left W••••••••• A••••••• for C•• W••••• A•••••••• L••• (registered 2025-12-12)
Mar 3, 2025 · a•••••• firm change · fact
S••••• S•••• left W••••••••• A••••••• for Corient (registered 2025-02-20)
Jan 8, 2025 · a•••••• firm change · fact
W••••••••• A•••••••'s advisors moved to W••••••••• A••••••• (Midlothian, VA): 3 of 3 registered, on the same day
Dec 31, 2024 · Firm absorbed (people side) · derived
2 advisors left W••••• W••••• P••••••• L•• (Beachwood, OH) for W••••••••• A••••••• on the same day
Nov 14, 2024 · Team lift-out · derived
W••••••••• A•••••••'s advisors moved to W••••••••• A••••••• (San Rafael, CA): 18 of 21 registered, on the same day
Sep 11, 2024 · Firm absorbed (people side) · derived
A••• E•••••••• W••••••••• left W••••••••• A••••••• for C••••• P••••••• L•• (registered 2024-04-16)
Mar 28, 2024 · a•••••• firm change · fact
A••••• A•• left W••••••••• A••••••• for C••••••••• W•••••• L•• (registered 2026-01-02)
Mar 26, 2024 · a•••••• firm change · fact
M•••••• J•••• T•••• left W••••••••• A••••••• for W•• A•••• M••••••••• C••• (registered 2023-10-17)
Oct 2, 2023 · a•••••• firm change · fact
Hugh Gregory F••••••• (Chief Strategy Officer) no longer on Schedule A of W••••••••• A••••••• (listed 2023-03-31, absent 2023-09-01)
Sep 1, 2023 · Control person left · inference
J•••• C•••• C••••••• left W••••••••• A••••••• for S•• W••••• (registered 2023-12-08)
Aug 21, 2023 · a•••••• firm change · fact
M••••••••• C•••••• R•••• left W••••••••• A••••••• for T•••••••• A•••••• G••••• L•• (registered 2025-01-02)
Jun 13, 2023 · a•••••• firm change · fact
E•••• L••••• D••••• left W••••••••• A••••••• for S•••• M••• A••••••• L•• (registered 2023-04-17)
May 4, 2023 · a•••••• firm change · fact
W••••••••• A••••••• reported 150 state-registered advisory representatives, up from 110 (2022-11-03 to 2023-03-31)
Mar 31, 2023 · ria a•••••• headcount change · derived
Vaughn Howard Sontag (Sr. Managing Director) no longer on Schedule A of W••••••••• A••••••• (listed 2022-11-03, absent 2023-03-31)
Mar 31, 2023 · Control person left · inference
Edwin James Decarlo (Chief Strategic Growth Officer) no longer on Schedule A of W••••••••• A••••••• (listed 2022-11-03, absent 2023-03-31)
Mar 31, 2023 · Control person left · inference
P•••••• C•••••• G••••• L••'s advisors moved to W••••••••• A••••••• (West Hartford, CT): 3 of 5 registered, on the same day
Oct 26, 2022 · Firm absorbed (people side) · derived
Hugh Gregory F••••••• (Chief Strategy Officer) appeared on Schedule A of W••••••••• A•••••••
Jul 20, 2022 · Control person joined · fact
W••••••••• A•••••••'s advisors moved to W••••••••• A••••••• (New York, NY): 9 of 9 registered, on the same day
Jul 5, 2022 · Firm absorbed (people side) · derived
W••••••••• A••••••• reported 110 state-registered advisory representatives, up from 82 (2021-10-01 to 2022-03-31)
Mar 31, 2022 · ria a•••••• headcount 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 email: clientrelations@wealthspire.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 206-729-1700reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 212-602-4565reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 212-973-1200reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: LINKEDIN.COM/COMPANY/W•••••••••A••••••Sreportedpublic record, Form ADV, Sep 18, 2026
Website: W•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: (212) 973-1200reportedpublic record, Form ADV, Apr 30, 2026
Contact form: WEALTHSPIRE.COM/contactreportedpublished by the firm, firm site, Sep 15, 2026
Team page: WEALTHSPIRE.COM/our-teamreportedpublished 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: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $145Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026