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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Former SEC-registered adviser
W••••••••• A•••••••
Legal name A•• A••••••• S•••••••• L••
Latest filing Apr 29, 2024
First filing on the tape Mar 30, 2012 · 35 filings
RAUM
$518M
reported, Item 5.F
Discretionary
66%
of RAUM
Private clients
61%
$317M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$518M as of Mar 20, 2024
Mar 30, 2012$310M then
HNW client RAUM$234M as of Mar 20, 2024
Mar 29, 2018$109M then
State-registered IARs (5.B.3)4 as of Mar 20, 2024
Mar 27, 20136 then
Employees (5.A)5 as of Mar 20, 2024
Mar 27, 20137 then
Private funds: no history
RAUM -41% over the last fiscal year-14% a year over threeIARs 6 to 4
Practice profile
derived from the filing of Apr 29, 2024; every figure names its basis
- RAUM per advisor
- $130MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 66%derivedof RAUM
- Institutional
- 37%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -41%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +24%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$234M45%
- Charitable organizations$153M30%
- Individuals$82.8M16%
- Pension and profit-sharing plans$38.9M7.5%
- Corporations and businesses$9.4M1.8%
- Individual clients
- 237reported
- HNW clients
- 80reported
- Pension plan clients
- 41reported
- Charitable clients
- 4reported
- Accounts
- 369reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
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
- J•••••• B••••••• W••• to E•••••• A••••••• G••••• L••Feb 9, 2024 · RIA to affiliated broker-dealer or bank
- J••• E••• L••••• to P•••••••• S••••••••• I•••Mar 30, 2023 · RIA to affiliated broker-dealer or bank
- J•••• D• P•••••• to K•••••• C•••••• M••••••••• L••Mar 30, 2023 · RIA to RIA
- D•••• E••• F••••••• to V••••• I••••••••• A•••••••• L••Sep 10, 2021 · Other
- E••• C••••••• to M•••••• A•••••••Jul 13, 2016 · Other
- P••• B••••• M•••• to C•••••••• F•••••••• G•••• A•••••••Mar 30, 2009 · Other
Joined, latest
- J•••• Y••• S•••• from V•••• F•••••••• A•••••••• I•••Apr 26, 2022 · Affiliated broker-dealer or bank to independent RIA
- F•••• S•••• M••••• from T• A••••••••• I•••Jan 6, 2020 · Other
- J•••• D• P•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 8, 2015 · Other
- P••• B••••• M•••• from G•••••••• I••••••••• M••••••••• I•••Jun 23, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for W••••••••• A•••••••Dec 31, 2024 · Midlothian, Va · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•• P•••••• M••••••• J• · Chief Compliance Officercontrolsince 10/2023 · owns less than 5%
- L•••••• M••••••• A•••••• · Chief Executive Officercontrolsince 07/2023 · owns less than 5%
- L•••••• L•••• M•••••• · Vice Presidentcontrolsince 07/2023 · owns less than 5%
- M••• V•••••••• E• C••• · Directorcontrolsince 07/2023 · owns less than 5%
- M•••••••• M••••••• J••••• · Chief Investment Officercontrolsince 07/2023 · owns less than 5%
- O•••••••• E•••••• G••••• · Directorcontrolsince 07/2023 · owns less than 5%
- P•••••• B••••• D•••• · Chief Financial Officercontrolsince 07/2023 · owns less than 5%
- S••••••••• B••••• R••••• · Directorcontrolsince 07/2023 · owns less than 5%
- S•••••• E•••• M•••••• · President & Chief Operations Officercontrolsince 07/2023 · owns less than 5%
- S•••••••• H•••• R••••• · Chief Legal Officercontrolsince 07/2023 · owns less than 5%
- W••••••• J•••••• S••••••• · Managing Directorcontrolsince 10/2023 · owns less than 5%
Entity owners
- W••••••••• A••••••• · Ownerdirect · owns 75% or more
- A••• P•• · Ownerindirect · owns 75% or more of R••••••• F•••••• U•••••••• C••••••
- N•• C•••• · Ownerindirect · owns 75% or more of W••••••••• H•••••••• L••
- N•• I••••••••• H••••••• B• C•••• · Ownerindirect · owns 75% or more of N•• C••••
- R••••••• A••••••••• C•••• · Ownerindirect · owns 75% or more of N•• I••••••••• H••••••• B• C••••
- R••••••• F•••••• U•••••••• C•••••• · Ownerindirect · owns 75% or more of R••••••• A••••••••• C••••
- W••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of W••••••••• A•••••••
Related persons
Schedule D 7.A
- A•••••••• C••••••••• G••••• I•••investment adviserLP sponsorreal estaten
- W••••••••• A•••••••investment advisernRAUM $4.4B
- W••••••••• Retirement Advisoryinvestment advisernRAUM $39B
- W••••••••• A•••••••investment advisernRAUM $2.8B
- W••••••••• A•••••••investment adviseryRAUM $34B
Advisers that list W••••••••• A••••••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Midlothian, Va · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Related bank · false to trueMar 20, 2024 to Apr 29, 2024
- Related broker-dealer · false to trueMar 20, 2024 to Apr 29, 2024
- Accounts · 362 to 369Oct 31, 2023 to Mar 20, 2024
- Advisory employees · 8 to 4Oct 31, 2023 to Mar 20, 2024
- Corporate clients · 0 to 7Oct 31, 2023 to Mar 20, 2024
- HNW clients · 32 to 80Oct 31, 2023 to Mar 20, 2024
- Individual clients · 224 to 237Oct 31, 2023 to Mar 20, 2024
- Pension plan clients · 102 to 41Oct 31, 2023 to Mar 20, 2024
- Commission compensation · true to falseOct 31, 2023 to Mar 20, 2024
- Employees · 10 to 5Oct 31, 2023 to Mar 20, 2024
- State-registered IARs · 6 to 4Oct 31, 2023 to Mar 20, 2024
- Legal name · A•• A••••••• S••••••• I•• to A•• A••••••• S•••••••• L••Oct 31, 2023 to Mar 20, 2024
- Discretionary RAUM · $434M to $344MOct 31, 2023 to Mar 20, 2024
- HNW RAUM · $134M to $234MOct 31, 2023 to Mar 20, 2024
- Individual RAUM · $136M to $82.8MOct 31, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $443M to $175MOct 31, 2023 to Mar 20, 2024
- Pension RAUM · $483M to $38.9MOct 31, 2023 to Mar 20, 2024
- RAUM · $878M to $518MOct 31, 2023 to Mar 20, 2024
- Succession · true to falseOct 31, 2023 to Mar 20, 2024
- Business name · A•• W••••• M••••••••• to W••••••••• A•••••••Oct 31, 2023 to Oct 31, 2023
- Organization form · Corporation to Limited Liability CompanyOct 31, 2023 to Oct 31, 2023
- Succession · false to trueOct 31, 2023 to Oct 31, 2023
- Accounts · 993 to 362Nov 1, 2022 to Mar 31, 2023
- Advisory employees · 9 to 8Nov 1, 2022 to Mar 31, 2023
- HNW clients · 37 to 32Nov 1, 2022 to Mar 31, 2023
- Individual clients · 201 to 224Nov 1, 2022 to Mar 31, 2023
- Pension plan clients · 113 to 102Nov 1, 2022 to Mar 31, 2023
- Employees · 11 to 10Nov 1, 2022 to Mar 31, 2023
- Discretionary RAUM · $436M to $434MNov 1, 2022 to Mar 31, 2023
- HNW RAUM · $196M to $134MNov 1, 2022 to Mar 31, 2023
- Individual RAUM · $106M to $136MNov 1, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $526M to $443MNov 1, 2022 to Mar 31, 2023
- Pension RAUM · $557M to $483MNov 1, 2022 to Mar 31, 2023
- RAUM · $963M to $878MNov 1, 2022 to Mar 31, 2023
- Business name · A•• A••••••• S••••••• I•• to A•• W••••• M•••••••••Mar 30, 2022 to Mar 31, 2022
- Accounts · 1,223 to 993Mar 30, 2021 to Mar 30, 2022
- Advisory employees · 10 to 9Mar 30, 2021 to Mar 30, 2022
- Charity clients · 0 to 4Mar 30, 2021 to Mar 30, 2022
- HNW clients · 32 to 37Mar 30, 2021 to Mar 30, 2022
- Individual clients · 160 to 201Mar 30, 2021 to Mar 30, 2022
Signals
19 dated events
- W••••••••• A•••••••'s advisors moved to W••••••••• A••••••• (Midlothian, VA): 3 of 3 registered, on the same dayDec 31, 2024 · Firm absorbed (people side) · derived
- W••••••••• A••••••• reported RAUM $518.1M, down 41% from $877.6M (2023-10-31 to 2024-03-20)Mar 20, 2024 · RAUM change · derived
- Hugh Gregory Friedman (Chief Strategy Officer) no longer on Schedule A of W••••••••• A••••••• (listed 2023-10-31, absent 2024-03-20)Mar 20, 2024 · Control person left · inference
- J•••••• B••••••• W••• left W••••••••• A••••••• for E•••••• A••••••• G••••• L•• (registered 2024-03-01)Feb 9, 2024 · Advisor changed firm · fact
- W••••••••• A••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Oct 31, 2023 · Succession (Item 4) · fact
- Matthew Eric Sontag (President & Chief Operations Officer) appeared on Schedule A of W••••••••• A•••••••Aug 8, 2023 · Control person joined · fact
- George Edward O'Malley (Director) appeared on Schedule A of W••••••••• A•••••••Aug 8, 2023 · Control person joined · fact
- Ei Chun Veronica Moo (Director) appeared on Schedule A of W••••••••• A•••••••Aug 8, 2023 · Control person joined · fact
- Ronald Hoyt Stastney (Chief Legal Officer) appeared on Schedule A of W••••••••• A•••••••Aug 8, 2023 · Control person joined · fact
- Anthony Michael Lamena (Chief Executive Officer) appeared on Schedule A of W••••••••• A•••••••Aug 8, 2023 · Control person joined · fact
- J Michael Del Priore (Svp, Legal & Compliance) appeared on Schedule A of W••••••••• A•••••••Aug 8, 2023 · Control person joined · fact
- D•••• Brian Powers (Chief Financial Officer) appeared on Schedule A of W••••••••• A•••••••Aug 8, 2023 · Control person joined · fact
- Joseph Michael Moriarty (Chief Investment Officer) appeared on Schedule A of W••••••••• A•••••••Aug 8, 2023 · Control person joined · fact
- Hugh Gregory Friedman (Chief Strategy Officer) appeared on Schedule A of W••••••••• A•••••••Aug 8, 2023 · Control person joined · fact
- Ronald Brett Schneider (Director) appeared on Schedule A of W••••••••• A•••••••Aug 8, 2023 · Control person joined · fact
- Michell Lori Lieser (Vice President) appeared on Schedule A of W••••••••• A•••••••Aug 8, 2023 · Control person joined · fact
- J•••• D• P•••••• left W••••••••• A••••••• for K•••••• C•••••• M••••••••• L•• (registered 2023-04-10)Mar 30, 2023 · Advisor changed firm · fact
- J••• E••• L••••• left W••••••••• A••••••• for P•••••••• S••••••••• I••• (registered 2023-06-07)Mar 30, 2023 · Advisor changed firm · fact
- W••••••••• A••••••• reported RAUM $763.2M, up 27% from $602.9M (2019-03-29 to 2020-03-31)Mar 31, 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.
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
- Former SEC-registered adviserderiveda 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