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.

Former SEC-registered adviser

Ws Securities Inc

Former SEC-registered adviserLenox, MassachusettsCRD 106910SEC 801-43817IAPD
Latest filing Jun 6, 2016
First filing on the tape Mar 29, 2012 · 9 filings
RAUM
$61.7M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$61.7M as of Mar 28, 2016
Mar 29, 2012$60.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 28, 2016
Mar 29, 20120 then
Employees (5.A)6 as of Mar 28, 2016
Apr 1, 20136 then
Private funds: no history
RAUM -6.4% over the last fiscal year-0.7% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 6, 2016; every figure names its basis
RAUM per advisor
$20.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$276,473derivedRAUM over accounts (5.F.2.f)
Discretionary
89%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-6.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$482,637, 6 clientsreportedItem 9.A
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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
223reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$482,637 for 6 clientsreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Stuart Edward Richter · Executive Vpcontrol
    since 12/2001 · owns less than 5%
  • Harvey Siegel · Chairman, Ceo & Chief Compliance Officercontrol
    since 11/1987 · owns 50% to 75%
  • Martin Barry Wesson · Presidentcontrol
    since 12/2004 · owns 25% to 50%
Related persons
Schedule D 7.A
Advisers that list Ws Securities Inc as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 246 to 223
    Mar 27, 2015 to Mar 28, 2016
  • Discretionary RAUM · $58.6M to $54.8M
    Mar 27, 2015 to Mar 28, 2016
  • Non-discretionary RAUM · $7.3M to $6.8M
    Mar 27, 2015 to Mar 28, 2016
  • RAUM · $65.8M to $61.7M
    Mar 27, 2015 to Mar 28, 2016
  • Accounts · 268 to 246
    Feb 25, 2015 to Mar 27, 2015
  • Discretionary RAUM · $59.8M to $58.6M
    Feb 25, 2015 to Mar 27, 2015
  • Non-discretionary RAUM · $7.3M to $7.3M
    Feb 25, 2015 to Mar 27, 2015
  • RAUM · $67.1M to $65.8M
    Feb 25, 2015 to Mar 27, 2015
  • Accounts · 281 to 268
    Jul 26, 2013 to Apr 3, 2014
  • Advisory employees · 4 to 3
    Jul 26, 2013 to Apr 3, 2014
  • Insurance-licensed employees · 4 to 3
    Jul 26, 2013 to Apr 3, 2014
  • State-registered IARs · 4 to 3
    Jul 26, 2013 to Apr 3, 2014
  • Discretionary RAUM · $56.4M to $59.8M
    Jul 26, 2013 to Apr 3, 2014
  • Non-discretionary RAUM · $6.7M to $7.3M
    Jul 26, 2013 to Apr 3, 2014
  • RAUM · $63.1M to $67.1M
    Jul 26, 2013 to Apr 3, 2014
  • Accounts · 302 to 281
    Mar 29, 2012 to Apr 1, 2013
  • Advisory employees · unset to 4.0
    Mar 29, 2012 to Apr 1, 2013
  • Employees · unset to 6.0
    Mar 29, 2012 to Apr 1, 2013
  • State-registered IARs · 0 to 4
    Mar 29, 2012 to Apr 1, 2013
  • Discretionary RAUM · $53.9M to $56.4M
    Mar 29, 2012 to Apr 1, 2013
  • Non-discretionary RAUM · $6.3M to $6.7M
    Mar 29, 2012 to Apr 1, 2013
  • RAUM · $60.3M to $63.1M
    Mar 29, 2012 to Apr 1, 2013
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.
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