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•••••• M••••••••• C••••••
Latest filing Mar 18, 2026
First filing on the tape Feb 27, 2012 · 10 filings
SEC status approved since Aug 12, 2022
RAUM
$226M
reported, Item 5.F
Discretionary
39%
of RAUM
Private clients
100%
$226M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$226M
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
10 filings and snapshots on the tape
RAUM$226M as of Mar 18, 2026
Jun 25, 2012$19.7M then
HNW client RAUM$226M as of Mar 18, 2026
Mar 22, 2023$97.8M then
State-registered IARs (5.B.3)1 as of Mar 18, 2026
Mar 22, 20231 then
Employees (5.A)1 as of Mar 18, 2026
Mar 22, 20231 then
Private funds: no history
RAUM +66% over the last fiscal year+32% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $226MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.3MderivedHNW RAUM over HNW clients
- Average account
- $10.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 39%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +66%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, 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)
- 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
- High-net-worth individuals$226M100%
- Individual clients
- n/areported
- HNW clients
- 22reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 22reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• H• W•••••••Chartered Financial Analyst | Feb 6, 1998 | 31 y | 1 |
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••••• D••••• H• · Director, President, Secretary, Ceo, Cfo, Coo, Chief Compliance Officer, Shareholdercontrolsince 07/1995 · owns 75% or more
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
- RAUM up 50 %Change between filings · filing Mar 18, 2026RAUM (Item 5.F) moved from $136,078,778 to $225,556,373 (+66.0%) between the annual amendments of 2025-03-17 and 2026-03-18; the peer median change was +15.0% (4549 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 37 to 22Mar 17, 2025 to Mar 18, 2026
- HNW clients · 37 to 22Mar 17, 2025 to Mar 18, 2026
- Discretionary RAUM · $52.8M to $88.4MMar 17, 2025 to Mar 18, 2026
- HNW RAUM · $136M to $226MMar 17, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $83.3M to $137MMar 17, 2025 to Mar 18, 2026
- RAUM · $136M to $226MMar 17, 2025 to Mar 18, 2026
- Accounts · 28 to 37Mar 1, 2024 to Mar 17, 2025
- HNW clients · 28 to 37Mar 1, 2024 to Mar 17, 2025
- Financial planning clients · 0 to 0Mar 1, 2024 to Mar 17, 2025
- Discretionary RAUM · $48.7M to $52.8MMar 1, 2024 to Mar 17, 2025
- HNW RAUM · $120M to $136MMar 1, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $70.9M to $83.3MMar 1, 2024 to Mar 17, 2025
- RAUM · $120M to $136MMar 1, 2024 to Mar 17, 2025
- Accounts · 36 to 28Mar 22, 2023 to Mar 1, 2024
- Advisory activities · 3 to 2Mar 22, 2023 to Mar 1, 2024
- Corporate clients · 0.0 to unsetMar 22, 2023 to Mar 1, 2024
- HNW clients · 36 to 28Mar 22, 2023 to Mar 1, 2024
- Individual clients · 0.0 to unsetMar 22, 2023 to Mar 1, 2024
- Discretionary RAUM · $39.7M to $48.7MMar 22, 2023 to Mar 1, 2024
- HNW RAUM · $97.8M to $120MMar 22, 2023 to Mar 1, 2024
- Non-discretionary RAUM · $58.2M to $70.9MMar 22, 2023 to Mar 1, 2024
- RAUM · $97.8M to $120MMar 22, 2023 to Mar 1, 2024
- Accounts · 37 to 36Aug 3, 2022 to Mar 22, 2023
- Advisory activities · 2 to 3Aug 3, 2022 to Mar 22, 2023
- HNW clients · 37 to 36Aug 3, 2022 to Mar 22, 2023
- Discretionary RAUM · $46.6M to $39.7MAug 3, 2022 to Mar 22, 2023
- HNW RAUM · $128M to $97.8MAug 3, 2022 to Mar 22, 2023
- Non-discretionary RAUM · $81.4M to $58.2MAug 3, 2022 to Mar 22, 2023
- RAUM · $128M to $97.8MAug 3, 2022 to Mar 22, 2023
- Accounts · 40 to 37Jun 25, 2012 to Jul 13, 2022
- Advisory employees · unset to 1.0Jun 25, 2012 to Jul 13, 2022
- Corporate clients · unset to 0.0Jun 25, 2012 to Jul 13, 2022
- HNW clients · unset to 37.0Jun 25, 2012 to Jul 13, 2022
- Individual clients · unset to 0.0Jun 25, 2012 to Jul 13, 2022
- Employees · unset to 1.0Jun 25, 2012 to Jul 13, 2022
- State-registered IARs · unset to 1.0Jun 25, 2012 to Jul 13, 2022
- Other offices · unset to 0.0Jun 25, 2012 to Jul 13, 2022
- Discretionary RAUM · $19.7M to $46.6MJun 25, 2012 to Jul 13, 2022
- HNW RAUM · unset to 127991402.0Jun 25, 2012 to Jul 13, 2022
- Non-discretionary RAUM · $0 to $81.4MJun 25, 2012 to Jul 13, 2022
Signals
1 dated events
- W••••••• C•••••• M••••••••• C•••••• filed its initial SEC registration (Form ADV)Jul 13, 2022 · First SEC registration · fact
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
- 847-256-5565reportedpublic record, Form ADV, Mar 18, 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
- $226Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026