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•••• F•••••••• G••••
Legal name W•••• F•••••••• G••••• I•••
Latest filing Mar 23, 2024
First filing on the tape Mar 14, 2012 · 26 filings
SEC status approved since Jun 10, 1999
RAUM
$333M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$330M 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
2
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$333M as of Mar 22, 2024
Mar 14, 2012$122M then
HNW client RAUM$270M as of Mar 22, 2024
Mar 23, 2018$154M then
State-registered IARs (5.B.3)5 as of Mar 22, 2024
Mar 14, 20120 then
Employees (5.A)5 as of Mar 22, 2024
Mar 21, 20135 then
Private funds: no history
RAUM +9.5% over the last fiscal year+5.5% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 23, 2024; every figure names its basis
- RAUM per advisor
- $66.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $464,847derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $46.3M, 15 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$270M81%
- Individuals$59.6M18%
- Pension and profit-sharing plans$3.3M1.0%
- Individual clients
- 166reported
- HNW clients
- 84reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 717reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $46.3M for 15 clientsreported
- Compensation
- % of AUM, 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
- M•••••• J••••• A•••••••• to B•••••••• I••••••••• M••••••••• L••Jul 10, 2013 · Other
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for W•••• F•••••••• G••••• L••Mar 5, 2025 · Newton Square, Pa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• G••••• R••••• · Chief Compliance Officercontrolsince 02/2018 · owns less than 5%
- D••••• D•••••• S•••• · Secretary-Treasurercontrolsince 01/2001 · owns less than 5%
- W••••• J••••• H••••• · Presidentcontrolsince 01/1999 · owns 75% or more
- W••••• R••••••• B•••••••• · Vice Presidentcontrolsince 03/2001 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 683 to 717Dec 5, 2023 to Mar 22, 2024
- Advisory employees · 3 to 4Dec 5, 2023 to Mar 22, 2024
- HNW clients · 83 to 84Dec 5, 2023 to Mar 22, 2024
- Individual clients · 158 to 166Dec 5, 2023 to Mar 22, 2024
- Assets in custody · $71.4M to $46.3MDec 5, 2023 to Mar 22, 2024
- Employees · 6 to 5Dec 5, 2023 to Mar 22, 2024
- Financial planning clients · 51-100 to 0Dec 5, 2023 to Mar 22, 2024
- Discretionary RAUM · $304M to $333MDec 5, 2023 to Mar 22, 2024
- HNW RAUM · $248M to $270MDec 5, 2023 to Mar 22, 2024
- Individual RAUM · $53.6M to $59.6MDec 5, 2023 to Mar 22, 2024
- Pension RAUM · $3.1M to $3.3MDec 5, 2023 to Mar 22, 2024
- RAUM · $304M to $333MDec 5, 2023 to Mar 22, 2024
- Accounts · 667 to 683Nov 15, 2022 to Feb 25, 2023
- HNW clients · 86 to 83Nov 15, 2022 to Feb 25, 2023
- Individual clients · 149 to 158Nov 15, 2022 to Feb 25, 2023
- Assets in custody · $73.9M to $71.4MNov 15, 2022 to Feb 25, 2023
- Employees · 5 to 6Nov 15, 2022 to Feb 25, 2023
- State-registered IARs · 4 to 5Nov 15, 2022 to Feb 25, 2023
- Discretionary RAUM · $345M to $304MNov 15, 2022 to Feb 25, 2023
- HNW RAUM · $287M to $248MNov 15, 2022 to Feb 25, 2023
- Individual RAUM · $55.3M to $53.6MNov 15, 2022 to Feb 25, 2023
- Pension RAUM · $3.3M to $3.1MNov 15, 2022 to Feb 25, 2023
- RAUM · $345M to $304MNov 15, 2022 to Feb 25, 2023
- Accounts · 630 to 667Feb 23, 2021 to Mar 11, 2022
- Advisory employees · 5 to 3Feb 23, 2021 to Mar 11, 2022
- HNW clients · 74 to 86Feb 23, 2021 to Mar 11, 2022
- Individual clients · 155 to 149Feb 23, 2021 to Mar 11, 2022
- Assets in custody · $36.8M to $73.9MFeb 23, 2021 to Mar 11, 2022
- Employees · 7 to 5Feb 23, 2021 to Mar 11, 2022
- State-registered IARs · 6 to 4Feb 23, 2021 to Mar 11, 2022
- Discretionary RAUM · $284M to $345MFeb 23, 2021 to Mar 11, 2022
- HNW RAUM · $228M to $287MFeb 23, 2021 to Mar 11, 2022
- Individual RAUM · $53.6M to $55.3MFeb 23, 2021 to Mar 11, 2022
- Pension RAUM · $2.8M to $3.3MFeb 23, 2021 to Mar 11, 2022
- RAUM · $284M to $345MFeb 23, 2021 to Mar 11, 2022
- Accounts · 605 to 630Jun 24, 2020 to Feb 22, 2021
- HNW clients · 67 to 74Jun 24, 2020 to Feb 22, 2021
- Individual clients · 152 to 155Jun 24, 2020 to Feb 22, 2021
- Assets in custody · $5.6M to $36.8MJun 24, 2020 to Feb 22, 2021
- Financial planning clients · 101-250 to 51-100Jun 24, 2020 to Feb 22, 2021
Signals
2 dated events
- W•••• F•••••••• G•••• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $333.3M)Mar 6, 2025 · Left the SEC roster · derived
- 2 advisors left W•••• F•••••••• G•••• (Newton Square, PA) for W•••• F•••••••• G••••• L•• on the same dayMar 5, 2025 · Team lift-out · 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