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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
W••••• M••••••••• C•••••••••
Legal name W••••• M••••••••• C••••••••• O• A••••••• I•••
Latest filing Mar 25, 2026
First filing on the tape Mar 14, 2012 · 14 filings
SEC status approved since May 15, 2020
RAUM
$242M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$242M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$80.5M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$242M as of Mar 25, 2026
Mar 14, 2012$57.4M then
HNW client RAUM$71.7M as of Mar 25, 2026
Mar 31, 2021$60.6M then
State-registered IARs (5.B.3)3 as of Mar 25, 2026
Mar 31, 20212 then
Employees (5.A)6 as of Mar 25, 2026
Mar 31, 20216 then
Private funds: no history
RAUM +16% over the last fiscal year+16% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $80.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 547derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $147,188derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +24%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $74.8M, 407 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$170M70%
- High-net-worth individuals$71.7M30%
- Individual clients
- 1,602reported
- HNW clients
- 39reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,641reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $74.8M for 407 clientsreported
- 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=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• S••••• H••••Certified Financial Planner | Tallahassee, Fl | Nov 26, 1990 | 37 y | 0 |
| R••• S••••• H••••Certified Financial Planner | Tallahassee, Fl | Feb 22, 2022 | 10 y | 0 |
| J••••• A•••••••• C•••••••Certified Financial Planner | Tallahassee, Fl | May 8, 2025 | 10 y | 0 |
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
- H••••• W••••••• S••••• · President/Chief Compliance Officercontrolsince 08/1988 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tallahassee, Fl · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Mar 25, 2026private clients per advisor of 547.0 against a peer median of 57.3 (3076 comparable advisers, 100.0th percentile, 14.0 robust deviations)peers: independent wealth managers, $100M to $500M (3,076) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 1,325 to 1,641Feb 19, 2025 to Mar 25, 2026
- Advisory employees · 2 to 3Feb 19, 2025 to Mar 25, 2026
- HNW clients · 27 to 39Feb 19, 2025 to Mar 25, 2026
- Individual clients · 1,298 to 1,602Feb 19, 2025 to Mar 25, 2026
- State-registered IARs · 2 to 3Feb 19, 2025 to Mar 25, 2026
- Discretionary RAUM · $208M to $241MFeb 19, 2025 to Mar 25, 2026
- HNW RAUM · $48.0M to $71.7MFeb 19, 2025 to Mar 25, 2026
- Individual RAUM · $161M to $170MFeb 19, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $735,939 to $820,747Feb 19, 2025 to Mar 25, 2026
- RAUM · $209M to $242MFeb 19, 2025 to Mar 25, 2026
- Accounts · 1,790 to 1,325Nov 14, 2024 to Feb 19, 2025
- HNW clients · 25 to 27Nov 14, 2024 to Feb 19, 2025
- Individual clients · 1,264 to 1,298Nov 14, 2024 to Feb 19, 2025
- Assets in custody · $29.8M to $74.8MNov 14, 2024 to Feb 19, 2025
- Employees · 5 to 6Nov 14, 2024 to Feb 19, 2025
- Financial planning clients · 0 to 0Nov 14, 2024 to Feb 19, 2025
- Discretionary RAUM · $195M to $208MNov 14, 2024 to Feb 19, 2025
- HNW RAUM · $44.1M to $48.0MNov 14, 2024 to Feb 19, 2025
- Individual RAUM · $153M to $161MNov 14, 2024 to Feb 19, 2025
- Non-discretionary RAUM · $1.3M to $735,939Nov 14, 2024 to Feb 19, 2025
- RAUM · $197M to $209MNov 14, 2024 to Feb 19, 2025
- Accounts · 1,742 to 1,790Feb 17, 2024 to Nov 14, 2024
- Advisory activities · 4 to 3Feb 17, 2024 to Nov 14, 2024
- HNW clients · 37 to 25Feb 17, 2024 to Nov 14, 2024
- Individual clients · 937 to 1,264Feb 17, 2024 to Nov 14, 2024
- Assets in custody · unset to 29792375.0Feb 17, 2024 to Nov 14, 2024
- Custody of client assets · false to trueFeb 17, 2024 to Nov 14, 2024
- Discretionary RAUM · $179M to $195MFeb 17, 2024 to Nov 14, 2024
- HNW RAUM · $67.8M to $44.1MFeb 17, 2024 to Nov 14, 2024
- Individual RAUM · $112M to $153MFeb 17, 2024 to Nov 14, 2024
- Non-discretionary RAUM · $579,372 to $1.3MFeb 17, 2024 to Nov 14, 2024
- RAUM · $180M to $197MFeb 17, 2024 to Nov 14, 2024
- Accounts · 1,549 to 1,742Mar 20, 2023 to Feb 17, 2024
- HNW clients · 68 to 37Mar 20, 2023 to Feb 17, 2024
- Individual clients · 995 to 937Mar 20, 2023 to Feb 17, 2024
- Discretionary RAUM · $153M to $179MMar 20, 2023 to Feb 17, 2024
- HNW RAUM · $58.0M to $67.8MMar 20, 2023 to Feb 17, 2024
- Individual RAUM · $96.7M to $112MMar 20, 2023 to Feb 17, 2024
- Non-discretionary RAUM · $1.6M to $579,372Mar 20, 2023 to Feb 17, 2024
- RAUM · $155M to $180MMar 20, 2023 to Feb 17, 2024
Signals
1 dated events
- W••••• M••••••••• C••• filed its initial SEC registration (Form ADV)Apr 15, 2020 · 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
- Business phone
- 850-894-7526reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- w••.w•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 850-894-7526reportedpublic record, Form ADV, Mar 25, 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
- $80.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026