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
P•••• W••••••• A•••••••• I•••
Latest filing Jun 2, 2026
First filing on the tape Mar 30, 2012 · 32 filings
SEC status approved since Apr 1, 1988
RAUM
$359M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$359M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$59.8M
derived; firm RAUM over IAPD count
Employees
9
8 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$359M as of Jun 2, 2026
Mar 30, 2012$228M then
HNW client RAUM$212M as of Jun 2, 2026
Mar 29, 2018$142M then
State-registered IARs (5.B.3)6 as of Jun 2, 2026
Feb 14, 20137 then
Employees (5.A)9 as of Jun 2, 2026
Feb 14, 201312 then
Private funds1 as of Mar 25, 2020
Mar 30, 20121 then
RAUM +0.0% over the last fiscal year+11% a year over threeIARs 6 to 6offices 6 to 5
Practice profile
derived from the filing of Jun 2, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $59.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $641,440derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 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$212M59%
- Individuals$146M41%
- Individual clients
- 230reported
- HNW clients
- 48reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 559reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=5.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• R••••• W•••Chartered Financial Analyst | New York, Ny | May 19, 2005 | 33 y | 0 |
| M•••••• A•••• S•••• | Pleasantville, Ny | Feb 26, 2014 | 27 y | 0 |
| E••• D•••• S••••• | Livingston, Nj | Dec 8, 2017 | 33 y | 0 |
| R•••••• O••• J•• | New York, Ny | Jan 22, 2025 | 25 y | 1 |
| A•••••• J••••• V••••• | New York, Ny | Feb 20, 2026 | 13 y | 1 |
| B•••••• R•••••• S•••• | New York, Ny | Feb 20, 2026 | 29 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
- J••• T••••• P•••••• to W•••• C•••••• P••••••• L••Jan 30, 2018 · Other
- M••• S•••• to L••••• W••••• A•••••••• I•••Jun 9, 2015 · Other
Joined, latest
- R•••••• O••• J•• from M••••• S••••••Jan 22, 2025 · Wirehouse to independent RIA
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••• H••• P•••••••• L•••no longer reported | Hedge Fund | $7.8M | 16 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• P•••• S••• · Chief Compliance Officercontrolsince 06/2018 · owns 25% to 50%
- W•••• W••••••• R••••• · Chief Investment Officer, Corp Sec, Stockholdercontrolsince 10/2003 · owns 25% to 50%
- M•••••• V•••••••• C• · Administrator, Stockholdersince 01/2007 · owns 5% to 10%
Related persons
Schedule D 7.A
- B•••• H••• F••••••••• L••real estaten
- B•••• H••• S••••••••• I•••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 6 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Business name · B•••• H••• A•••••••• I•• to P•••• W••••••• A•••••••• I•••Aug 12, 2025 to Feb 19, 2026
- Legal name · B•••• H••• A•••••••• I•• to P•••• W••••••• A•••••••• I•••Aug 12, 2025 to Feb 19, 2026
- Other offices · 6 to 5Mar 18, 2025 to Aug 12, 2025
- Accounts · 276 to 559Mar 28, 2024 to Mar 18, 2025
- Advisory employees · 7 to 8Mar 28, 2024 to Mar 18, 2025
- Advisory activities · 3 to 4Mar 28, 2024 to Mar 18, 2025
- HNW clients · 52 to 48Mar 28, 2024 to Mar 18, 2025
- Individual clients · 227 to 230Mar 28, 2024 to Mar 18, 2025
- Employees · 8 to 9Mar 28, 2024 to Mar 18, 2025
- Financial planning clients · 11-25 to 11-25Mar 28, 2024 to Mar 18, 2025
- State-registered IARs · 7 to 6Mar 28, 2024 to Mar 18, 2025
- Other offices · 4 to 6Mar 28, 2024 to Mar 18, 2025
- Discretionary RAUM · $302M to $348MMar 28, 2024 to Mar 18, 2025
- HNW RAUM · $198M to $212MMar 28, 2024 to Mar 18, 2025
- Individual RAUM · $115M to $146MMar 28, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $11.2M to $10.8MMar 28, 2024 to Mar 18, 2025
- RAUM · $313M to $359MMar 28, 2024 to Mar 18, 2025
- Accounts · 556 to 276May 11, 2023 to Mar 28, 2024
- Advisory employees · 6 to 7May 11, 2023 to Mar 28, 2024
- Advisory activities · 4 to 3May 11, 2023 to Mar 28, 2024
- BD registered reps · 6 to 5May 11, 2023 to Mar 28, 2024
- HNW clients · 185 to 52May 11, 2023 to Mar 28, 2024
- Individual clients · 371 to 227May 11, 2023 to Mar 28, 2024
- State-registered IARs · 6 to 7May 11, 2023 to Mar 28, 2024
- Other offices · 3 to 4May 11, 2023 to Mar 28, 2024
- Discretionary RAUM · $261M to $302MMay 11, 2023 to Mar 28, 2024
- HNW RAUM · $169M to $198MMay 11, 2023 to Mar 28, 2024
- Individual RAUM · $96.9M to $115MMay 11, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $4.2M to $11.2MMay 11, 2023 to Mar 28, 2024
- RAUM · $265M to $313MMay 11, 2023 to Mar 28, 2024
- Accounts · 271 to 556Jun 7, 2022 to Mar 28, 2023
- Advisory employees · 7 to 6Jun 7, 2022 to Mar 28, 2023
- Corporate clients · 1.0 to unsetJun 7, 2022 to Mar 28, 2023
- HNW clients · 47 to 185Jun 7, 2022 to Mar 28, 2023
- Individual clients · 223 to 371Jun 7, 2022 to Mar 28, 2023
- Discretionary RAUM · $335M to $261MJun 7, 2022 to Mar 28, 2023
- HNW RAUM · $223M to $169MJun 7, 2022 to Mar 28, 2023
- Individual RAUM · $119M to $96.9MJun 7, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $6.9M to $4.2MJun 7, 2022 to Mar 28, 2023
- RAUM · $342M to $265MJun 7, 2022 to Mar 28, 2023
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.
How to reach
public business contact points only, each with its source
- Website
- w••.b•••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-350-7250reportedpublic record, Form ADV, Jun 2, 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
- $59.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026