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••••••• I••••••••• D•••••••••
Legal name W••••••• B•••• I•••
Latest filing Mar 30, 2026
First filing on the tape Mar 29, 2012 · 19 filings
SEC status approved since Mar 30, 2001
RAUM
$893M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$893M
derived; firm RAUM over IAPD count
Employees
13
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$893M as of Mar 30, 2026
Mar 29, 2012$748M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 29, 20120 then
Employees (5.A)13 as of Mar 30, 2026
Mar 18, 201315 then
Private funds: no history
RAUM +2.8% over the last fiscal year+3.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- RAUM per advisor
- $893MderivedRAUM 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
- $149MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 13.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$893M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=6.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••••• C••••••• F•••••Certified Financial Planner | Wheeling , Wv | Oct 28, 2004 | 40 y | 2 |
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
- D•••••• C••••••• F••••• from N•••••• I••••••••• I•••Oct 28, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• S••••• · Executive Vice President, Chief Fixed Income Specialistcontrolsince 02/2021 · owns less than 5%
- L•••• S••••• A••• · Executive Vice President, Wealth Managementcontrolsince 01/2023 · owns less than 5%
- M••••• R•••••• A•••• · Senior Vice President, Chief Investment Strategistcontrolsince 06/2023 · owns less than 5%
- R•••• J•••••••• S•• · Senior Vice President, Chief Compliance Officercontrolsince 08/2019 · owns less than 5%
Entity owners
- W•••••••• I••• · Shareholderdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- W••••••• B•••• I•••LP sponsorcustodiann
- W••••••• I•••••••• S•••••••• I•••real estaten
- W••••••• S••••••••• I•••broker-dealerinvestment advisernRAUM $286M
- W••••••• T•••• A•• I••••••••• S•••••••n
Advisers that list W••••••• I••••••••• D••••••••• as a related person
- 43276 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 16 to 13Mar 27, 2025 to Mar 30, 2026
- BD registered reps · 8 to 6Mar 27, 2025 to Mar 30, 2026
- Employees · 16 to 13Mar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $869M to $893MMar 27, 2025 to Mar 30, 2026
- RAUM · $869M to $893MMar 27, 2025 to Mar 30, 2026
- Advisory employees · 15 to 16Mar 26, 2024 to Mar 27, 2025
- BD registered reps · 9 to 8Mar 26, 2024 to Mar 27, 2025
- Employees · 15 to 16Mar 26, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Mar 26, 2024 to Mar 27, 2025
- Discretionary RAUM · $839M to $869MMar 26, 2024 to Mar 27, 2025
- RAUM · $839M to $869MMar 26, 2024 to Mar 27, 2025
- Advisory employees · 16 to 15May 31, 2023 to Mar 26, 2024
- BD registered reps · 10 to 9May 31, 2023 to Mar 26, 2024
- Employees · 18 to 15May 31, 2023 to Mar 26, 2024
- Discretionary RAUM · $807M to $839MMay 31, 2023 to Mar 26, 2024
- RAUM · $807M to $839MMay 31, 2023 to Mar 26, 2024
- Advisory employees · 18 to 16Apr 14, 2022 to Mar 27, 2023
- BD registered reps · 13 to 10Apr 14, 2022 to Mar 27, 2023
- Employees · 21 to 18Apr 14, 2022 to Mar 27, 2023
- Discretionary RAUM · $1.0B to $807MApr 14, 2022 to Mar 27, 2023
- RAUM · $1.0B to $807MApr 14, 2022 to Mar 27, 2023
- Advisory employees · 17 to 18Mar 26, 2021 to Mar 25, 2022
- BD registered reps · 12 to 13Mar 26, 2021 to Mar 25, 2022
- Employees · 20 to 21Mar 26, 2021 to Mar 25, 2022
- Discretionary RAUM · $993M to $1.0BMar 26, 2021 to Mar 25, 2022
- RAUM · $993M to $1.0BMar 26, 2021 to Mar 25, 2022
- Advisory employees · 14 to 17Mar 27, 2020 to Mar 26, 2021
- BD registered reps · 11 to 12Mar 27, 2020 to Mar 26, 2021
- Employees · 18 to 20Mar 27, 2020 to Mar 26, 2021
- Discretionary RAUM · $931M to $993MMar 27, 2020 to Mar 26, 2021
- RAUM · $931M to $993MMar 27, 2020 to Mar 26, 2021
- BD registered reps · 9 to 11Mar 3, 2020 to Mar 27, 2020
- State-registered IARs · 1 to 0Mar 3, 2020 to Mar 27, 2020
- Discretionary RAUM · $851M to $931MMar 3, 2020 to Mar 27, 2020
- RAUM · $851M to $931MMar 3, 2020 to Mar 27, 2020
- Advisory employees · 18 to 14Mar 30, 2018 to Mar 30, 2019
- BD registered reps · 12 to 9Mar 30, 2018 to Mar 30, 2019
- Employees · 21 to 18Mar 30, 2018 to Mar 30, 2019
- Discretionary RAUM · $959M to $851MMar 30, 2018 to Mar 30, 2019
- RAUM · $959M to $851MMar 30, 2018 to Mar 30, 2019
Signals
8 dated events
- Allan Robert Mcgee (Senior Vice President, Chief Investment Strategist) appeared on Schedule A of W••••••• I••••••••• D•••••••••Mar 26, 2024 · Control person joined · fact
- Douglas Jonathan Dargusch (W••••••• B•••• I••• Executive Vice President, Wealth Management) no longer on Schedule A of W••••••• I••••••••• D••••••••• (listed 2022-04-14, absent 2023-03-27)Mar 27, 2023 · Control person left · inference
- Steven Kellas (Executive Vice President, Chief Fixed Income Specialist) appeared on Schedule A of W••••••• I••••••••• D•••••••••Mar 26, 2021 · Control person joined · fact
- Douglas Jonathan Dargusch (W••••••• B•••• I••• Executive Vice President, Wealth Management) appeared on Schedule A of W••••••• I••••••••• D•••••••••Mar 26, 2021 · Control person joined · fact
- Alan Scott Love (Senior Vice President) appeared on Schedule A of W••••••• I••••••••• D•••••••••Mar 3, 2020 · Control person joined · fact
- Brian David Ellwood (Executive Vice President) no longer on Schedule A of W••••••• I••••••••• D••••••••• (listed 2019-09-03, absent 2020-03-03)Mar 3, 2020 · Control person left · inference
- Jennifer Roth (Senior Vice President, Chief Compliance Officer) appeared on Schedule A of W••••••• I••••••••• D•••••••••Sep 3, 2019 · Control person joined · fact
- Cordiner Deborah Ferdon (Executive Vice President, Chief Compliance Officer) no longer on Schedule A of W••••••• I••••••••• D••••••••• (listed 2019-03-30, absent 2019-09-03)Sep 3, 2019 · Control person left · inference
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
- 304-905-7503reportedpublic record, Form ADV, Mar 30, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $893Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026