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•••••• C••••••• W••••• M••••••••• I•••
Latest filing Apr 14, 2025
First filing on the tape Mar 20, 2012 · 32 filings
SEC status approved since Jan 19, 2001
RAUM
$501M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$480M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$501M as of Apr 14, 2025
Mar 20, 2012$95.8M then
HNW client RAUM$354M as of Apr 14, 2025
Mar 24, 2018$215M then
State-registered IARs (5.B.3)3 as of Apr 14, 2025
Mar 20, 20120 then
Employees (5.A)8 as of Apr 14, 2025
Mar 21, 20134 then
Private funds: no history
RAUM +11% over the last fiscal year+2.4% a year over threeIARs 3 to 3offices 0 to 1
Practice profile
derived from the filing of Apr 14, 2025; every figure names its basis
- RAUM per advisor
- $167MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 181derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $438,509derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +78%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $254M, 339 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$354M71%
- Individuals$126M25%
- Pension and profit-sharing plans$11.1M2.2%
- Charitable organizations$6.9M1.4%
- Corporations and businesses$3.3M0.7%
- Individual clients
- 418reported
- HNW clients
- 126reported
- Pension plan clients
- n/areported
- Charitable clients
- 18reported
- Accounts
- 1,143reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $254M for 339 clientsreported
- Compensation
- % of AUMreported
- 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•••••• W•••••• C••••••• to P••••••Aug 4, 2025 · RIA to RIA
- P••••• S• O•• to P••••••Jul 16, 2025 · RIA to RIA
Joined, latest
- P••••• S• O•• from A••••••••• F•••••••• S•••••••• L••May 23, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• L•••• R••••••• · Chairman Of The Board/Vice Presidentcontrolsince 04/2024 · owns 5% to 10%
- C•••••••• M••••••• W•••••• · President & Ceocontrolsince 10/2022 · owns 10% to 25%
- K••••• K••••••••• Z•• · Chief Operating Officercontrolsince 01/2022 · owns 10% to 25%
- W••••••• A•••• D••• · Shareholdercontrolsince 10/2022 · owns 25% to 50%
- H•••••• N••••• B•••• · Outsourced Chief Compliance Officersince 03/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Glastonbury, Ct · principal | 0 | 0 | 0 | ||
| Moorseville, Nc | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,053 to 1,143Sep 3, 2024 to Apr 14, 2025
- Charity clients · 5 to 18Sep 3, 2024 to Apr 14, 2025
- HNW clients · 106 to 126Sep 3, 2024 to Apr 14, 2025
- Individual clients · 200 to 418Sep 3, 2024 to Apr 14, 2025
- Assets in custody · $151M to $254MSep 3, 2024 to Apr 14, 2025
- Employees · 5 to 8Sep 3, 2024 to Apr 14, 2025
- Financial planning clients · 251-500 to 251-500Sep 3, 2024 to Apr 14, 2025
- Discretionary RAUM · $453M to $501MSep 3, 2024 to Apr 14, 2025
- HNW RAUM · $353M to $354MSep 3, 2024 to Apr 14, 2025
- Individual RAUM · $75.8M to $126MSep 3, 2024 to Apr 14, 2025
- Pension RAUM · $11.0M to $11.1MSep 3, 2024 to Apr 14, 2025
- RAUM · $453M to $501MSep 3, 2024 to Apr 14, 2025
- Other offices · 0 to 1May 30, 2024 to Aug 1, 2024
- Accounts · 1,007 to 1,053Oct 11, 2023 to Mar 26, 2024
- HNW clients · 99 to 106Oct 11, 2023 to Mar 26, 2024
- Individual clients · 203 to 200Oct 11, 2023 to Mar 26, 2024
- Pension plan clients · 5.0 to unsetOct 11, 2023 to Mar 26, 2024
- Assets in custody · $129M to $151MOct 11, 2023 to Mar 26, 2024
- Discretionary RAUM · $389M to $453MOct 11, 2023 to Mar 26, 2024
- HNW RAUM · $296M to $353MOct 11, 2023 to Mar 26, 2024
- Individual RAUM · $68.8M to $75.8MOct 11, 2023 to Mar 26, 2024
- Pension RAUM · $12.1M to $11.0MOct 11, 2023 to Mar 26, 2024
- RAUM · $389M to $453MOct 11, 2023 to Mar 26, 2024
- Accounts · 976 to 1,007Nov 1, 2022 to Mar 13, 2023
- HNW clients · 111 to 99Nov 1, 2022 to Mar 13, 2023
- Individual clients · 180 to 203Nov 1, 2022 to Mar 13, 2023
- Assets in custody · $148M to $129MNov 1, 2022 to Mar 13, 2023
- Discretionary RAUM · $466M to $389MNov 1, 2022 to Mar 13, 2023
- HNW RAUM · $370M to $296MNov 1, 2022 to Mar 13, 2023
- Individual RAUM · $68.7M to $68.8MNov 1, 2022 to Mar 13, 2023
- Pension RAUM · $14.0M to $12.1MNov 1, 2022 to Mar 13, 2023
- RAUM · $466M to $389MNov 1, 2022 to Mar 13, 2023
- Advisory employees · 4 to 3Sep 14, 2022 to Nov 1, 2022
- Employees · 6 to 5Sep 14, 2022 to Nov 1, 2022
- State-registered IARs · 4 to 3Sep 14, 2022 to Nov 1, 2022
- Accounts · 922 to 976Mar 18, 2021 to Mar 14, 2022
- Advisory employees · 3 to 4Mar 18, 2021 to Mar 14, 2022
- HNW clients · 98 to 111Mar 18, 2021 to Mar 14, 2022
- Individual clients · 188 to 180Mar 18, 2021 to Mar 14, 2022
- Assets in custody · $126M to $148MMar 18, 2021 to Mar 14, 2022
Signals
4 dated events
- W•••••• C••••••• W••••• M••••••••• I••• no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $501.2M)Sep 2, 2025 · Left the SEC roster · derived
- M•••••• W•••••• C••••••• left W•••••• C••••••• W••••• M••••••••• I••• for Procyon (registered 2025-07-03)Aug 4, 2025 · Advisor changed firm · fact
- P••••• S• O•• left W•••••• C••••••• W••••• M••••••••• I••• for Procyon (registered 2025-07-03)Jul 16, 2025 · Advisor changed firm · fact
- W•••••• M•••••• C••••••• (Vice President) appeared on Schedule A of W•••••• C••••••• W••••• M••••••••• I•••Jan 15, 2020 · Control person joined · fact
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