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••••••• A••••••• G••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Mar 28, 2012 · 26 filings
SEC status approved since Jun 1, 2018
RAUM
$91.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$91.9M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$45.9M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$91.9M as of Mar 30, 2026
Mar 28, 2012$93.0M then
HNW client RAUM$73.4M as of Mar 30, 2026
Mar 27, 2019$157M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 28, 20131 then
Employees (5.A)2 as of Mar 30, 2026
Mar 28, 20131 then
Private funds: no history
RAUM -27% over the last fiscal year-19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $45.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 149derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.2MderivedHNW RAUM over HNW clients
- Average account
- $308,275derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$73.4M80%
- Individuals$18.5M20%
- Individual clients
- 290reported
- HNW clients
- 8reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 298reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H•••• W••••••••• S••••••••• | Brandon, Ms | Jan 15, 2003 | 51 y | 0 |
| T••••• C••••••• B•••••• | Brandon, Ms | Sep 25, 2003 | 40 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
- S••••••••• H••••• W••••••••• · President, Chief Compliance Officercontrolsince 03/1991 · owns 75% or more
- R••••• B•••••• M••••••• · Vice President,Secretary, Treasurersince 03/2003 · 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 |
|---|---|---|---|---|---|
| Brandon, Ms | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 299 to 298Mar 27, 2025 to Mar 30, 2026
- HNW clients · 7 to 8Mar 27, 2025 to Mar 30, 2026
- Individual clients · 292 to 290Mar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $125M to $91.9MMar 27, 2025 to Mar 30, 2026
- HNW RAUM · $104M to $73.4MMar 27, 2025 to Mar 30, 2026
- Individual RAUM · $21.7M to $18.5MMar 27, 2025 to Mar 30, 2026
- RAUM · $125M to $91.9MMar 27, 2025 to Mar 30, 2026
- Accounts · 313 to 299Apr 29, 2024 to Mar 27, 2025
- HNW clients · 6 to 7Apr 29, 2024 to Mar 27, 2025
- Individual clients · 307 to 292Apr 29, 2024 to Mar 27, 2025
- Financial planning clients · unset to Apr 29, 2024 to Mar 27, 2025
- HQ city · unset to Apr 29, 2024 to Mar 27, 2025
- HQ state · unset to Apr 29, 2024 to Mar 27, 2025
- Discretionary RAUM · $161M to $125MApr 29, 2024 to Mar 27, 2025
- HNW RAUM · $139M to $104MApr 29, 2024 to Mar 27, 2025
- Individual RAUM · $22.3M to $21.7MApr 29, 2024 to Mar 27, 2025
- RAUM · $161M to $125MApr 29, 2024 to Mar 27, 2025
- Accounts · 359 to 313Mar 29, 2023 to Mar 29, 2024
- HNW clients · 12 to 6Mar 29, 2023 to Mar 29, 2024
- Individual clients · 347 to 307Mar 29, 2023 to Mar 29, 2024
- HQ city · BRANDON to unsetMar 29, 2023 to Mar 29, 2024
- HQ state · MS to unsetMar 29, 2023 to Mar 29, 2024
- Discretionary RAUM · $173M to $161MMar 29, 2023 to Mar 29, 2024
- HNW RAUM · $151M to $139MMar 29, 2023 to Mar 29, 2024
- Individual RAUM · $21.6M to $22.3MMar 29, 2023 to Mar 29, 2024
- RAUM · $173M to $161MMar 29, 2023 to Mar 29, 2024
- Accounts · 355 to 359Mar 30, 2022 to Mar 29, 2023
- Advisory employees · 4 to 2Mar 30, 2022 to Mar 29, 2023
- HNW clients · 11 to 12Mar 30, 2022 to Mar 29, 2023
- Individual clients · 344 to 347Mar 30, 2022 to Mar 29, 2023
- Employees · 4 to 2Mar 30, 2022 to Mar 29, 2023
- State-registered IARs · 4 to 2Mar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $181M to $173MMar 30, 2022 to Mar 29, 2023
- HNW RAUM · $151M to $151MMar 30, 2022 to Mar 29, 2023
- Individual RAUM · $29.6M to $21.6MMar 30, 2022 to Mar 29, 2023
- RAUM · $181M to $173MMar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $175M to $181MMar 30, 2021 to Mar 30, 2022
- HNW RAUM · $149M to $151MMar 30, 2021 to Mar 30, 2022
- Individual RAUM · $26.3M to $29.6MMar 30, 2021 to Mar 30, 2022
- RAUM · $175M to $181MMar 30, 2021 to Mar 30, 2022
Signals
2 dated events
- W••••••• A••••••• G••••• I••• reported RAUM $174.1M, up 146% from $70.7M (2017-03-31 to 2018-05-01)May 1, 2018 · RAUM change · derived
- W••••••• A••••••• G••••• I••• filed its initial SEC registration (Form ADV)May 1, 2018 · 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
- Principal office phone
- 601-724-1926reportedpublic 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $45.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026