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••••• M••••••••• G••••

Former SEC-registered adviserDover, DelawareCRD 113051SEC 801-64413IAPD
Legal name W••••• M••••••••• G••••• L••
Latest filing Mar 20, 2023
First filing on the tape Feb 16, 2012 · 19 filings
RAUM
$313M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$296M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$313M as of Mar 20, 2023
Feb 16, 2012$115M then
HNW client RAUM$219M as of Mar 20, 2023
Mar 2, 2018$136M then
State-registered IARs (5.B.3)6 as of Mar 20, 2023
Feb 16, 20120 then
Employees (5.A)6 as of Mar 20, 2023
Feb 26, 20139 then
Private funds: no history
RAUM -2.5% over the last fiscal year+8.6% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 20, 2023; every figure names its basis
RAUM per advisor
$52.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
52derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$379,380derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
4.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-2.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-1.3%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$3.1M, 1 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$219M70%
  • Individuals$77.5M25%
  • Charitable organizations$9.2M2.9%
  • Pension and profit-sharing plans$4.7M1.5%
  • Corporations and businesses$2.5M0.8%
Individual clients
222reported
HNW clients
88reported
Pension plan clients
7reported
Charitable clients
2reported
Accounts
824reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$3.1M for 1 clientsreported
Compensation
% of AUM, hourlyreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••• R••••••• F•••• · Membercontrol
        since 01/2006 · owns 25% to 50%
      • B••••• S••••• R•••••• · Managing Membercontrol
        since 02/2001 · owns 25% to 50%
      • L•••••••• C•••••••• · Membercontrol
        since 01/2006 · owns 10% to 25%
      • P•••••••• J•••••• A••• · Member / Chief Compliance Officercontrol
        since 10/2011 · owns 5% to 10%
      • V•••••• R•••••• P••• · Membercontrol
        since 01/2006 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • R•••••• F• B••• • A••••••••• P•••
        insurancey
      Offices
      Schedule D 1.F, the 25 largest
      • Lewes, DE2 employees
      • Middletown, DE2 employees
      What changed
      consecutive filings, newest first
      • Accounts · 797 to 824
        Mar 4, 2022 to Mar 20, 2023
      • Corporate clients · 4 to 5
        Mar 4, 2022 to Mar 20, 2023
      • HNW clients · 83 to 88
        Mar 4, 2022 to Mar 20, 2023
      • Individual clients · 231 to 222
        Mar 4, 2022 to Mar 20, 2023
      • Assets in custody · unset to 3117072.0
        Mar 4, 2022 to Mar 20, 2023
      • Custody of client assets · false to true
        Mar 4, 2022 to Mar 20, 2023
      • Discretionary RAUM · $321M to $313M
        Mar 4, 2022 to Mar 20, 2023
      • HNW RAUM · $216M to $219M
        Mar 4, 2022 to Mar 20, 2023
      • Individual RAUM · $89.8M to $77.5M
        Mar 4, 2022 to Mar 20, 2023
      • Pension RAUM · $5.2M to $4.7M
        Mar 4, 2022 to Mar 20, 2023
      • RAUM · $321M to $313M
        Mar 4, 2022 to Mar 20, 2023
      • Accounts · 784 to 797
        Feb 26, 2021 to Mar 4, 2022
      • Charity clients · unset to 2.0
        Feb 26, 2021 to Mar 4, 2022
      • Corporate clients · 5 to 4
        Feb 26, 2021 to Mar 4, 2022
      • HNW clients · 78 to 83
        Feb 26, 2021 to Mar 4, 2022
      • Individual clients · 236 to 231
        Feb 26, 2021 to Mar 4, 2022
      • Pension plan clients · 8 to 7
        Feb 26, 2021 to Mar 4, 2022
      • Discretionary RAUM · $270M to $321M
        Feb 26, 2021 to Mar 4, 2022
      • HNW RAUM · $184M to $216M
        Feb 26, 2021 to Mar 4, 2022
      • Individual RAUM · $71.8M to $89.8M
        Feb 26, 2021 to Mar 4, 2022
      • Pension RAUM · $4.5M to $5.2M
        Feb 26, 2021 to Mar 4, 2022
      • RAUM · $270M to $321M
        Feb 26, 2021 to Mar 4, 2022
      • Accounts · 785 to 784
        Jun 23, 2020 to Feb 26, 2021
      • HNW clients · 63 to 78
        Jun 23, 2020 to Feb 26, 2021
      • Individual clients · 249 to 236
        Jun 23, 2020 to Feb 26, 2021
      • Financial planning clients · 1-10 to 0
        Jun 23, 2020 to Feb 26, 2021
      • Discretionary RAUM · $244M to $270M
        Jun 23, 2020 to Feb 26, 2021
      • HNW RAUM · $155M to $184M
        Jun 23, 2020 to Feb 26, 2021
      • Individual RAUM · $77.2M to $71.8M
        Jun 23, 2020 to Feb 26, 2021
      • Pension RAUM · $4.1M to $4.5M
        Jun 23, 2020 to Feb 26, 2021
      • RAUM · $244M to $270M
        Jun 23, 2020 to Feb 26, 2021
      • Accounts · 818 to 785
        Mar 15, 2019 to Feb 28, 2020
      • Corporate clients · unset to 5.0
        Mar 15, 2019 to Feb 28, 2020
      • HNW clients · 58 to 63
        Mar 15, 2019 to Feb 28, 2020
      • Individual clients · 228 to 249
        Mar 15, 2019 to Feb 28, 2020
      • Pension plan clients · 17 to 8
        Mar 15, 2019 to Feb 28, 2020
      • Discretionary RAUM · $209M to $244M
        Mar 15, 2019 to Feb 28, 2020
      • HNW RAUM · $126M to $155M
        Mar 15, 2019 to Feb 28, 2020
      • Individual RAUM · $66.2M to $77.2M
        Mar 15, 2019 to Feb 28, 2020
      • Pension RAUM · $3.0M to $4.1M
        Mar 15, 2019 to Feb 28, 2020
      Signals
      6 dated events
      • R•••••• F•••• B••• left W••••• M••••••••• G•••• for S••••• W••••• M••••••••• (registered 2023-07-25)
        Aug 18, 2023 · Advisor changed firm · fact
      • S•••• R•••••• B•••• left W••••• M••••••••• G•••• for S••••• W••••• M••••••••• (registered 2023-07-20)
        Aug 18, 2023 · Advisor changed firm · fact
      • R••••• P••• V••••• left W••••• M••••••••• G•••• for S••••• W••••• M••••••••• (registered 2023-07-25)
        Aug 18, 2023 · Advisor changed firm · fact
      • N••••••• V• Z••• left W••••• M••••••••• G•••• for S••••• W••••• M••••••••• (registered 2023-07-25)
        Aug 18, 2023 · Advisor changed firm · fact
      • C•••••••• L••••••• left W••••• M••••••••• G•••• for S••••• W••••• M••••••••• (registered 2023-07-28)
        Aug 18, 2023 · Advisor changed firm · fact
      • W••••• M••••••••• G••••'s advisors moved to S••••• W••••• M••••••••• (Dover, DE): 5 of 5 registered, on the same day
        Aug 18, 2023 · Firm absorbed (people side) · derived
      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