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••••••••• S••••••• L••
Latest filing Apr 6, 2026
First filing on the tape Sep 11, 2023 · 7 filings
SEC status approved since Oct 12, 2023
RAUM
$94.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$90.3M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$47.0M
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
7 filings and snapshots on the tape
RAUM$94.0M as of Apr 6, 2026
Jan 16, 2024$77.0M then
HNW client RAUM$48.5M as of Apr 6, 2026
Jan 16, 2024$40.0M then
State-registered IARs (5.B.3)2 as of Apr 6, 2026
Jan 16, 20242 then
Employees (5.A)2 as of Apr 6, 2026
Jan 16, 20242 then
Private funds: no history
RAUM +12% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Apr 6, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $47.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 97derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $305,195derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.8%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
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$48.5M52%
- Individuals$41.8M44%
- Pension and profit-sharing plans$2.6M2.8%
- Corporations and businesses$1.1M1.1%
- Individual clients
- 175reported
- HNW clients
- 18reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 308reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| M••• B••••••••• | Brooklyn, Ny | Jul 14, 2023 | 25 y | 0 |
| H••••• M• K•••• | Brooklyn, Ny | Jul 14, 2023 | 46 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
- B••••••••• M••• · Managing Partner/Chief Compliance Officercontrolsince 03/2001 · owns 50% to 75%
- K••••• H•••••• M• · Managing Partnercontrolsince 03/2001 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Brooklyn, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 300 to 308Mar 12, 2025 to Feb 19, 2026
- Individual clients · 170 to 175Mar 12, 2025 to Feb 19, 2026
- Discretionary RAUM · $84.0M to $94.0MMar 12, 2025 to Feb 19, 2026
- HNW RAUM · $43.5M to $48.5MMar 12, 2025 to Feb 19, 2026
- Individual RAUM · $37.7M to $41.8MMar 12, 2025 to Feb 19, 2026
- Pension RAUM · $2.2M to $2.6MMar 12, 2025 to Feb 19, 2026
- RAUM · $84.0M to $94.0MMar 12, 2025 to Feb 19, 2026
- Accounts · 305 to 300Oct 11, 2024 to Mar 12, 2025
- Corporate clients · 2 to 5Oct 11, 2024 to Mar 12, 2025
- HNW clients · 13 to 18Oct 11, 2024 to Mar 12, 2025
- Individual clients · 195 to 170Oct 11, 2024 to Mar 12, 2025
- Financial planning clients · 0 to 0Oct 11, 2024 to Mar 12, 2025
- Discretionary RAUM · $77.0M to $84.0MOct 11, 2024 to Mar 12, 2025
- HNW RAUM · $40.0M to $43.5MOct 11, 2024 to Mar 12, 2025
- Individual RAUM · $34.8M to $37.7MOct 11, 2024 to Mar 12, 2025
- Pension RAUM · $1.8M to $2.2MOct 11, 2024 to Mar 12, 2025
- RAUM · $77.0M to $84.0MOct 11, 2024 to Mar 12, 2025
- Accounts · 312 to 305Sep 11, 2023 to Jan 16, 2024
- HNW clients · 12 to 13Sep 11, 2023 to Jan 16, 2024
- Individual clients · 190 to 195Sep 11, 2023 to Jan 16, 2024
- Discretionary RAUM · $63.6M to $77.0MSep 11, 2023 to Jan 16, 2024
- HNW RAUM · $30.5M to $40.0MSep 11, 2023 to Jan 16, 2024
- Individual RAUM · $31.1M to $34.8MSep 11, 2023 to Jan 16, 2024
- Pension RAUM · $1.7M to $1.8MSep 11, 2023 to Jan 16, 2024
- RAUM · $63.6M to $77.0MSep 11, 2023 to Jan 16, 2024
Signals
1 dated events
- W••••• I••••••••• S••••••• L•• filed its initial SEC registration (Form ADV)Sep 11, 2023 · 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
- Business phone
- 718-788-1972reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 718-832-2565reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- W•••••FUND.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 718-788-1972reportedpublic record, Form ADV, Apr 6, 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
- $47.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026