DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

W•••• A•••••••• I•••

Former SEC-registered adviserMaple Grove, MinnesotaCRD 115306SEC 801-123771IAPD

Legal name W•••• F•••••••• S••••••• C•••••••••

Latest filing Mar 7, 2024

First filing on the tape Nov 11, 2011 · 13 filings

RAUM

$109M

reported, Item 5.F

Discretionary

88%

of RAUM

Private clients

88%

$95.7M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

13 filings and snapshots on the tape

RAUM$109M as of Feb 20, 2024

Mar 27, 2012$40.5M then

HNW client RAUM$65.3M as of Feb 20, 2024

Feb 27, 2023$25.0M then

State-registered IARs (5.B.3)2 as of Feb 20, 2024

Mar 27, 20120 then

Employees (5.A)3 as of Feb 20, 2024

Feb 27, 20233 then

Private funds: no history

RAUM +19% over the last fiscal yearIARs 2 to 2

Practice profile

derived from the filing of Mar 7, 2024; every figure names its basis

RAUM per advisor: $54.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 57derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.0MderivedHNW RAUM over HNW clients
Average account: $920,081derivedRAUM over accounts (5.F.2.f)
Discretionary: 88%derivedof RAUM
Institutional: 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +19%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +1.8%derived
Compensation: percentage of assets, fixed fees, commissionsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Wrap fee program: $78.7MreportedItem 5.I
Custody: $53.0M, 82 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

is an insurance broker or agent (6.A.6)
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$65.3M60%
Individuals$30.4M28%
Pension and profit-sharing plans$12.9M12%

Individual clients: 81reported
HNW clients: 33reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 118reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: $53.0M for 82 clientsreported
Compensation: % of AUM, fixed, commissionsreported
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

W•••••• B•••• W•••• to B••••• F•••••••• G••••
Dec 31, 2024 · RIA to RIA
A••••• J••••••• W•••• to B••••• F•••••••• G••••
Dec 31, 2024 · RIA to RIA

Joined, latest

none on the tape

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for B••••• F•••••••• G••••
Dec 31, 2024 · Maple Grove, Mn

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

W••••• A•••••• J••••••• · Ownercontrol
since 09/2021 · owns 25% to 50%
W••••• W••••••• B•••• · Owner / Chief Compliance Officercontrol
since 01/1991 · 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
Maple Grove, Mn · principal	0	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 116 to 118
Feb 27, 2023 to Feb 20, 2024
HNW clients · 44 to 33
Feb 27, 2023 to Feb 20, 2024
Individual clients · 68 to 81
Feb 27, 2023 to Feb 20, 2024
Assets in custody · $42.3M to $53.0M
Feb 27, 2023 to Feb 20, 2024
Discretionary RAUM · $78.3M to $95.7M
Feb 27, 2023 to Feb 20, 2024
HNW RAUM · $25.0M to $65.3M
Feb 27, 2023 to Feb 20, 2024
Individual RAUM · $53.2M to $30.4M
Feb 27, 2023 to Feb 20, 2024
Non-discretionary RAUM · $13.4M to $12.9M
Feb 27, 2023 to Feb 20, 2024
Pension RAUM · $13.4M to $12.9M
Feb 27, 2023 to Feb 20, 2024
RAUM · $91.6M to $109M
Feb 27, 2023 to Feb 20, 2024
Accounts · 513 to 116
Oct 6, 2022 to Feb 27, 2023
HNW clients · 43 to 44
Oct 6, 2022 to Feb 27, 2023
Assets in custody · $46.7M to $42.3M
Oct 6, 2022 to Feb 27, 2023
Discretionary RAUM · $96.6M to $78.3M
Oct 6, 2022 to Feb 27, 2023
HNW RAUM · $64.8M to $25.0M
Oct 6, 2022 to Feb 27, 2023
Individual RAUM · $31.8M to $53.2M
Oct 6, 2022 to Feb 27, 2023
Non-discretionary RAUM · $15.3M to $13.4M
Oct 6, 2022 to Feb 27, 2023
Pension RAUM · $15.3M to $13.4M
Oct 6, 2022 to Feb 27, 2023
RAUM · $112M to $91.6M
Oct 6, 2022 to Feb 27, 2023
Accounts · 88 to 513
Jun 14, 2012 to Mar 21, 2022
Advisory employees · unset to 2.0
Jun 14, 2012 to Mar 21, 2022
BD registered reps · unset to 0.0
Jun 14, 2012 to Mar 21, 2022
HNW clients · unset to 43.0
Jun 14, 2012 to Mar 21, 2022
Individual clients · unset to 68.0
Jun 14, 2012 to Mar 21, 2022
Assets in custody · unset to 46728204.0
Jun 14, 2012 to Mar 21, 2022
Custody of client assets · false to true
Jun 14, 2012 to Mar 21, 2022
Employees · unset to 3.0
Jun 14, 2012 to Mar 21, 2022
Financial planning clients · 51-100 to 0
Jun 14, 2012 to Mar 21, 2022
State-registered IARs · 0 to 2
Jun 14, 2012 to Mar 21, 2022
Other offices · unset to 0.0
Jun 14, 2012 to Mar 21, 2022
Discretionary RAUM · $0 to $96.6M
Jun 14, 2012 to Mar 21, 2022
HNW RAUM · unset to 64754367.0
Jun 14, 2012 to Mar 21, 2022
Individual RAUM · unset to 31798384.0
Jun 14, 2012 to Mar 21, 2022
Non-discretionary RAUM · $40.5M to $15.3M
Jun 14, 2012 to Mar 21, 2022
Pension RAUM · unset to 15296088.0
Jun 14, 2012 to Mar 21, 2022
RAUM · $40.5M to $112M
Jun 14, 2012 to Mar 21, 2022
Wrap assets (manager) · unset to 0.0
Jun 14, 2012 to Mar 21, 2022
Wrap assets (sponsor) · unset to 0.0
Jun 14, 2012 to Mar 21, 2022
Accounts · 89 to 88
Nov 11, 2011 to Mar 27, 2012
Insurance-licensed employees · unset to 0.0
Nov 11, 2011 to Mar 27, 2012

Signals

5 dated events

2 advisors left W•••• A•••••••• I••• (Maple Grove, MN) for B••••• F•••••••• G•••• on the same day
Dec 31, 2024 · Team lift-out · derived
W•••••• B•••• W•••• left W•••• A•••••••• I••• for B••••• F•••••••• G•••• (registered 2024-11-13)
Dec 31, 2024 · Advisor changed firm · fact
A••••• J••••••• W•••• left W•••• A•••••••• I••• for B••••• F•••••••• G•••• (registered 2024-10-11)
Dec 31, 2024 · Advisor changed firm · fact
W•••• A•••••••• I••• filed its initial SEC registration (Form ADV)
Mar 21, 2022 · First SEC registration · fact
Jonathan Andrew W•••• (Owner) appeared on Schedule A of W•••• A•••••••• I•••
Mar 21, 2022 · 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