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•••••• • C••••••
Legal name W••••••••• • A•••••••••
Latest filing Sep 1, 2026
First filing on the tape Mar 21, 2012 · 28 filings
SEC status approved since Oct 15, 2001
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.5B individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$166M
derived; firm RAUM over IAPD count
Employees
12
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$1.5B as of Mar 27, 2026
Mar 21, 2012$192M then
HNW client RAUM$1.0B as of Mar 27, 2026
Mar 20, 2018$435M then
State-registered IARs (5.B.3)8 as of Mar 27, 2026
Mar 21, 20120 then
Employees (5.A)12 as of Mar 27, 2026
Feb 22, 20138 then
Private funds: no history
RAUM +30% over the last fiscal year+23% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Sep 1, 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
- RAUM per advisor
- $166MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $790,711derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $375M, 455 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$1.0B70%
- Individuals$451M30%
- Individual clients
- 530reported
- HNW clients
- 209reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,885reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $375M for 455 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• G••••• S•••••• | Rochester, Ny | Feb 5, 2014 | 27 y | 0 |
| W•••••• E••••• M••••Chartered Financial Analyst | Rochester, Ny | Jul 12, 2021 | 24 y | 0 |
| R••••• F•••• P••••••Chartered Financial Analyst | Rochester, Ny | Jul 12, 2021 | 28 y | 0 |
| A••• N• M••••Certified Financial Planner | Rochester, Ny | Jul 12, 2021 | 11 y | 0 |
| C••••••••• M• R•••••• | Rochester, Ny | Sep 6, 2021 | 11 y | 0 |
| W•••••• A••••• S•••••• | Rochester, Ny | Sep 6, 2021 | 12 y | 0 |
| W•••••• E••••• B•••••• | Rochester, Ny | Sep 6, 2021 | 33 y | 0 |
| S•••• L• S•••••Certified Financial Planner | Rochester, Ny | Jun 12, 2024 | 15 y | 1 |
| J•••••• E••• B•••••••• | Rochester, Ny | Nov 13, 2025 | 30 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 headcount2 left over 36 months
Left, latest
- M•••• N••••••• S••••• to F••••• W••••• I•••••••••Jun 10, 2024 · RIA to a state-registered adviser
- C•••••••• D•••• A••••• to F••••• C••• C•••••• L••Jan 23, 2024 · RIA to RIA
Joined, latest
- S•••• L• S••••• from S•••• R•••• • C••• I•••Jun 12, 2024 · RIA to RIA
- C•••••••• D•••• A••••• from W•••• F•••• A•••••••Jun 11, 2021 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• R•••••• F•••• · Partnercontrolsince 01/2020 · owns 10% to 25%
- R••••••• C••••••••• M• · Partnercontrolsince 01/2020 · owns 10% to 25%
- S••••••• W••••••• A• · Partnercontrolsince 01/2020 · owns 10% to 25%
- S••••••• W••••••• G••••• · President/Ceocontrolsince 09/2001 · owns 50% to 75%
- A••••••••• A•••• J••• · Chief Compliance Officersince 08/2026 · owns less than 5%
- M••••• A•••• N• · Partnersince 01/2022 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Rochester, Ny · principal | 9 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Sep 1, 2026S••••••• W••••••• G••••• (PRESIDENT/CEO) left Schedule A between the filings of 2022-03-29 and 2026-09-01peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Financial planning clients · 251-500 to 251-500Mar 27, 2026 to Sep 1, 2026
- Related adviser · false to unsetMar 27, 2026 to Sep 1, 2026
- Related bank · false to unsetMar 27, 2026 to Sep 1, 2026
- Related broker-dealer · false to unsetMar 27, 2026 to Sep 1, 2026
- Related insurance company · false to unsetMar 27, 2026 to Sep 1, 2026
- Succession · false to unsetMar 27, 2026 to Sep 1, 2026
- Accounts · 1,744 to 1,885Oct 22, 2025 to Mar 27, 2026
- HNW clients · 182 to 209Oct 22, 2025 to Mar 27, 2026
- Individual clients · 501 to 530Oct 22, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.1B to $1.5BOct 22, 2025 to Mar 27, 2026
- HNW RAUM · $797M to $1.0BOct 22, 2025 to Mar 27, 2026
- Individual RAUM · $354M to $451MOct 22, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $87.5M to $0Oct 22, 2025 to Mar 27, 2026
- RAUM · $1.2B to $1.5BOct 22, 2025 to Mar 27, 2026
- Accounts · 1,625 to 1,744Oct 17, 2024 to Apr 14, 2025
- Individual clients · 462 to 501Oct 17, 2024 to Apr 14, 2025
- Assets in custody · $89.5M to $375MOct 17, 2024 to Apr 14, 2025
- Insurance-licensed employees · 8 to 0Oct 17, 2024 to Apr 14, 2025
- Financial planning clients · 251-500 to 251-500Oct 17, 2024 to Apr 14, 2025
- State-registered IARs · 0 to 8Oct 17, 2024 to Apr 14, 2025
- Discretionary RAUM · $970M to $1.1BOct 17, 2024 to Apr 14, 2025
- HNW RAUM · $711M to $797MOct 17, 2024 to Apr 14, 2025
- Individual RAUM · $306M to $354MOct 17, 2024 to Apr 14, 2025
- Non-discretionary RAUM · $46.9M to $87.5MOct 17, 2024 to Apr 14, 2025
- RAUM · $1.0B to $1.2BOct 17, 2024 to Apr 14, 2025
- Accounts · 1,527 to 1,625Apr 6, 2023 to Mar 20, 2024
- HNW clients · 162,178 to 182Apr 6, 2023 to Mar 20, 2024
- Individual clients · 442 to 462Apr 6, 2023 to Mar 20, 2024
- Pension plan clients · 2.0 to unsetApr 6, 2023 to Mar 20, 2024
- Assets in custody · $56.1M to $89.5MApr 6, 2023 to Mar 20, 2024
- Discretionary RAUM · $780M to $970MApr 6, 2023 to Mar 20, 2024
- HNW RAUM · $547M to $711MApr 6, 2023 to Mar 20, 2024
- Individual RAUM · $242M to $306MApr 6, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $14.6M to $46.9MApr 6, 2023 to Mar 20, 2024
- Pension RAUM · 5312149.0 to unsetApr 6, 2023 to Mar 20, 2024
- RAUM · $794M to $1.0BApr 6, 2023 to Mar 20, 2024
- Accounts · 1,323 to 1,527May 18, 2022 to Mar 23, 2023
- Advisory employees · 7 to 8May 18, 2022 to Mar 23, 2023
- Charity clients · 2.0 to unsetMay 18, 2022 to Mar 23, 2023
- HNW clients · 162 to 162,178May 18, 2022 to Mar 23, 2023
Signals
9 dated events
- W•••••• • C•••••• reported RAUM $1.5B, up 30% from $1.2B (2025-10-22 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- M•••• N••••••• S••••• left W•••••• • C•••••• for F••••• W••••• I••••••••• (registered 2024-04-09)Jun 10, 2024 · Advisor changed firm · fact
- W•••••• • C•••••• reported RAUM $1.0B, up 28% from $794.1M (2023-04-06 to 2024-03-20)Mar 20, 2024 · RAUM change · derived
- C•••••••• D•••• A••••• left W•••••• • C•••••• for F••••• C••• C•••••• L•• (registered 2026-03-01)Jan 23, 2024 · Advisor changed firm · fact
- W•••••• • C•••••• reported RAUM $878.1M, up 25% from $702.0M (2021-03-23 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- A W•••••• S•••••• (Partner) appeared on Schedule A of W•••••• • C••••••Mar 9, 2020 · Control person joined · fact
- Firth Robert Pickels (Partner) appeared on Schedule A of W•••••• • C••••••Mar 9, 2020 · Control person joined · fact
- M Christopher Radigan (Partner) appeared on Schedule A of W•••••• • C••••••Mar 9, 2020 · Control person joined · fact
- John Andy Armstrong (Chief Compliance Officer) appeared on Schedule A of W•••••• • C••••••Mar 14, 2019 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 585-232-6200reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- whitneyandcompany.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 585-232-6200reportedpublic record, Form ADV, Sep 1, 2026
- Contact form
- whitney.money/contactreportedpublished by the firm, firm site, Sep 16, 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
- $166Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026