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
C••••• W••••• M•••••••••
Legal name C••••• W••••• M••••••••• L••
Latest filing Jul 15, 2026
First filing on the tape Mar 29, 2012 · 42 filings
SEC status approved since Jan 22, 2002
RAUM
$430M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
97%
$417M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$86.0M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$430M as of Jul 15, 2026
Mar 29, 2012$142M then
HNW client RAUM$364M as of Jul 15, 2026
Mar 29, 2018$223M then
State-registered IARs (5.B.3)3 as of Jul 15, 2026
Mar 25, 20132 then
Employees (5.A)3 as of Jul 15, 2026
Mar 25, 20134 then
Private funds: no history
RAUM +16% over the last fiscal year+6.7% a year over threeIARs 6 to 3
Practice profile
derived from the filing of Jul 15, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $86.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $468,990derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.6derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- $386MreportedItem 5.I
- Custody
- $67.7M, 41 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$364M85%
- Individuals$52.3M12%
- Charitable organizations$7.1M1.7%
- Pension and profit-sharing plans$5.6M1.3%
- Corporations and businesses$863,7420.2%
- Individual clients
- 141reported
- HNW clients
- 101reported
- Pension plan clients
- 3reported
- Charitable clients
- 4reported
- Accounts
- 917reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $67.7M for 41 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••••• L• W•••••Certified Financial Planner, Personal Financial Specialist | Boynton Beach, Fl | Nov 17, 1997 | 28 y | 0 |
| S•••• D•••• W••••• | Boynton Beach, Fl | Aug 5, 2016 | 27 y | 0 |
| M•••••• A•• G•••••Certified Financial Planner | Boynton Beach, Fl | Dec 1, 2016 | 13 y | 1 |
| M•••••• C•••••• K••••••• K•••••Chartered Financial Analyst | Boynton Beach, Fl | Aug 21, 2026 | 13 y | 0 |
| M•••• B••••• K••••• | Boynton Beach, Fl | Aug 24, 2026 | 12 y | 6 |
Advisor movement
3 left, 2 joined in 12 months
net -1 in 12 months2 left in 90 days1 joined in 90 daysdeparture rate 60% of current headcount5 left over 36 months
Left, latest
- L••• A•• F•••••••• to F••••• C•••••• A•••••••• L••Jul 6, 2026 · RIA to RIA
- N••••••• D•••••• D•••••••• to F••••• C•••••• A•••••••• L••Jul 6, 2026 · RIA to RIA
- A•••• N•••• D•••• to J••• M••••• S••••••••• L••Jun 12, 2026 · RIA to wirehouse
- M•••••• E••••• A•••••• to B••••• G••••••••• W••••• M•••••••••Dec 6, 2024 · RIA to RIA
- C•••• P•••••• to A••••• W••••• M••••••••• L••Feb 2, 2024 · RIA to RIA
- W•••••• M•••••• L••••• to H••• W••••• A•••••••Apr 26, 2023 · RIA to RIA
- J•••••• C•••••• R•••••• to T••••• W•••••• L•••••Sep 21, 2022 · RIA to RIA
- A•••• E•••••• M••••• to S••••• W••••• A••••••• L••Sep 12, 2022 · RIA to RIA
- D••••• J•••• P•••••• to E•••• S••••••••• L••Jan 21, 2022 · RIA to affiliated broker-dealer or bank
- S•••••• W•••••• Z••••• to A•••••• W••••• M•••••••••Dec 31, 2020 · RIA to RIA
- J••••• S•••••• D•••• to D•••• P•••••• W•••••• L••Feb 2, 2017 · Other
Joined, latest
- M•••• B••••• K••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 24, 2026 · Wirehouse to independent RIA
- A•••• N•••• D•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 24, 2026 · Wirehouse to independent RIA
- C•••• P•••••• from A••••••••• F•••••••• S•••••••• L••May 12, 2023 · Affiliated broker-dealer or bank to independent RIA
- J•••••• C•••••• R•••••• from A••••••••• F•••••••• S•••••••• L••Jan 31, 2022 · Affiliated broker-dealer or bank to independent RIA
- N••••••• D•••••• D•••••••• from S•• A•••• A•••• A•••••••Jan 7, 2022 · RIA to RIA
- L••• A•• F•••••••• from B••••• G••••• I••••••••• A•••••••• L••Apr 12, 2021 · RIA to RIA
- M•••••• A•• G••••• from R•••• I••••••••• A••••••• L••Dec 1, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for F••••• C•••••• A•••••••• L••Jul 6, 2026 · Boynton Beach, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••• C••••••••• L• · Managing Member/Chief Compliance Officercontrolsince 10/1997 · owns 75% or more
- G•••••• M••••••• A•• · Financial Plannersince 01/2016 · owns less than 5%
- S••••••• G•••• B• · Secretary & Treasurersince 10/1997 · owns 5% to 10%
Related persons
Schedule D 7.A
- D••••• B•••••• M••••• A•• S••••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boynton Beach, Fl · principal | 5 | 2 | 3 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Jamestown, NY5 employees
What changed
consecutive filings, newest first
- Advisory employees · 6 to 3Mar 30, 2026 to Jul 15, 2026
- Employees · 6 to 3Mar 30, 2026 to Jul 15, 2026
- State-registered IARs · 6 to 3Mar 30, 2026 to Jul 15, 2026
- Accounts · 812 to 917Mar 31, 2025 to Mar 30, 2026
- Charity clients · 3 to 4Mar 31, 2025 to Mar 30, 2026
- Corporate clients · 4 to 2Mar 31, 2025 to Mar 30, 2026
- HNW clients · 82 to 101Mar 31, 2025 to Mar 30, 2026
- Individual clients · 156 to 141Mar 31, 2025 to Mar 30, 2026
- Pension plan clients · 2 to 3Mar 31, 2025 to Mar 30, 2026
- Assets in custody · $40.3M to $67.7MMar 31, 2025 to Mar 30, 2026
- Financial planning clients · 101-250 to 251-500Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $369M to $425MMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $300M to $364MMar 31, 2025 to Mar 30, 2026
- Individual RAUM · $62.8M to $52.3MMar 31, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $3.3M to $5.3MMar 31, 2025 to Mar 30, 2026
- Pension RAUM · $4.9M to $5.6MMar 31, 2025 to Mar 30, 2026
- RAUM · $372M to $430MMar 31, 2025 to Mar 30, 2026
- Accounts · 722 to 812Mar 25, 2024 to Mar 31, 2025
- Advisory employees · 7 to 6Mar 25, 2024 to Mar 31, 2025
- Corporate clients · 3 to 4Mar 25, 2024 to Mar 31, 2025
- HNW clients · 83 to 82Mar 25, 2024 to Mar 31, 2025
- Individual clients · 116 to 156Mar 25, 2024 to Mar 31, 2025
- Assets in custody · $36.3M to $40.3MMar 25, 2024 to Mar 31, 2025
- Employees · 7 to 6Mar 25, 2024 to Mar 31, 2025
- Financial planning clients · 101-250 to 101-250Mar 25, 2024 to Mar 31, 2025
- HQ city · WEST PALM BEACH to BOYNTON BEACHMar 25, 2024 to Mar 31, 2025
- State-registered IARs · 7 to 6Mar 25, 2024 to Mar 31, 2025
- Discretionary RAUM · $330M to $369MMar 25, 2024 to Mar 31, 2025
- HNW RAUM · $300M to $300MMar 25, 2024 to Mar 31, 2025
- Individual RAUM · $42.3M to $62.8MMar 25, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $20.0M to $3.3MMar 25, 2024 to Mar 31, 2025
- Pension RAUM · $4.1M to $4.9MMar 25, 2024 to Mar 31, 2025
- RAUM · $350M to $372MMar 25, 2024 to Mar 31, 2025
- Accounts · 670 to 722Sep 6, 2023 to Mar 25, 2024
- Advisory employees · 8 to 7Sep 6, 2023 to Mar 25, 2024
- Charity clients · 5 to 3Sep 6, 2023 to Mar 25, 2024
- Corporate clients · 2 to 3Sep 6, 2023 to Mar 25, 2024
- HNW clients · 81 to 83Sep 6, 2023 to Mar 25, 2024
- Individual clients · 105 to 116Sep 6, 2023 to Mar 25, 2024
- Assets in custody · $23.0M to $36.3MSep 6, 2023 to Mar 25, 2024
Signals
11 dated events
- 2 advisors left C••••• W••••• M••••••••• (Boynton Beach, FL) for F••••• C•••••• A•••••••• L•• on the same dayJul 6, 2026 · Team lift-out · derived
- L••• A•• F•••••••• left C••••• W••••• M••••••••• for F••••• C•••••• A•••••••• L•• (registered 2026-07-10)Jul 6, 2026 · advisor f••• change · fact
- N••••••• D•••••• D•••••••• left C••••• W••••• M••••••••• for F••••• C•••••• A•••••••• L•• (registered 2026-07-13)Jul 6, 2026 · advisor f••• change · fact
- A•••• N•••• D•••• left C••••• W••••• M••••••••• for J••• M••••• S••••••••• L•• (registered 2026-06-30)Jun 12, 2026 · advisor f••• change · fact
- M•••••• E••••• A•••••• left C••••• W••••• M••••••••• for B••••• G••••••••• W••••• M••••••••• (registered 2025-02-23)Dec 6, 2024 · advisor f••• change · fact
- C•••• P•••••• left C••••• W••••• M••••••••• for A••••• W••••• M••••••••• L•• (registered 2024-03-07)Feb 2, 2024 · advisor f••• change · fact
- W•••••• M•••••• L••••• left C••••• W••••• M••••••••• for H••• W••••• A••••••• (registered 2023-05-31)Apr 26, 2023 · advisor f••• change · fact
- J•••••• C•••••• R•••••• left C••••• W••••• M••••••••• for T••••• W•••••• L••••• (registered 2022-10-04)Sep 21, 2022 · advisor f••• change · fact
- A•••• E•••••• M••••• left C••••• W••••• M••••••••• for S••••• W••••• A••••••• L•• (registered 2022-09-21)Sep 12, 2022 · advisor f••• change · fact
- D••••• J•••• P•••••• left C••••• W••••• M••••••••• for E•••• S••••••••• L•• (registered 2023-12-15)Jan 21, 2022 · advisor f••• change · fact
- C••••• W••••• M••••••••• reported RAUM $300.7M, up 52% from $197.8M (2017-09-29 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
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 email
- info@castlewm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- eakerblom@castlewm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- dworley@castlewm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- brivers@castlewm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 561-686-9604reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 561-584-5080reportedpublished by the firm, firm site, Sep 15, 2026
- f••• profile url
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- f••• website
- C•••••WM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 561-686-9604reportedpublic record, Form ADV, Jul 15, 2026
- Contact form
- castlewm.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- castlewm.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $86.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026