DFX Intelligence
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SEC-registered adviser
W••••• A••••••• S•••••••• I•••
Latest filing Feb 12, 2026
First filing on the tape Mar 29, 2012 · 33 filings
SEC status approved since Jul 11, 2008
RAUM
$254M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$251M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$42.3M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$254M as of Feb 12, 2026
Mar 29, 2012$54.5M then
HNW client RAUM$171M as of Feb 12, 2026
Mar 29, 2018$59.9M then
State-registered IARs (5.B.3)5 as of Feb 12, 2026
Apr 1, 20130 then
Employees (5.A)6 as of Feb 12, 2026
Apr 1, 20133 then
Private funds: no history
RAUM +0.9% over the last fiscal year+11% a year over threeIARs 7 to 5
Practice profile
derived from the filing of Feb 12, 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
- RAUM per advisor
- $42.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $784,016derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- -29%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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$171M67%
- Individuals$79.6M31%
- Pension and profit-sharing plans$3.1M1.2%
- Individual clients
- 246reported
- HNW clients
- 77reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 324reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=5.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• W••••••••• D••••• | Lynbrook, Ny | Dec 14, 2015 | 18 y | 0 |
| A•••••• J••••• D••••••• | Lynbrook, Ny | Jul 30, 2021 | 19 y | 0 |
| S•••• F•••••••Certified Financial Planner | Lynbrook, Ny | Aug 13, 2021 | 36 y | 0 |
| K•••••• J• H•••• | Lynbrook, Ny | Aug 16, 2021 | 40 y | 0 |
| J•••• G••••• W•••••••••Certified Financial Planner | Lynbrook, Ny | Aug 27, 2021 | 42 y | 0 |
| J••••• T••••• B••••• | Lynbrook, Ny | Feb 19, 2026 | 13 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
- W••••••••• J••••• G••••• · President, Ccocontrolsince 05/1995 · owns 75% or more
Related persons
Schedule D 7.A
- W••••• A•••••• I•••real estaten
- W••••• F•••••••• S•••••••• I•••insurancen
- W••••• I••••••••• C••••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lynbrook, Ny · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 317 to 324Oct 27, 2025 to Feb 12, 2026
- Advisory employees · 7 to 5Oct 27, 2025 to Feb 12, 2026
- BD registered reps · 7 to 5Oct 27, 2025 to Feb 12, 2026
- HNW clients · 83 to 77Oct 27, 2025 to Feb 12, 2026
- Individual clients · 233 to 246Oct 27, 2025 to Feb 12, 2026
- Employees · 8 to 6Oct 27, 2025 to Feb 12, 2026
- State-registered IARs · 7 to 5Oct 27, 2025 to Feb 12, 2026
- Discretionary RAUM · $250M to $253MOct 27, 2025 to Feb 12, 2026
- HNW RAUM · $171M to $171MOct 27, 2025 to Feb 12, 2026
- Individual RAUM · $77.4M to $79.6MOct 27, 2025 to Feb 12, 2026
- Non-discretionary RAUM · $1.5M to $1.4MOct 27, 2025 to Feb 12, 2026
- Pension RAUM · $3.1M to $3.1MOct 27, 2025 to Feb 12, 2026
- RAUM · $252M to $254MOct 27, 2025 to Feb 12, 2026
- Financial planning clients · 1-10 to 1-10Mar 12, 2025 to Jul 11, 2025
- Accounts · 314 to 317Sep 3, 2024 to Mar 12, 2025
- Advisory employees · 8 to 7Sep 3, 2024 to Mar 12, 2025
- BD registered reps · 6 to 7Sep 3, 2024 to Mar 12, 2025
- HNW clients · 70 to 83Sep 3, 2024 to Mar 12, 2025
- Individual clients · 243 to 233Sep 3, 2024 to Mar 12, 2025
- State-registered IARs · 8 to 7Sep 3, 2024 to Mar 12, 2025
- Discretionary RAUM · $214M to $250MSep 3, 2024 to Mar 12, 2025
- HNW RAUM · $141M to $171MSep 3, 2024 to Mar 12, 2025
- Individual RAUM · $71.1M to $77.4MSep 3, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $1.3M to $1.5MSep 3, 2024 to Mar 12, 2025
- Pension RAUM · $2.6M to $3.1MSep 3, 2024 to Mar 12, 2025
- RAUM · $215M to $252MSep 3, 2024 to Mar 12, 2025
- Accounts · 845 to 314Jul 5, 2023 to Feb 15, 2024
- HNW clients · 58 to 70Jul 5, 2023 to Feb 15, 2024
- Individual clients · 256 to 243Jul 5, 2023 to Feb 15, 2024
- Discretionary RAUM · $184M to $214MJul 5, 2023 to Feb 15, 2024
- HNW RAUM · $113M to $141MJul 5, 2023 to Feb 15, 2024
- Individual RAUM · $70.2M to $71.1MJul 5, 2023 to Feb 15, 2024
- Non-discretionary RAUM · $913,077 to $1.3MJul 5, 2023 to Feb 15, 2024
- Pension RAUM · $2.2M to $2.6MJul 5, 2023 to Feb 15, 2024
- RAUM · $185M to $215MJul 5, 2023 to Feb 15, 2024
- Advisory employees · 7 to 8May 25, 2023 to Jun 28, 2023
- BD registered reps · 5 to 6May 25, 2023 to Jun 28, 2023
- Employees · 7 to 8May 25, 2023 to Jun 28, 2023
- State-registered IARs · 7 to 8May 25, 2023 to Jun 28, 2023
- Advisory employees · 6 to 7Mar 14, 2023 to May 25, 2023
Signals
No event on the tape.
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
- c••••••••@w•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 516-593-5070reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 516-593-8152reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- W•••••FINANCIALGROUP.COMreportedpublic record, Form ADV, Feb 12, 2026
- Principal office phone
- 516-593-5070reportedpublic record, Form ADV, Feb 12, 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
- $42.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026