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
P•••••••• W••••• P•••••••
Legal name P•••••••• W•••••• L••
Latest filing Sep 3, 2026
First filing on the tape Mar 29, 2012 · 77 filings
SEC status approved since Jun 15, 2010
RAUM
$1.4B
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
91%
$1.3B individuals and HNW
Advisors
19
registered through the firm on IAPD
RAUM per advisor
$75.7M
derived; firm RAUM over IAPD count
Employees
49
16 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
77 filings and snapshots on the tape
RAUM$1.4B as of Jul 6, 2026
Mar 29, 2012$81.5M then
HNW client RAUM$989M as of Jul 6, 2026
Mar 30, 2018$182M then
State-registered IARs (5.B.3)12 as of Jul 6, 2026
Mar 29, 20120 then
Employees (5.A)49 as of Jul 6, 2026
Mar 20, 201320 then
Private funds: no history
RAUM +15% over the last fiscal year+17% a year over threeIARs 12 to 12offices 4 to 7
Practice profile
derived from the filing of Sep 3, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $75.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $107,708derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 9.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.6derivedItem 5.A over advisors
- Advisors per office
- 2.4derived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.4%derived
- Compensation
- percentage of assets, hourly, fixed fees, subscription, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
- Custody
- $80.4M, 232 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$989M69%
- Individuals$320M22%
- Pension and profit-sharing plans$130M9.1%
- Individual clients
- 847reported
- HNW clients
- 386reported
- Pension plan clients
- 29reported
- Charitable clients
- n/areported
- Accounts
- 13,361reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $80.4M for 232 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
19 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• W••••• P••••••••Certified Financial Planner | Coeur D'Alene, Id | Jun 22, 2010 | 35 y | 1 |
| R••••• L•• G•••••••••Certified Financial Planner | Coeur D'Alene, Id | Jun 22, 2010 | 24 y | 1 |
| N••••••• H••••• H•••••••Certified Financial Planner | Coeur D'Alene, Id | Dec 3, 2013 | 17 y | 0 |
| B••••••• L•• G•••••••••Certified Financial Planner | Coeur D'Alene, Id | Oct 13, 2021 | 16 y | 0 |
| N•••••••• J••••• C•••••• | Coeur D'Alene, Id | Oct 13, 2021 | 11 y | 0 |
| D••••• P• O•••••• | University Place, Wa | Mar 8, 2023 | 34 y | 4 |
| B•••• J• R••• | Coeur D'Alene, Id | Aug 14, 2024 | 16 y | 0 |
| A•••••• M•••••• R••••••• | Hillsboro, Mo | Aug 29, 2024 | 25 y | 4 |
| S•••• M•••••••• R•••••• C••••• | Honolulu, Hi | Nov 4, 2024 | 20 y | 1 |
| C••••••• M••••• R••••••Certified Financial Planner | Coeur D'Alene, Id | Dec 2, 2024 | 29 y | 2 |
| J••••• W•••••• B••••• | Coeur D'Alene, Id | Apr 24, 2025 | 12 y | 0 |
| P•••• M•••• S•••••••••Certified Financial Planner | Coeur D'Alene, Id | Oct 10, 2025 | 45 y | 6 |
| R••••• S••• O•••• | Chesterfield, Mo | Jan 5, 2026 | 35 y | 2 |
| H••• C•••••• M••••• | Honolulu, Hi | Mar 17, 2026 | 32 y | 5 |
| D••••• I•••• L••••• | Conroe, Tx | Mar 30, 2026 | 39 y | 3 |
| C••••••••• J•••• W••••••Chartered Financial Consultant | Coeur D'Alene, Id | Mar 30, 2026 | 24 y | 1 |
| R•••••• T••••• B•••••••• | Conroe, Tx | Jun 2, 2026 | 10 y | 1 |
| K••••••••• L••••••• W•••••• | Coeur D'Alene, Id | Jul 2, 2026 | 16 y | 1 |
| N•••••••• R• G•••••• | Coeur D'Alene, Id | Aug 28, 2026 | 10 y | 0 |
Advisor movement
0 left, 7 joined in 12 months
net +7 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- P••••••• A• T•••••• to U••••• I••••••••• C•••••••••Nov 6, 2017 · Other
Joined, latest
- K••••••••• L••••••• W•••••• from C•••••• A•••••••Jul 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- R•••••• T••••• B•••••••• from S•••••••• F•••••••• G••••• L••Jun 2, 2026 · RIA to RIA
- C••••••••• J•••• W•••••• from W•••••• F•••••••• G•••• I••Mar 30, 2026 · RIA to RIA
- D••••• I•••• L••••• from W•••••• F•••••••• G•••• I••Mar 30, 2026 · RIA to RIA
- H••• C•••••• M••••• from C••••• I••••••••• A••••••• L••Mar 17, 2026 · Affiliated broker-dealer or bank to independent RIA
- R••••• S••• O•••• from R••••• O•••• I••••••••• G••••• L••Jan 5, 2026 · Other
- P•••• M•••• S••••••••• from C••••••••• P•••••••• R••••• C•••Oct 10, 2025 · RIA to RIA
- C••••••• M••••• R•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 2, 2024 · Affiliated broker-dealer or bank to independent RIA
- S•••• M•••••••• R•••••• C••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Nov 4, 2024 · Affiliated broker-dealer or bank to independent RIA
- A•••••• M•••••• R••••••• from S•••••• P•••••••••Jun 14, 2023 · Other
- D••••• P• O•••••• from C•• I••••••••• I••Mar 8, 2023 · RIA to RIA
- P••••••• A• T•••••• from A•••••• P•••••••• L••Apr 1, 2014 · Other
- D••••• W••••• P•••••••• from L•• F•••••••• L••Jun 22, 2010 · Other
- R••••• L•• G••••••••• from L•• F•••••••• L••Jun 22, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••••• F•••••••• G•••• I••Apr 14, 2026 · Conroe, Tx
- 2 joined from C•••••••• I••••••••• R••••••• A•••••••• I•••Nov 6, 2024 · Honolulu, Hi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• R•••••• L•• · Chief Operating Officer Officercontrolsince 06/2010 · owns less than 5%
- P••••••••• D•••••• W••••• · Managing Member/Presidentcontrolsince 09/1996 · owns less than 5%
- P••••••••• K••••••• E••••• · Vice President/Membercontrolsince 09/1996 · owns less than 5%
- S••••••••• G•••• J••••• · Chief Compliance Officercontrolsince 01/2014 · owns less than 5%
- W•••• M••••••• D•••••• · Director Of Tamp Servicescontrolsince 04/2026 · owns less than 5%
- P••••••••• D•••••• W••••• · Trusteecontrolsince 09/1996 · owns 50% to 75% of D••••• W. And Katherine E. P•••••••• L••••• Trust
- P••••••••• K••••••• E••••• · Trusteecontrolsince 09/1996 · owns 50% to 75% of D••••• W. And Katherine E. P•••••••• L••••• Trust
Entity owners
- P•••••••• F••••• H••••••• L•••••• · Memberdirect · owns 25% to 50%
- P•••••••• F••••• H••••••• L•••••• P••••••••• · Memberdirect · owns 25% to 50%
- P•••••••• F•••••••• C••••••••• · Memberdirect · owns 25% to 50%
- P•••••••• F•••••••• C••••••••• I••• · Memberdirect · owns 25% to 50%
- P•••••••• I••••••••• I••• · Memberdirect · owns 25% to 50%
- D••••• W• A•• K•••••• E• P•••••••• L••••• T•••• · Ownerindirect · owns 75% or more of P•••••••• I••••••••• I•••
- D••••• W• A•• K•••••• E• P•••••••• L••••• T•••• · Ownerindirect · owns 75% or more of P•••••••• Financial Corporation
Related persons
Schedule D 7.A
- S•••••• P•••••••••investment adviseryRAUM $1.6B
Advisers that list P•••••••• W••••• P••••••• as a related person
- 322728 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Coeur Dalene, Id | 19 | 8 | 0 | ||
| Conroe, Tx | 3 | 3 | 0 | ||
| Honolulu, Hi | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Spokane, WA8 employees
- Honolulu, HI2 employees
- , 2 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Sep 3, 2026S••••••••• G•••• J••••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2014-04-10 and 2026-09-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Sep 3, 2026W•••• M••••••• D•••••• (DIRECTOR OF TAMP SERVICES) appeared on Schedule A between the filings of 2014-04-10 and 2026-09-03peers: independent wealth managers, $1B to $5B (1,362)
- account count surgeChange between filings · filing Apr 23, 2026accounts (Item 5.F.2.f) moved from 677.0 to 13,361.0 (+1874.0%) between the annual amendments of 2025-02-25 and 2026-04-23; the peer median change was +6.0% (1206 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 100% percentile
- office count surgeChange between filings · filing Apr 23, 2026offices other than the principal office (Item 1.F.5) moved from 4.0 to 6.0 (+50.0%) between the annual amendments of 2025-02-25 and 2026-04-23; the peer median change was 0.0% (379 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $1B to $5B (379) · 93% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Jul 6, 2026 to Sep 3, 2026
- Succession · false to unsetJul 6, 2026 to Sep 3, 2026
- Other offices · 6 to 7Apr 23, 2026 to Jun 26, 2026
- Accounts · 677 to 13,361Jan 16, 2026 to Mar 12, 2026
- Advisory employees · 17 to 16Jan 16, 2026 to Mar 12, 2026
- Advisory activities · 6 to 7Jan 16, 2026 to Mar 12, 2026
- BD registered reps · 1 to 5Jan 16, 2026 to Mar 12, 2026
- HNW clients · 331 to 386Jan 16, 2026 to Mar 12, 2026
- Individual clients · 796 to 847Jan 16, 2026 to Mar 12, 2026
- Pension plan clients · 25 to 29Jan 16, 2026 to Mar 12, 2026
- Assets in custody · $621M to $80.4MJan 16, 2026 to Mar 12, 2026
- Employees · 45 to 49Jan 16, 2026 to Mar 12, 2026
- Financial planning clients · 0 to 1-10Jan 16, 2026 to Mar 12, 2026
- Other offices · 4 to 6Jan 16, 2026 to Mar 12, 2026
- Discretionary RAUM · $1.2B to $1.3BJan 16, 2026 to Mar 12, 2026
- HNW RAUM · $865M to $989MJan 16, 2026 to Mar 12, 2026
- Individual RAUM · $283M to $320MJan 16, 2026 to Mar 12, 2026
- Non-discretionary RAUM · $84.2M to $107MJan 16, 2026 to Mar 12, 2026
- Pension RAUM · $105M to $130MJan 16, 2026 to Mar 12, 2026
- RAUM · $1.3B to $1.4BJan 16, 2026 to Mar 12, 2026
- Financial planning clients · 0 to 0May 1, 2025 to Oct 16, 2025
- Accounts · 4,141 to 677Jan 16, 2025 to Feb 25, 2025
- Advisory employees · 12 to 17Jan 16, 2025 to Feb 25, 2025
- Advisory activities · 4 to 6Jan 16, 2025 to Feb 25, 2025
- Business name · P•••••••• W••••• P••••••• L•• to P•••••••• W••••• P•••••••Jan 16, 2025 to Feb 25, 2025
- HNW clients · 256 to 331Jan 16, 2025 to Feb 25, 2025
- Individual clients · 538 to 796Jan 16, 2025 to Feb 25, 2025
- Pension plan clients · 28 to 25Jan 16, 2025 to Feb 25, 2025
- Employees · 20 to 45Jan 16, 2025 to Feb 25, 2025
- State-registered IARs · 8 to 12Jan 16, 2025 to Feb 25, 2025
- Legal name · P•••••••• W••••• P••••••• L•• to P•••••••• WEALTH, LLCJan 16, 2025 to Feb 25, 2025
- Other offices · 3 to 4Jan 16, 2025 to Feb 25, 2025
- Discretionary RAUM · $937M to $1.2BJan 16, 2025 to Feb 25, 2025
- HNW RAUM · $712M to $865MJan 16, 2025 to Feb 25, 2025
- Individual RAUM · $204M to $283MJan 16, 2025 to Feb 25, 2025
- Non-discretionary RAUM · $84.9M to $84.2MJan 16, 2025 to Feb 25, 2025
- Pension RAUM · $105M to $105MJan 16, 2025 to Feb 25, 2025
- RAUM · $1.0B to $1.3BJan 16, 2025 to Feb 25, 2025
- Business name · P•••••••• R••••••••• S••••••••• L•• to P•••••••• W••••• P••••••• L••Nov 4, 2024 to Jan 16, 2025
- Legal name · P•••••••• R••••••••• S••••••••• L•• to P•••••••• W••••• P••••••• L••Nov 1, 2024 to Nov 4, 2024
Signals
4 dated events
- 2 advisors left W•••••• F•••••••• G•••• I•• (Conroe, TX) for P•••••••• W••••• P••••••• on the same dayApr 14, 2026 · Team lift-out · derived
- 2 advisors left C•••••••• I••••••••• R••••••• A•••••••• I••• (Honolulu, HI) for P•••••••• W••••• P••••••• on the same dayNov 6, 2024 · Team lift-out · derived
- P•••••••• W••••• P••••••• reported RAUM $1.0B, up 34% from $763.6M (2021-12-20 to 2022-03-03)Mar 3, 2022 · RAUM change · derived
- P•••••••• W••••• P••••••• reported RAUM $646.1M, up 27% from $510.4M (2019-03-29 to 2020-03-30)Mar 30, 2020 · 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
- Website
- woottonfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-634-2008reportedpublic record, Form ADV, Sep 3, 2026
- Team page
- woottonfinancial.com/our-team-investment-adviserreportedpublished 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
- $75.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026