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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
W••• P•••••••• I•••
Latest filing Feb 23, 2026
First filing on the tape Mar 13, 2019 · 21 filings
SEC status approved since Apr 12, 2019
RAUM
$610M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$610M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$102M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$610M as of Feb 23, 2026
Mar 25, 2020$275M then
HNW client RAUM$574M as of Feb 23, 2026
Mar 25, 2020$243M then
State-registered IARs (5.B.3)6 as of Feb 23, 2026
Mar 25, 20205 then
Employees (5.A)6 as of Feb 23, 2026
Mar 25, 20205 then
Private funds: no history
RAUM +15% over the last fiscal year+18% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Feb 23, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $102MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $758,079derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 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
- +5.7%derived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $314M, 131 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$574M94%
- Individuals$36.8M6.0%
- Individual clients
- 58reported
- HNW clients
- 145reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 805reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $314M for 131 clientsreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| D•••••• R••• W•••Certified Financial Planner | Winnetka, Il | Nov 16, 1998 | 33 y | 0 |
| K•••• L••• O••••••Certified Financial Planner | Seattle, Wa | Jan 20, 2021 | 13 y | 1 |
| A••••• D••••• H•••• | Keene, Nh | Feb 11, 2022 | 19 y | 0 |
| A••••• B•••••••Certified Financial Planner | Seattle, Wa | Apr 24, 2022 | 10 y | 2 |
| B••••• M•••••••• C•••••••Certified Financial Planner | Seattle, Wa | Jan 4, 2024 | 10 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
- T•••• K••••••••• F••••••• to V••••••• A•••••••• I•••Jun 9, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- A••••• B••••••• from M••••• G••••• A••••••• I•••Apr 24, 2022 · RIA to RIA
- K•••• L••• O•••••• from E•••• • Y•••• I••••••••• A••••••• L••Jan 20, 2021 · Other
- T•••• K••••••••• F••••••• from U••• B•••••• A•••••••• L••Apr 15, 2019 · Affiliated broker-dealer or bank to independent RIA
- R••••• J••••• F•••••••• from R••••••••• B•••••• S••••••••• I•••Jan 9, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••• D••••••• R••• · President And Chief Compliance Officercontrolsince 01/2005 · owns 75% or more
- F••••••••• R•••••• J••••• · Vice Presidentsince 04/2014 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Seattle, Wa | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Feb 23, 2026discretionary share of RAUM of 0% against a peer median of 99% (1482 comparable advisers, 0.0th percentile, 33.5 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 768 to 805Oct 31, 2025 to Feb 23, 2026
- HNW clients · 123 to 145Oct 31, 2025 to Feb 23, 2026
- Individual clients · 69 to 58Oct 31, 2025 to Feb 23, 2026
- Assets in custody · $227M to $314MOct 31, 2025 to Feb 23, 2026
- HNW RAUM · $483M to $574MOct 31, 2025 to Feb 23, 2026
- Individual RAUM · $46.8M to $36.8MOct 31, 2025 to Feb 23, 2026
- Non-discretionary RAUM · $529M to $610MOct 31, 2025 to Feb 23, 2026
- RAUM · $529M to $610MOct 31, 2025 to Feb 23, 2026
- Accounts · 697 to 768Jan 2, 2025 to Mar 19, 2025
- HNW clients · 105 to 123Jan 2, 2025 to Mar 19, 2025
- Individual clients · 74 to 69Jan 2, 2025 to Mar 19, 2025
- Assets in custody · $262M to $227MJan 2, 2025 to Mar 19, 2025
- Financial planning clients · 101-250 to 101-250Jan 2, 2025 to Mar 19, 2025
- HNW RAUM · $417M to $483MJan 2, 2025 to Mar 19, 2025
- Individual RAUM · $48.6M to $46.8MJan 2, 2025 to Mar 19, 2025
- Non-discretionary RAUM · $465M to $529MJan 2, 2025 to Mar 19, 2025
- RAUM · $465M to $529MJan 2, 2025 to Mar 19, 2025
- HQ city · unset to Feb 22, 2024 to Jan 2, 2025
- HQ state · unset to Feb 22, 2024 to Jan 2, 2025
- Accounts · 858 to 697Aug 14, 2023 to Feb 22, 2024
- HNW clients · 70 to 105Aug 14, 2023 to Feb 22, 2024
- Individual clients · 94 to 74Aug 14, 2023 to Feb 22, 2024
- Assets in custody · $37.2M to $262MAug 14, 2023 to Feb 22, 2024
- HNW RAUM · $326M to $417MAug 14, 2023 to Feb 22, 2024
- Individual RAUM · $42.9M to $48.6MAug 14, 2023 to Feb 22, 2024
- Non-discretionary RAUM · $368M to $465MAug 14, 2023 to Feb 22, 2024
- RAUM · $368M to $465MAug 14, 2023 to Feb 22, 2024
- Advisory employees · 5 to 6Feb 22, 2024 to Feb 22, 2024
- Employees · 5 to 6Feb 22, 2024 to Feb 22, 2024
- State-registered IARs · 5 to 6Feb 22, 2024 to Feb 22, 2024
- Accounts · 657 to 858Jan 3, 2023 to Mar 2, 2023
- HNW clients · 104 to 70Jan 3, 2023 to Mar 2, 2023
- Individual clients · 49 to 94Jan 3, 2023 to Mar 2, 2023
- Assets in custody · $42.0M to $37.2MJan 3, 2023 to Mar 2, 2023
- HNW RAUM · $335M to $326MJan 3, 2023 to Mar 2, 2023
- Individual RAUM · $28.2M to $42.9MJan 3, 2023 to Mar 2, 2023
- Non-discretionary RAUM · $363M to $368MJan 3, 2023 to Mar 2, 2023
- RAUM · $363M to $368MJan 3, 2023 to Mar 2, 2023
- Accounts · 535 to 657Aug 3, 2021 to Feb 22, 2022
- HNW clients · 90 to 104Aug 3, 2021 to Feb 22, 2022
Signals
1 dated events
- W••• P•••••••• I••• filed its initial SEC registration (Form ADV)Mar 13, 2019 · First SEC registration · 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
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/W•••-P•••••••reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 847-834-9473reportedpublic record, Form ADV, Feb 23, 2026
- Team page
- wiseplanning.com/our-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
- $102Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026