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•••••• P•••••• W•••••
Legal name W•••••• P•••••• W•••••• L••
Latest filing Mar 26, 2025
First filing on the tape Mar 15, 2012 · 10 filings
SEC status approved since Jul 28, 2022
RAUM
$371M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$331M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$186M
derived; firm RAUM over IAPD count
Employees
9
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$371M as of Mar 26, 2025
Mar 15, 2012$50.4M then
HNW client RAUM$223M as of Mar 26, 2025
Mar 27, 2023$63.6M then
State-registered IARs (5.B.3)2 as of Mar 26, 2025
Mar 15, 20120 then
Employees (5.A)9 as of Mar 26, 2025
Mar 27, 20238 then
Private funds: no history
RAUM +42% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 26, 2025; 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
- $186MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 119derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $601,815derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +42%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.9%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $114M, 62 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$223M65%
- Individuals$108M31%
- Corporations and businesses$11.8M3.4%
- Individual clients
- 181reported
- HNW clients
- 56reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 617reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $114M for 62 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• W•••• W•••••• | Akron, Oh | Feb 18, 2003 | 38 y | 3 |
| J••••• D•••••• S••••••••• | Akron, Oh | Jun 26, 2023 | 12 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
- G•••••• A• L•••• to G••••• S••••••••• I•••Apr 9, 2013 · Other
Joined, latest
- G•••••• A• L•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 29, 2012 · Other
- R••••• W•••• W•••••• from W•••••• C••••••••Feb 18, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• R•••••• W•••• · Managing Member/Ceo/Founder/Chief Compliance Officercontrolsince 11/2002 · owns 75% or more
Related persons
Schedule D 7.A
- W•••••• F•••••••• G••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Akron, Oh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boca Raton, FL2 employees
- Naples, FL2 employees
What changed
consecutive filings, newest first
- Accounts · 585 to 617Sep 10, 2024 to Mar 26, 2025
- Corporate clients · 8 to 10Sep 10, 2024 to Mar 26, 2025
- HNW clients · 79 to 56Sep 10, 2024 to Mar 26, 2025
- Individual clients · 147 to 181Sep 10, 2024 to Mar 26, 2025
- Assets in custody · $99.5M to $114MSep 10, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 1-10Sep 10, 2024 to Mar 26, 2025
- Discretionary RAUM · $261M to $371MSep 10, 2024 to Mar 26, 2025
- HNW RAUM · $206M to $223MSep 10, 2024 to Mar 26, 2025
- Individual RAUM · $45.5M to $108MSep 10, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $530,467 to $816,561Sep 10, 2024 to Mar 26, 2025
- RAUM · $262M to $371MSep 10, 2024 to Mar 26, 2025
- Accounts · 262 to 585Aug 7, 2023 to Mar 16, 2024
- Corporate clients · unset to 8.0Aug 7, 2023 to Mar 16, 2024
- HNW clients · 64 to 79Aug 7, 2023 to Mar 16, 2024
- Individual clients · 194 to 147Aug 7, 2023 to Mar 16, 2024
- Assets in custody · $34.5M to $99.5MAug 7, 2023 to Mar 16, 2024
- Discretionary RAUM · $233M to $261MAug 7, 2023 to Mar 16, 2024
- HNW RAUM · $169M to $206MAug 7, 2023 to Mar 16, 2024
- Individual RAUM · $63.6M to $45.5MAug 7, 2023 to Mar 16, 2024
- Non-discretionary RAUM · $511,677 to $530,467Aug 7, 2023 to Mar 16, 2024
- RAUM · $234M to $262MAug 7, 2023 to Mar 16, 2024
- Advisory employees · 1 to 2Mar 27, 2023 to Aug 7, 2023
- HNW clients · 194 to 64Mar 27, 2023 to Aug 7, 2023
- Individual clients · 64 to 194Mar 27, 2023 to Aug 7, 2023
- Employees · 8 to 9Mar 27, 2023 to Aug 7, 2023
- State-registered IARs · 1 to 2Mar 27, 2023 to Aug 7, 2023
- HNW RAUM · $63.6M to $169MMar 27, 2023 to Aug 7, 2023
- Individual RAUM · $169M to $63.6MMar 27, 2023 to Aug 7, 2023
- Accounts · 470 to 262Sep 2, 2022 to Mar 27, 2023
- HNW clients · 112 to 194Sep 2, 2022 to Mar 27, 2023
- Individual clients · 177 to 64Sep 2, 2022 to Mar 27, 2023
- Assets in custody · $42.2M to $34.5MSep 2, 2022 to Mar 27, 2023
- Financial planning clients · 1-10 to 0Sep 2, 2022 to Mar 27, 2023
- Discretionary RAUM · $176M to $233MSep 2, 2022 to Mar 27, 2023
- HNW RAUM · $140M to $63.6MSep 2, 2022 to Mar 27, 2023
- Individual RAUM · $36.1M to $169MSep 2, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $582,371 to $511,677Sep 2, 2022 to Mar 27, 2023
- RAUM · $176M to $234MSep 2, 2022 to Mar 27, 2023
- Assets in custody · unset to 42187514.0Aug 3, 2022 to Sep 2, 2022
- Custody of client assets · false to trueAug 3, 2022 to Sep 2, 2022
Signals
4 dated events
- W•••••• P•••••• W••••• reported RAUM $371.3M, up 42% from $261.7M (2024-09-10 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- W•••••• P•••••• W••••• reported RAUM $176.4M, up 250% from $50.4M (2012-04-16 to 2022-06-28)Jun 28, 2022 · RAUM change · derived
- Sue Kimberly Miller (Chief Compliance Officer) no longer on Schedule A of W•••••• P•••••• W••••• (listed 2012-04-16, absent 2022-06-28)Jun 28, 2022 · Control person left · inference
- W•••••• P•••••• W••••• filed its initial SEC registration (Form ADV)Jun 28, 2022 · 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
- Business email
- admin@wartherprivatewealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 239-276-7939reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 330-867-6999reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-533-9000reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/11305715/adminreportedpublic record, Form ADV, Sep 19, 2026
- Website
- wartherprivatewealth.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 330-867-6999reportedpublic record, Form ADV, Mar 26, 2025
- Contact form
- wartherprivatewealth.com/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
- $186Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026