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••••
Legal name W••••• M••••••••• G•••• O• N•••• A••••••• L••
Latest filing Apr 6, 2026
First filing on the tape Apr 30, 2024 · 8 filings
SEC status approved since Jun 17, 2024
RAUM
$346M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
100%
$346M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$86.6M
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$346M as of Apr 6, 2026
Mar 25, 2025$217M then
HNW client RAUM$243M as of Apr 6, 2026
Mar 25, 2025$152M then
State-registered IARs (5.B.3)3 as of Apr 6, 2026
Mar 25, 20253 then
Employees (5.A)9 as of Apr 6, 2026
Mar 25, 20259 then
Private funds: no history
RAUM +60% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Apr 6, 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
- 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
- $86.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $352,438derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +60%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.3%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
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$243M70%
- Individuals$104M30%
- Individual clients
- 228reported
- HNW clients
- 98reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 983reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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=2.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• P•••• B••• | Farmington, Ct | Feb 23, 1996 | 33 y | 1 |
| D••••• J• F••••••• | Farmington, Ct | May 23, 1997 | 31 y | 1 |
| C••••••••• J•••• P••••• | Farmington, Ct | Dec 10, 2018 | 31 y | 2 |
| J•••• P••• S••••Certified Financial Planner | Farmington, Ct | Apr 6, 2026 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- A••• P•••••• S•••••• to G•••••••• F•••••••• L••Nov 15, 2017 · Other
Joined, latest
- J•••• P••• S•••• from P•••• S••••••••• L••Apr 6, 2026 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• J•••• P••••• from R•• C•••••• M••••••• L••Dec 10, 2018 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• B••••• P•••• · President / Chief Compliance Officercontrolsince 06/1995 · owns 50% to 75%
- F•••••••• D•••••• J•• · Ceocontrolsince 06/1995 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Farmington, Ct · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boca Raton, FL1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up clients flatCombination · filing Apr 6, 2026RAUM grew 50 percent or more while private clients stayed within 5 percent: existing clients grew, a few large clients arrived, or a reporting change. RAUM $217,090,556 to $346,446,708, advisors 3 to 3, private clients 337 to 326, offices 1 to 1 (2025-03-25 to 2026-04-06)peers: independent wealth managers, $100M to $500M (5,676)
- RAUM up 50 %Change between filings · filing Apr 6, 2026RAUM (Item 5.F) moved from $217,090,556 to $346,446,708 (+60.0%) between the annual amendments of 2025-03-25 and 2026-04-06; the peer median change was +15.0% (4550 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 97% percentile
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Mar 26, 2026 to Apr 6, 2026
- Accounts · 858 to 983Mar 25, 2025 to Mar 26, 2026
- HNW clients · 107 to 98Mar 25, 2025 to Mar 26, 2026
- Individual clients · 230 to 228Mar 25, 2025 to Mar 26, 2026
- Discretionary RAUM · $183M to $306MMar 25, 2025 to Mar 26, 2026
- HNW RAUM · $152M to $243MMar 25, 2025 to Mar 26, 2026
- Individual RAUM · $65.1M to $104MMar 25, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $33.8M to $40.2MMar 25, 2025 to Mar 26, 2026
- RAUM · $217M to $346MMar 25, 2025 to Mar 26, 2026
- Accounts · 766 to 858Nov 27, 2024 to Mar 25, 2025
- HNW clients · 94 to 107Nov 27, 2024 to Mar 25, 2025
- Individual clients · 205 to 230Nov 27, 2024 to Mar 25, 2025
- Financial planning clients · 101-250 to 101-250Nov 27, 2024 to Mar 25, 2025
- Discretionary RAUM · $191M to $183MNov 27, 2024 to Mar 25, 2025
- HNW RAUM · $134M to $152MNov 27, 2024 to Mar 25, 2025
- Individual RAUM · $57.8M to $65.1MNov 27, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $0 to $33.8MNov 27, 2024 to Mar 25, 2025
- RAUM · $191M to $217MNov 27, 2024 to Mar 25, 2025
- Business name · W••••• A•• W••••• L•• to W••••May 31, 2024 to Aug 23, 2024
Signals
2 dated events
- Wmgna reported RAUM $346.4M, up 60% from $217.1M (2025-03-25 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- W••••• A•• W••••• L•• filed its initial SEC registration (Form ADV)Apr 30, 2024 · 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
- info@wmgna.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 561-666-3075reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 860-679-5255reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/W••••reportedpublic record, Form ADV, Sep 18, 2026
- Website
- W••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 860-679-5255reportedpublic record, Form ADV, Apr 6, 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
- $86.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026