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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Former SEC-registered adviser
P••••••• W••••••
Legal name P••••••• W•••••• J•••
Latest filing Mar 2, 2023
First filing on the tape Mar 26, 2012 · 23 filings
RAUM
$140M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$136M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$140M as of Mar 1, 2023
Mar 26, 2012$51.8M then
HNW client RAUM$88.0M as of Mar 1, 2023
Mar 8, 2018$63.4M then
State-registered IARs (5.B.3)0 as of Mar 1, 2023
Mar 26, 20120 then
Employees (5.A)4 as of Mar 1, 2023
Mar 8, 20131 then
Private funds: no history
RAUM -17% over the last fiscal year+2.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 2, 2023; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $215,314derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -17%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$88.0M63%
- Individuals$48.3M35%
- Charitable organizations$3.4M2.4%
- Individual clients
- 344reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 649reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
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
- P••••••• W•••••• · Chief Compliance Officercontrolsince 10/1995 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 656 to 649Mar 2, 2022 to Mar 1, 2023
- Individual clients · 347 to 344Mar 2, 2022 to Mar 1, 2023
- Discretionary RAUM · $169M to $140MMar 2, 2022 to Mar 1, 2023
- HNW RAUM · $107M to $88.0MMar 2, 2022 to Mar 1, 2023
- Individual RAUM · $58.4M to $48.3MMar 2, 2022 to Mar 1, 2023
- RAUM · $169M to $140MMar 2, 2022 to Mar 1, 2023
- Accounts · 629 to 656Feb 12, 2021 to Feb 28, 2022
- HNW clients · 48 to 49Feb 12, 2021 to Feb 28, 2022
- Individual clients · 325 to 347Feb 12, 2021 to Feb 28, 2022
- Discretionary RAUM · $140M to $169MFeb 12, 2021 to Feb 28, 2022
- HNW RAUM · $85.1M to $107MFeb 12, 2021 to Feb 28, 2022
- Individual RAUM · $51.3M to $58.4MFeb 12, 2021 to Feb 28, 2022
- RAUM · $140M to $169MFeb 12, 2021 to Feb 28, 2022
- Accounts · 627 to 629May 11, 2020 to Feb 12, 2021
- HNW clients · 39 to 48May 11, 2020 to Feb 12, 2021
- Individual clients · 304 to 325May 11, 2020 to Feb 12, 2021
- Discretionary RAUM · $132M to $140MMay 11, 2020 to Feb 12, 2021
- HNW RAUM · $69.9M to $85.1MMay 11, 2020 to Feb 12, 2021
- Individual RAUM · $58.9M to $51.3MMay 11, 2020 to Feb 12, 2021
- RAUM · $132M to $140MMay 11, 2020 to Feb 12, 2021
- Accounts · 604 to 627Feb 19, 2019 to Feb 27, 2020
- HNW clients · 34 to 39Feb 19, 2019 to Feb 27, 2020
- Individual clients · 303 to 304Feb 19, 2019 to Feb 27, 2020
- Employees · 3 to 4Feb 19, 2019 to Feb 27, 2020
- Discretionary RAUM · $113M to $132MFeb 19, 2019 to Feb 27, 2020
- HNW RAUM · $57.3M to $69.9MFeb 19, 2019 to Feb 27, 2020
- Individual RAUM · $54.6M to $58.9MFeb 19, 2019 to Feb 27, 2020
- RAUM · $113M to $132MFeb 19, 2019 to Feb 27, 2020
- Accounts · 589 to 604Mar 8, 2018 to Feb 19, 2019
- HNW clients · 36 to 34Mar 8, 2018 to Feb 19, 2019
- Individual clients · 280 to 303Mar 8, 2018 to Feb 19, 2019
- Discretionary RAUM · $122M to $113MMar 8, 2018 to Feb 19, 2019
- HNW RAUM · $63.4M to $57.3MMar 8, 2018 to Feb 19, 2019
- Individual RAUM · $57.4M to $54.6MMar 8, 2018 to Feb 19, 2019
- RAUM · $122M to $113MMar 8, 2018 to Feb 19, 2019
- Financial planning clients · 1-10 to 11-25Feb 19, 2019 to Feb 19, 2019
- Accounts · 572 to 589Feb 22, 2017 to Mar 8, 2018
- HNW clients · unset to 36.0Feb 22, 2017 to Mar 8, 2018
- Individual clients · unset to 280.0Feb 22, 2017 to Mar 8, 2018
- Other offices · unset to 0.0Feb 22, 2017 to Mar 8, 2018
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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026