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
W•••••• F•••••••• S•••••••• L••
Latest filing Feb 27, 2024
First filing on the tape Jan 9, 2012 · 15 filings
RAUM
$178M
reported, Item 5.F
Discretionary
51%
of RAUM
Private clients
98%
$175M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$178M as of Feb 27, 2024
Mar 8, 2012$54.3M then
HNW client RAUM$150M as of Feb 27, 2024
Feb 26, 2021$98.2M then
State-registered IARs (5.B.3)2 as of Feb 27, 2024
Feb 26, 20212 then
Employees (5.A)3 as of Feb 27, 2024
Feb 26, 20214 then
Private funds: no history
RAUM +17% over the last fiscal year+3.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 27, 2024; every figure names its basis
- RAUM per advisor
- $89.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $428,143derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 51%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$150M84%
- Individuals$24.9M14%
- Corporations and businesses$2.0M1.1%
- Other investment advisers$1.0M0.6%
- Pension and profit-sharing plans$270,2880.2%
- Individual clients
- 64reported
- HNW clients
- 63reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 416reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- T•••••• J••• W•••••• to C••••• P••••••• P•••••••Jul 15, 2024 · RIA to RIA
- C•••• R•••••• W•••••• to C••••• P••••••• P•••••••Jul 15, 2024 · RIA to RIA
Joined, latest
- T•••••• J••• W•••••• from V••• F•••••••• A•••••••• I•••Apr 19, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C••••• P••••••• P•••••••Jul 15, 2024 · Paramus, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• C••••• R•••••• · Owner And Client Advisorcontrolsince 12/2018 · owns 25% to 50%
- W••••••• T••••••• J••• · Member And Chief Compliance Officercontrolsince 06/2007 · 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 |
|---|---|---|---|---|---|
| Paramus, Nj · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 395 to 416Dec 19, 2023 to Feb 27, 2024
- Advisory activities · 4 to 3Dec 19, 2023 to Feb 27, 2024
- HNW clients · 43 to 63Dec 19, 2023 to Feb 27, 2024
- Individual clients · 67 to 64Dec 19, 2023 to Feb 27, 2024
- Discretionary RAUM · $82.7M to $90.7MDec 19, 2023 to Feb 27, 2024
- HNW RAUM · $104M to $150MDec 19, 2023 to Feb 27, 2024
- Individual RAUM · $33.2M to $24.9MDec 19, 2023 to Feb 27, 2024
- Non-discretionary RAUM · $69.5M to $87.4MDec 19, 2023 to Feb 27, 2024
- Pension RAUM · $279,065 to $270,288Dec 19, 2023 to Feb 27, 2024
- RAUM · $152M to $178MDec 19, 2023 to Feb 27, 2024
- Accounts · 389 to 395Mar 23, 2022 to Mar 2, 2023
- Advisory activities · 3 to 4Mar 23, 2022 to Mar 2, 2023
- HNW clients · 48 to 43Mar 23, 2022 to Mar 2, 2023
- Individual clients · 76 to 67Mar 23, 2022 to Mar 2, 2023
- Financial planning clients · 11-25 to 1-10Mar 23, 2022 to Mar 2, 2023
- Discretionary RAUM · $103M to $82.7MMar 23, 2022 to Mar 2, 2023
- HNW RAUM · $129M to $104MMar 23, 2022 to Mar 2, 2023
- Individual RAUM · $41.4M to $33.2MMar 23, 2022 to Mar 2, 2023
- Non-discretionary RAUM · $74.9M to $69.5MMar 23, 2022 to Mar 2, 2023
- Pension RAUM · $396,053 to $279,065Mar 23, 2022 to Mar 2, 2023
- RAUM · $178M to $152MMar 23, 2022 to Mar 2, 2023
- Accounts · 345 to 389Nov 9, 2021 to Mar 23, 2022
- Corporate clients · 2.0 to unsetNov 9, 2021 to Mar 23, 2022
- HNW clients · 32 to 48Nov 9, 2021 to Mar 23, 2022
- Individual clients · 82 to 76Nov 9, 2021 to Mar 23, 2022
- Pension plan clients · 1.0 to unsetNov 9, 2021 to Mar 23, 2022
- Employees · 4 to 3Nov 9, 2021 to Mar 23, 2022
- Financial planning clients · 26-50 to 11-25Nov 9, 2021 to Mar 23, 2022
- Discretionary RAUM · $101M to $103MNov 9, 2021 to Mar 23, 2022
- HNW RAUM · $98.2M to $129MNov 9, 2021 to Mar 23, 2022
- Individual RAUM · $58.5M to $41.4MNov 9, 2021 to Mar 23, 2022
- Non-discretionary RAUM · $58.8M to $74.9MNov 9, 2021 to Mar 23, 2022
- Pension RAUM · $391,525 to $396,053Nov 9, 2021 to Mar 23, 2022
- RAUM · $160M to $178MNov 9, 2021 to Mar 23, 2022
- Accounts · 342 to 345Dec 17, 2020 to Feb 26, 2021
- Individual clients · 83 to 82Dec 17, 2020 to Feb 26, 2021
- Discretionary RAUM · $84.3M to $101MDec 17, 2020 to Feb 26, 2021
- HNW RAUM · $80.6M to $98.2MDec 17, 2020 to Feb 26, 2021
- Individual RAUM · $47.4M to $58.5MDec 17, 2020 to Feb 26, 2021
- Non-discretionary RAUM · $48.2M to $58.8MDec 17, 2020 to Feb 26, 2021
Signals
6 dated events
- C•••• R•••••• W•••••• left W•••••• F•••••••• S•••••••• L•• for C••••• P••••••• P••••••• (registered 2024-07-12)Jul 15, 2024 · Advisor changed firm · fact
- T•••••• J••• W•••••• left W•••••• F•••••••• S•••••••• L•• for C••••• P••••••• P••••••• (registered 2024-07-12)Jul 15, 2024 · Advisor changed firm · fact
- 2 advisors left W•••••• F•••••••• S•••••••• L•• (Paramus, NJ) for C••••• P••••••• P••••••• on the same dayJul 15, 2024 · Team lift-out · derived
- W•••••• F•••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Jun 9, 2020 · First SEC registration · fact
- Russell Colin W•••••• (Member Of Llc) appeared on Schedule A of W•••••• F•••••••• S•••••••• L••Jun 9, 2020 · Control person joined · fact
- Elizabeth Maura W•••••• (Member Of Llc) no longer on Schedule A of W•••••• F•••••••• S•••••••• L•• (listed 2012-07-19, absent 2020-06-09)Jun 9, 2020 · Control person left · inference
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