DFX Intelligence
RIA Intelligence
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SEC-registered adviser
I••••••• W••••• M•••••••••
Legal name D•••••• • W•••••• L••
Latest filing Feb 6, 2026
First filing on the tape Mar 5, 2012 · 35 filings
SEC status approved since Mar 4, 2008
RAUM
$187M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$187M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$62.5M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$187M as of Feb 6, 2026
Mar 5, 2012$64.4M then
HNW client RAUM$141M as of Feb 6, 2026
Mar 22, 2018$43.0M then
State-registered IARs (5.B.3)3 as of Feb 6, 2026
Mar 5, 20120 then
Employees (5.A)5 as of Feb 6, 2026
Apr 1, 20133 then
Private funds: no history
RAUM +17% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $62.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $332,336derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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
- -11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$141M75%
- Individuals$46.9M25%
- Individual clients
- 130reported
- HNW clients
- 41reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 564reported
- Financial planning clients
- 1-10reported
- 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=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••• J•••• W•••••Certified Financial Planner | Brewster, Ny | Sep 16, 2004 | 28 y | 0 |
| M•••••• A•••••• D••••••Certified Financial Planner | Brewster, Ny | Aug 3, 2010 | 30 y | 0 |
| J•••• F• L•••• | Brewster, Ny | Aug 20, 2021 | 40 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
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
- D••••••• M••••••• A•••••• · Managing Membercontrolsince 09/2003 · owns 50% to 75%
- W•••••• G•••••• J•••• · Managing Member/Chief Compliance Officercontrolsince 05/2003 · 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 |
|---|---|---|---|---|---|
| Brewster, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 563 to 564Jan 5, 2026 to Feb 6, 2026
- HNW clients · 36 to 41Jan 5, 2026 to Feb 6, 2026
- Individual clients · 157 to 130Jan 5, 2026 to Feb 6, 2026
- Discretionary RAUM · $161M to $187MJan 5, 2026 to Feb 6, 2026
- HNW RAUM · $110M to $141MJan 5, 2026 to Feb 6, 2026
- Individual RAUM · $50.7M to $46.9MJan 5, 2026 to Feb 6, 2026
- RAUM · $161M to $187MJan 5, 2026 to Feb 6, 2026
- Accounts · 547 to 563May 30, 2024 to Mar 3, 2025
- HNW clients · 31 to 36May 30, 2024 to Mar 3, 2025
- Individual clients · 160 to 157May 30, 2024 to Mar 3, 2025
- Financial planning clients · 1-10 to 1-10May 30, 2024 to Mar 3, 2025
- Discretionary RAUM · $141M to $161MMay 30, 2024 to Mar 3, 2025
- HNW RAUM · $88.9M to $110MMay 30, 2024 to Mar 3, 2025
- Individual RAUM · $52.5M to $50.7MMay 30, 2024 to Mar 3, 2025
- RAUM · $141M to $161MMay 30, 2024 to Mar 3, 2025
- Accounts · 542 to 547Feb 28, 2023 to Feb 7, 2024
- HNW clients · 26 to 31Feb 28, 2023 to Feb 7, 2024
- Individual clients · 173 to 160Feb 28, 2023 to Feb 7, 2024
- Discretionary RAUM · $126M to $141MFeb 28, 2023 to Feb 7, 2024
- HNW RAUM · $71.4M to $88.9MFeb 28, 2023 to Feb 7, 2024
- Individual RAUM · $54.5M to $52.5MFeb 28, 2023 to Feb 7, 2024
- RAUM · $126M to $141MFeb 28, 2023 to Feb 7, 2024
- Accounts · 533 to 542Apr 19, 2022 to Feb 28, 2023
- HNW clients · 35 to 26Apr 19, 2022 to Feb 28, 2023
- Individual clients · 146 to 173Apr 19, 2022 to Feb 28, 2023
- Financial planning clients · 11-25 to 1-10Apr 19, 2022 to Feb 28, 2023
- Discretionary RAUM · $155M to $126MApr 19, 2022 to Feb 28, 2023
- HNW RAUM · $100M to $71.4MApr 19, 2022 to Feb 28, 2023
- Individual RAUM · $55.3M to $54.5MApr 19, 2022 to Feb 28, 2023
- RAUM · $155M to $126MApr 19, 2022 to Feb 28, 2023
- Accounts · 501 to 533Apr 16, 2021 to Feb 3, 2022
- Financial planning clients · 26-50 to 11-25Apr 16, 2021 to Feb 3, 2022
- Discretionary RAUM · $127M to $155MApr 16, 2021 to Feb 3, 2022
- HNW RAUM · $82.0M to $100MApr 16, 2021 to Feb 3, 2022
- Individual RAUM · $45.3M to $55.3MApr 16, 2021 to Feb 3, 2022
- RAUM · $127M to $155MApr 16, 2021 to Feb 3, 2022
- Accounts · 500 to 501Jun 19, 2020 to Mar 8, 2021
- HNW clients · 29 to 35Jun 19, 2020 to Mar 8, 2021
- Individual clients · 148 to 146Jun 19, 2020 to Mar 8, 2021
- Discretionary RAUM · $107M to $127MJun 19, 2020 to Mar 8, 2021
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.
How to reach
public business contact points only, each with its source
- Business phone
- 845-278-8638reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 845-278-8640reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.i•••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (845) 278-8638reportedpublic record, Form ADV, Feb 6, 2026
- Contact form
- i•••••.comreportedpublished 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
- $62.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026