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••••• M••••••••• S••••••••
Legal name W••••• M••••••••• S••••••••• L••
Latest filing May 14, 2026
First filing on the tape Dec 22, 2011 · 15 filings
SEC status approved since Jan 18, 2022
RAUM
$173M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$163M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$173M
derived; firm RAUM over IAPD count
Employees
4
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$173M as of May 14, 2026
Mar 29, 2012$45.8M then
HNW client RAUM$143M as of May 14, 2026
Mar 29, 2022$138M then
State-registered IARs (5.B.3)2 as of May 14, 2026
Mar 29, 20120 then
Employees (5.A)4 as of May 14, 2026
Mar 29, 20225 then
Private funds: no history
RAUM +11% over the last fiscal year+6.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 14, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $173MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 99derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $419,876derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $10.4M, 35 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$143M83%
- Individuals$19.9M12%
- Pension and profit-sharing plans$9.6M5.6%
- Individual clients
- 46reported
- HNW clients
- 53reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 411reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $10.4M for 35 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• S•••• R••••••••Certified Financial Planner | S••••Sdale, Az | Sep 2, 2003 | 25 y | 1 |
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 headcount1 left over 36 months
Left, latest
- J••••• A••••• V•••••• to T••••••••• F••••• W•••••Mar 13, 2024 · RIA to a state-registered adviser
- M•••••• P••• C••••• to W•••• F•••• A•••••••Jan 28, 2021 · Other
- J•••• A•• K••• to D••••••Mar 30, 2015 · Other
- D••• M•••• A•••••• to S••••••• M••••• L••Jul 12, 2011 · Other
- K••••••• M•••• M••••• to S••••••• M••••• L••Jul 12, 2011 · Other
- S•••• A••• M••••• to N•• E•••••• S••••••••• C•••••••••Apr 24, 2009 · Other
- B•••• T••••• D••••• to S••••••• M••••• L••Apr 24, 2009 · Other
Joined, latest
- M•••••• P••• C••••• from C•••••• S••••• • C••• I•••Dec 7, 2018 · Other
- J••••• A••••• V•••••• from P•• M•••••• A•••••• S••••••••• I•••Mar 10, 2014 · Other
- J•••• A•• K••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jan 3, 2012 · Other
- D••• M•••• A•••••• from H•••••• P••••• F•••••••• S••••••• L••Sep 1, 2006 · Other
- D•••• S•••• R•••••••• from C•••••• L••Sep 2, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••••• D••••• S•••• · Chief Compliance Officer, Principal, Senior Financial Advisor, Managing Membercontrolsince 06/2003 · owns 75% or more
Related persons
Schedule D 7.A
- W•• F•••• I••••• F••• I• L••pooled vehicle sponsorn
- W•• F••• M••••••••• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| S••••Sdale, Az · principal | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 507 to 411Mar 27, 2025 to Mar 23, 2026
- Individual clients · 51 to 46Mar 27, 2025 to Mar 23, 2026
- Assets in custody · $11.6M to $10.4MMar 27, 2025 to Mar 23, 2026
- Discretionary RAUM · $152M to $173MMar 27, 2025 to Mar 23, 2026
- HNW RAUM · $129M to $143MMar 27, 2025 to Mar 23, 2026
- Individual RAUM · $19.5M to $19.9MMar 27, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $3.3M to $0Mar 27, 2025 to Mar 23, 2026
- Pension RAUM · $6.4M to $9.6MMar 27, 2025 to Mar 23, 2026
- RAUM · $155M to $173MMar 27, 2025 to Mar 23, 2026
- Accounts · 558 to 507Mar 29, 2024 to Mar 27, 2025
- Advisory employees · 3 to 2Mar 29, 2024 to Mar 27, 2025
- HNW clients · 52 to 53Mar 29, 2024 to Mar 27, 2025
- Individual clients · 58 to 51Mar 29, 2024 to Mar 27, 2025
- Assets in custody · $12.0M to $11.6MMar 29, 2024 to Mar 27, 2025
- Employees · 5 to 4Mar 29, 2024 to Mar 27, 2025
- Financial planning clients · 51-100 to 51-100Mar 29, 2024 to Mar 27, 2025
- State-registered IARs · 3 to 2Mar 29, 2024 to Mar 27, 2025
- Discretionary RAUM · $152M to $152MMar 29, 2024 to Mar 27, 2025
- HNW RAUM · $125M to $129MMar 29, 2024 to Mar 27, 2025
- Individual RAUM · $24.4M to $19.5MMar 29, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $3.0M to $3.3MMar 29, 2024 to Mar 27, 2025
- Pension RAUM · $5.3M to $6.4MMar 29, 2024 to Mar 27, 2025
- RAUM · $155M to $155MMar 29, 2024 to Mar 27, 2025
- Accounts · 526 to 558Mar 29, 2023 to Mar 29, 2024
- HNW clients · 53 to 52Mar 29, 2023 to Mar 29, 2024
- Individual clients · 56 to 58Mar 29, 2023 to Mar 29, 2024
- Pension plan clients · 4.0 to unsetMar 29, 2023 to Mar 29, 2024
- Assets in custody · $11.0M to $12.0MMar 29, 2023 to Mar 29, 2024
- Discretionary RAUM · $138M to $152MMar 29, 2023 to Mar 29, 2024
- HNW RAUM · $115M to $125MMar 29, 2023 to Mar 29, 2024
- Individual RAUM · $21.6M to $24.4MMar 29, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $3.2M to $3.0MMar 29, 2023 to Mar 29, 2024
- Pension RAUM · $5.1M to $5.3MMar 29, 2023 to Mar 29, 2024
- RAUM · $142M to $155MMar 29, 2023 to Mar 29, 2024
- Accounts · 519 to 526Mar 29, 2022 to Mar 29, 2023
- HNW clients · 65 to 53Mar 29, 2022 to Mar 29, 2023
- Individual clients · 38 to 56Mar 29, 2022 to Mar 29, 2023
- Pension plan clients · 5 to 4Mar 29, 2022 to Mar 29, 2023
- Assets in custody · $13.5M to $11.0MMar 29, 2022 to Mar 29, 2023
- Financial planning clients · 101-250 to 51-100Mar 29, 2022 to Mar 29, 2023
Signals
2 dated events
- J••••• A••••• V•••••• left W••••• M••••••••• S•••••••• for T••••••••• F••••• W••••• (registered 2024-05-23)Mar 13, 2024 · Advisor changed firm · fact
- W••••• M••••••••• S•••••••• filed its initial SEC registration (Form ADV)Dec 6, 2021 · 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
- contact@wmsus.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jen@wmsus.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- rebecca@wmsus.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 480-609-4335reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 480-609-4334reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/wealth-management-solutions-llc/about/?reportedpublic record, Form ADV, Sep 18, 2026
- Website
- wmsus.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 480-609-4334reportedpublic record, Form ADV, May 14, 2026
- Contact form
- wmsus.com/contact-usreportedpublished 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
- $173Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026