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••••••••• A••••••••• L•••••
Latest filing Feb 24, 2026
First filing on the tape May 11, 2022 · 7 filings
SEC status approved since Jun 9, 2022
RAUM
$200M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$200M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$200M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$200M as of Feb 24, 2026
Mar 13, 2023$120M then
HNW client RAUM$197M as of Feb 24, 2026
Mar 13, 2023$103M then
State-registered IARs (5.B.3)1 as of Feb 24, 2026
Mar 13, 20232 then
Employees (5.A)2 as of Feb 24, 2026
Mar 13, 20233 then
Private funds: no history
RAUM +19% over the last fiscal year+19% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $200MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $565,739derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- 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$197M98%
- Individuals$3.2M1.6%
- Charitable organizations$21,1140.0%
- Individual clients
- 7reported
- HNW clients
- 58reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 354reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• J•• W••••••••• | Lawrenceville, Nj | Aug 28, 2003 | 23 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 headcount1 left over 36 months
Left, latest
- F•••• A•••••• F•••••••• to O••• 3•• W•••••• I•••May 14, 2024 · RIA to RIA
Joined, latest
- F•••• A•••••• F•••••••• from S••••• F•••••••• M••••••••• L••Apr 8, 2019 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••••• K••••••• J•• · President Of Financial Planning Services, Ccocontrolsince 05/2003 · owns 50% to 75%
- W••••••••• T••••• M••••••• · President Of Tax Servicescontrolsince 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 |
|---|---|---|---|---|---|
| Lawrenceville, Nj · principal | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 408 to 354Mar 7, 2025 to Feb 24, 2026
- HNW clients · 57 to 58Mar 7, 2025 to Feb 24, 2026
- Individual clients · 8 to 7Mar 7, 2025 to Feb 24, 2026
- Discretionary RAUM · $163M to $195MMar 7, 2025 to Feb 24, 2026
- HNW RAUM · $163M to $197MMar 7, 2025 to Feb 24, 2026
- Individual RAUM · $4.2M to $3.2MMar 7, 2025 to Feb 24, 2026
- Non-discretionary RAUM · $4.6M to $5.3MMar 7, 2025 to Feb 24, 2026
- RAUM · $168M to $200MMar 7, 2025 to Feb 24, 2026
- Accounts · 350 to 408Sep 23, 2024 to Mar 7, 2025
- HNW clients · 53 to 57Sep 23, 2024 to Mar 7, 2025
- Individual clients · 10 to 8Sep 23, 2024 to Mar 7, 2025
- Financial planning clients · 51-100 to 51-100Sep 23, 2024 to Mar 7, 2025
- Discretionary RAUM · $132M to $163MSep 23, 2024 to Mar 7, 2025
- HNW RAUM · $129M to $163MSep 23, 2024 to Mar 7, 2025
- Individual RAUM · $5.5M to $4.2MSep 23, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $2.9M to $4.6MSep 23, 2024 to Mar 7, 2025
- RAUM · $134M to $168MSep 23, 2024 to Mar 7, 2025
- Accounts · 359 to 350Mar 13, 2023 to Mar 21, 2024
- Advisory employees · 2 to 1Mar 13, 2023 to Mar 21, 2024
- HNW clients · 39 to 53Mar 13, 2023 to Mar 21, 2024
- Individual clients · 21 to 10Mar 13, 2023 to Mar 21, 2024
- Employees · 3 to 2Mar 13, 2023 to Mar 21, 2024
- Financial planning clients · 26-50 to 51-100Mar 13, 2023 to Mar 21, 2024
- State-registered IARs · 2 to 1Mar 13, 2023 to Mar 21, 2024
- Discretionary RAUM · $110M to $132MMar 13, 2023 to Mar 21, 2024
- HNW RAUM · $103M to $129MMar 13, 2023 to Mar 21, 2024
- Individual RAUM · $16.1M to $5.5MMar 13, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $10.2M to $2.9MMar 13, 2023 to Mar 21, 2024
- RAUM · $120M to $134MMar 13, 2023 to Mar 21, 2024
- Accounts · 319 to 359May 11, 2022 to Mar 13, 2023
- Charity clients · 1 to 0May 11, 2022 to Mar 13, 2023
- HNW clients · 45 to 39May 11, 2022 to Mar 13, 2023
- Individual clients · 23 to 21May 11, 2022 to Mar 13, 2023
- Discretionary RAUM · $112M to $110MMay 11, 2022 to Mar 13, 2023
- HNW RAUM · $117M to $103MMay 11, 2022 to Mar 13, 2023
- Individual RAUM · $6.7M to $16.1MMay 11, 2022 to Mar 13, 2023
- Non-discretionary RAUM · $11.5M to $10.2MMay 11, 2022 to Mar 13, 2023
- RAUM · $124M to $120MMay 11, 2022 to Mar 13, 2023
Signals
2 dated events
- F•••• A•••••• F•••••••• left W••••••••• A••••••••• L••••• for O••• 3•• W•••••• I••• (registered 2024-05-14)May 14, 2024 · Advisor changed firm · fact
- W••••••••• A••••••••• L••••• filed its initial SEC registration (Form ADV)May 11, 2022 · 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 phone
- 609-288-8460reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 609-620-1770reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- W•••••••••ASSOCIATES.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 609-620-1770reportedpublic record, Form ADV, Feb 24, 2026
- Team page
- weingartenassociates.com/team-member-01/ken-weingartenreportedpublished 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
- $200Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026