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••••• I•••• A•••••••
Legal name W••••• I•••• A•••••••• L••
Latest filing Jul 8, 2026
First filing on the tape May 8, 2019 · 15 filings
SEC status approved since Jun 7, 2019
RAUM
$221M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$201M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$221M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$221M as of Jul 8, 2026
Mar 30, 2020$128M then
HNW client RAUM$159M as of Jul 8, 2026
Mar 30, 2020$69.5M then
State-registered IARs (5.B.3)1 as of Jul 8, 2026
Mar 30, 20202 then
Employees (5.A)4 as of Jul 8, 2026
Mar 30, 20203 then
Private funds: no history
RAUM +8.7% over the last fiscal year+11% a year over threeIARs 1 to 1offices 0 to 1
Practice profile
derived from the filing of Jul 8, 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
- $221MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 184derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $335,795derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.2%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $27.4M, 47 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$159M72%
- Individuals$42.2M19%
- Pension and profit-sharing plans$18.0M8.1%
- Corporations and businesses$2.2M1.0%
- Individual clients
- 109reported
- HNW clients
- 75reported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 659reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $27.4M for 47 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.08 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 |
|---|---|---|---|---|
| M•••••• J•••• D•••••••Certified Financial Planner | Prosper, Tx | Sep 17, 2004 | 24 y | 2 |
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
- G•••••• B•••• W••••••• to C•••• F••••• W••••• A•••••••• I•••Jan 2, 2023 · RIA to RIA
Joined, latest
- M•••••• J•••• D••••••• from I••••••••• A••••••• G•••• C•••Sep 17, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• M••••••• J•••• · Principal. Chief Compliance Officercontrolsince 07/2004 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Jul 8, 2026custody of client assets (Item 9.A): no on the filing of 2026-03-30, yes on the filing of 2026-07-08peers: WEALTH_I•••••••••, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Assets in custody · unset to 27398000.0Mar 30, 2026 to Jul 8, 2026
- Custody of client assets · false to trueMar 30, 2026 to Jul 8, 2026
- Accounts · 666 to 659Mar 21, 2025 to Mar 30, 2026
- HNW clients · 74 to 75Mar 21, 2025 to Mar 30, 2026
- Individual clients · 106 to 109Mar 21, 2025 to Mar 30, 2026
- Pension plan clients · 7 to 10Mar 21, 2025 to Mar 30, 2026
- Employees · 3 to 4Mar 21, 2025 to Mar 30, 2026
- Other offices · 0 to 1Mar 21, 2025 to Mar 30, 2026
- Discretionary RAUM · $203M to $221MMar 21, 2025 to Mar 30, 2026
- HNW RAUM · $146M to $159MMar 21, 2025 to Mar 30, 2026
- Individual RAUM · $38.4M to $42.2MMar 21, 2025 to Mar 30, 2026
- Pension RAUM · $16.9M to $18.0MMar 21, 2025 to Mar 30, 2026
- RAUM · $203M to $221MMar 21, 2025 to Mar 30, 2026
- Accounts · 631 to 666Apr 25, 2024 to Mar 21, 2025
- Charity clients · 1.0 to unsetApr 25, 2024 to Mar 21, 2025
- HNW clients · 63 to 74Apr 25, 2024 to Mar 21, 2025
- Individual clients · 115 to 106Apr 25, 2024 to Mar 21, 2025
- Pension plan clients · 8 to 7Apr 25, 2024 to Mar 21, 2025
- Financial planning clients · 101-250 to 101-250Apr 25, 2024 to Mar 21, 2025
- Other offices · 1 to 0Apr 25, 2024 to Mar 21, 2025
- Discretionary RAUM · $180M to $203MApr 25, 2024 to Mar 21, 2025
- HNW RAUM · $121M to $146MApr 25, 2024 to Mar 21, 2025
- Individual RAUM · $42.6M to $38.4MApr 25, 2024 to Mar 21, 2025
- Pension RAUM · $13.9M to $16.9MApr 25, 2024 to Mar 21, 2025
- RAUM · $180M to $203MApr 25, 2024 to Mar 21, 2025
- Accounts · 624 to 631Mar 28, 2023 to Mar 26, 2024
- Corporate clients · 1 to 3Mar 28, 2023 to Mar 26, 2024
- HNW clients · 61 to 63Mar 28, 2023 to Mar 26, 2024
- Individual clients · 118 to 115Mar 28, 2023 to Mar 26, 2024
- Pension plan clients · 9 to 8Mar 28, 2023 to Mar 26, 2024
- Discretionary RAUM · $161M to $180MMar 28, 2023 to Mar 26, 2024
- HNW RAUM · $115M to $121MMar 28, 2023 to Mar 26, 2024
- Individual RAUM · $32.6M to $42.6MMar 28, 2023 to Mar 26, 2024
- Pension RAUM · $12.3M to $13.9MMar 28, 2023 to Mar 26, 2024
- RAUM · $161M to $180MMar 28, 2023 to Mar 26, 2024
- Accounts · 602 to 624Oct 17, 2022 to Mar 28, 2023
- Advisory employees · 3 to 1Oct 17, 2022 to Mar 28, 2023
- Charity clients · 3 to 1Oct 17, 2022 to Mar 28, 2023
- HNW clients · 47 to 61Oct 17, 2022 to Mar 28, 2023
- Individual clients · 129 to 118Oct 17, 2022 to Mar 28, 2023
Signals
2 dated events
- G•••••• B•••• W••••••• left W••••• I•••• A••••••• for C•••• F••••• W••••• A•••••••• I••• (registered 2023-01-12)Jan 2, 2023 · Advisor changed firm · fact
- F•••••••• I••••••••• L•• filed its initial SEC registration (Form ADV)May 8, 2019 · 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
- m•••@w•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 214-853-4224reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-931-5110reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 972-931-0063reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- W•••••I••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 972-931-0063reportedpublic record, Form ADV, Jul 8, 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
- $221Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026