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••••••••• C•••••• S••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jul 2, 2015 · 30 filings
SEC status approved since Jul 27, 2015
RAUM
$277M
reported, Item 5.F
Discretionary
56%
of RAUM
Private clients
98%
$270M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$46.2M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$277M as of Mar 30, 2026
Mar 30, 2016$47.1M then
HNW client RAUM$216M as of Mar 30, 2026
Mar 29, 2018$13.0M then
State-registered IARs (5.B.3)6 as of Mar 30, 2026
Mar 30, 20167 then
Employees (5.A)6 as of Mar 30, 2026
Mar 30, 20169 then
Private funds: no history
RAUM +7.3% over the last fiscal year+7.6% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $46.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.0MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 56%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $62.8MreportedItem 5.I
- 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$216M78%
- Individuals$54.2M20%
- Corporations and businesses$6.7M2.4%
- Individual clients
- 140reported
- HNW clients
- 31reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 258reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $62.8M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=6.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• B•••• D•••••••• | Garden City, Ny | Jun 17, 2014 | 34 y | 2 |
| J••• S•• G••••••Certified Financial Planner | Garden City, Ny | Aug 19, 2015 | 25 y | 2 |
| D•••• E••••• A••••• | Garden City, Ny | Dec 16, 2015 | 16 y | 3 |
| D••••• P•••• L•• | Garden City, Ny | Feb 15, 2019 | 17 y | 0 |
| J•••• A••••• M•••• | Bonita Springs, Fl | Jun 10, 2019 | 45 y | 1 |
| J••• C•••••• B••••• | Naples, Fl | Oct 22, 2019 | 46 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 headcount0 left over 36 months
Left, latest
- J••••• D•••••••• to E••••• J••••Feb 2, 2022 · RIA to affiliated broker-dealer or bank
- V••••••• U••••• to I••••••••• P•••••• W••••• M••••••••• I•••Oct 4, 2021 · RIA to RIA
- B•••• R•••••• to C••••••••• C•••••• L••Dec 9, 2020 · RIA to a state-registered adviser
- D••• J••••• J•••••• to J•••••• C•••••• G••••• A••••••• L•••••May 2, 2018 · RIA to a state-registered adviser
- S•••• D•••• L•••• to L•••••••• W••••• M••••••••• L••Jul 3, 2017 · Other
Joined, latest
- J••••• D•••••••• from P••••• F•••••••• S•••••••• L••May 17, 2021 · RIA to RIA
- J••• C•••••• B••••• from R•• C•••••• M••••••• L••Oct 22, 2019 · Affiliated broker-dealer or bank to independent RIA
- J•••• A••••• M•••• from R•• C•••••• M••••••• L••Jun 10, 2019 · Affiliated broker-dealer or bank to independent RIA
- D••• J••••• J•••••• from S•••••••• S•••••••••Nov 25, 2016 · Other
- D•••• E••••• A••••• from C• W••••• M••••••••• L••Dec 16, 2015 · Other
- J••• S•• G•••••• from H••• S••••••••• •••• I•••Aug 19, 2015 · Other
- S•••• D•••• L•••• from C••••••••• C•••••• M••••••••• I•••Aug 10, 2015 · Other
- R••••• B•••• D•••••••• from C•••• D•••• • C••• I•••Jun 17, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• J••••• D••••• · Chairman Of Broker Dealer, General Principal, Government S••••••••• Principal, Msrb Principal, Elected Managercontrolsince 05/2008 · owns less than 5%
- D••••••••• R••••• B•••• · Ceo Of Broker Dealer, General Principal, Elected Managercontrolsince 10/2007 · owns less than 5%
- M••••• J••• · President Of Broker Dealer, General S••••••••• Principal, Elected Manager,Osj Supervisorcontrolsince 10/2007 · owns less than 5%
- C••••••• J••••• D••••• · Chairman Of Broker Dealer, Managing Membercontrolsince 10/2007 · owns 25% to 50% of W••••••••• C•••••• G••••• I•••
- D••••••••• R••••• B•••• · Ceo Of Broker Dealer And Investment Advisor, Managing Membercontrolsince 10/2007 · owns 25% to 50% of W••••••••• C•••••• G••••• I•••
- M••••• J••• · President Of Broker Dealer, Managing Membercontrolsince 10/2007 · owns 25% to 50% of W••••••••• C•••••• G••••• I•••
- L••• D••••• P•••• · Chief Compliance Officer And Aml Compliance Officer Of Broker Dealer And Investment Advisor, Registered Options Principalsince 01/2018 · owns less than 5%
- S••••••• R•••• M••• · Finop, Principal Financial Officer & Principal Operations Officersince 06/2019 · owns less than 5%
Entity owners
- W••••••••• C•••••• G••••• I••• · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- W••••••••• C•••••• S••••••••• L••broker-dealernRAUM $277M
Advisers that list W••••••••• C•••••• S••••••••• L•• as a related person
- 133839 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Garden City, Ny · principal | 6 | 0 | 0 | ||
| Naples, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY4 employees
- East Hampton, NY1 employees
- Naples, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 279 to 258Nov 3, 2025 to Mar 30, 2026
- Corporate clients · 8 to 6Nov 3, 2025 to Mar 30, 2026
- HNW clients · 46 to 31Nov 3, 2025 to Mar 30, 2026
- Individual clients · 138 to 140Nov 3, 2025 to Mar 30, 2026
- Discretionary RAUM · $149M to $155MNov 3, 2025 to Mar 30, 2026
- HNW RAUM · $213M to $216MNov 3, 2025 to Mar 30, 2026
- Individual RAUM · $37.5M to $54.2MNov 3, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $109M to $122MNov 3, 2025 to Mar 30, 2026
- RAUM · $258M to $277MNov 3, 2025 to Mar 30, 2026
- Wrap assets (sponsor) · $58.5M to $62.8MNov 3, 2025 to Mar 30, 2026
- Accounts · 259 to 279Feb 3, 2025 to Mar 31, 2025
- HNW clients · 36 to 46Feb 3, 2025 to Mar 31, 2025
- Individual clients · 179 to 138Feb 3, 2025 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Feb 3, 2025 to Mar 31, 2025
- Discretionary RAUM · $148M to $149MFeb 3, 2025 to Mar 31, 2025
- HNW RAUM · $199M to $213MFeb 3, 2025 to Mar 31, 2025
- Individual RAUM · $36.3M to $37.5MFeb 3, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $95.1M to $109MFeb 3, 2025 to Mar 31, 2025
- RAUM · $243M to $258MFeb 3, 2025 to Mar 31, 2025
- Wrap assets (sponsor) · $49.3M to $58.5MFeb 3, 2025 to Mar 31, 2025
- Accounts · 180 to 259Jun 1, 2023 to Mar 12, 2024
- Corporate clients · 5 to 8Jun 1, 2023 to Mar 12, 2024
- HNW clients · 30 to 36Jun 1, 2023 to Mar 12, 2024
- Individual clients · 180 to 179Jun 1, 2023 to Mar 12, 2024
- Discretionary RAUM · $146M to $148MJun 1, 2023 to Mar 12, 2024
- HNW RAUM · $185M to $199MJun 1, 2023 to Mar 12, 2024
- Individual RAUM · $33.5M to $36.3MJun 1, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $76.7M to $95.1MJun 1, 2023 to Mar 12, 2024
- RAUM · $223M to $243MJun 1, 2023 to Mar 12, 2024
- Wrap assets (sponsor) · $40.4M to $49.3MJun 1, 2023 to Mar 12, 2024
- Accounts · 242 to 180Oct 26, 2022 to Mar 28, 2023
- HNW clients · 22 to 30Oct 26, 2022 to Mar 28, 2023
- Individual clients · 136 to 180Oct 26, 2022 to Mar 28, 2023
- Discretionary RAUM · $157M to $146MOct 26, 2022 to Mar 28, 2023
- HNW RAUM · $181M to $185MOct 26, 2022 to Mar 28, 2023
- Individual RAUM · $47.8M to $33.5MOct 26, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $80.2M to $76.7MOct 26, 2022 to Mar 28, 2023
- RAUM · $237M to $223MOct 26, 2022 to Mar 28, 2023
- Wrap assets (sponsor) · $40.6M to $40.4MOct 26, 2022 to Mar 28, 2023
- Accounts · 236 to 242Mar 17, 2021 to Mar 15, 2022
Signals
2 dated events
- J••••• D•••••••• left W••••••••• C•••••• S••••••••• L•• for E••••• J•••• (registered 2024-02-27)Feb 2, 2022 · Advisor changed firm · fact
- W••••••••• C•••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Jul 2, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Wilmington Capital Securities · Venture Capitalshared crd · org
How to reach
public business contact points only, each with its source
- Business email
- info@daveastorr.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 631-324-5206reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 516-750-6200reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- DAVEASTORR.COM/contact.htmlreportedpublished by the firm, firm site, Sep 15, 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
- $46.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026