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•••••• A•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Dec 2, 2011 · 26 filings
SEC status approved since Jun 5, 2014
RAUM
$72.0M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
69%
$49.7M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$24.0M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$72.0M as of Mar 30, 2026
Mar 29, 2012$46.2M then
HNW client RAUM$47.7M as of Mar 30, 2026
Apr 3, 2018$26.8M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Apr 9, 20152 then
Employees (5.A)1 as of Mar 30, 2026
Apr 9, 20152 then
Private funds: no history
RAUM +16% over the last fiscal year+13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $24.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 13derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$47.7M85%
- Corporations and businesses$6.6M12%
- Individuals$2.0M3.6%
- Individual clients
- 11reported
- HNW clients
- 28reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 65reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.69 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 |
|---|---|---|---|---|
| R••••• E••••• F••••Certified Financial Planner | Denver, Co | May 25, 2007 | 41 y | 1 |
| L••• S•• W••••• | State College, Pa | Apr 12, 2011 | 26 y | 0 |
| E••••• T••••• W••••••••• | Denver, Co | Jun 6, 2011 | 27 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
- T••••• J• C••••••••• to V••• F•••••••• A•••••••• I•••Mar 21, 2016 · Other
- K••••••• L••••• T••••••• to D•••••••• • C•••••• L••Jan 28, 2013 · Other
- M•••••• J•••• T••••••••• to I••••••••• R••••••• C•••Dec 31, 2010 · Other
- P••• W•••••• F••••• to I••••••••• R••••••• C•••Dec 31, 2010 · Other
- A••••• J•••• F•••••• to H••••• • S••••• A••••••• S••••••• L••Dec 31, 2010 · Other
- B•••• J••••• R•••• to I••••••••• R••••••• C•••Jul 23, 2010 · Other
- E••• R••••• D•••• to I••••••••• P••••••• L••May 24, 2010 · Other
- W•••••• J••••• L••• to F••••• O••••• G•••• L••Oct 21, 2008 · Other
- B•••• M•••• R•••• to R•••• W••••• M•••••••••Jul 16, 2008 · Other
Joined, latest
- E••••• T••••• W••••••••• from A•• F•••••••• G•••• L••Jun 6, 2011 · Other
- M•••••• J•••• T••••••••• from B••• V••• S••••••••• L••Jan 13, 2009 · Other
- B•••• J••••• R•••• from 1••• C•••••• M••••••••• C••••••Jul 11, 2008 · Other
- W•••••• J••••• L••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 2, 2008 · Other
- E••• R••••• D•••• from I•• A•••• M••••••••• L•••Feb 11, 2008 · Other
- A••••• J•••• F•••••• from G•• S••••••••• I•••Jan 16, 2008 · Other
- B•••• M•••• R•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 25, 2007 · Other
- R••••• E••••• F•••• from 1••• C•••••• M••••••••• C••••••May 25, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• R•••••• E••••• · President/Ceocontrolsince 08/2008 · owns less than 5%
- J••••• D••••• D•••• · Chief Compliance Officercontrolsince 01/2013 · owns less than 5%
- T••••••• T••••••• E••••• · Ownercontrolsince 04/2004 · owns 75% or more of I••••••••• R••••••• C•••
Entity owners
- I••••••••• R••••••• C••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- I••••••••• R••••••• C•••investment adviseryRAUM $76.3M
Advisers that list W•••• C•••••• A•••••••• L•• as a related person
- 108208 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Denver, Co · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Manakin Sbot, VA1 employees
What changed
consecutive filings, newest first
- Accounts · 61 to 65Mar 31, 2025 to Mar 30, 2026
- HNW clients · 27 to 28Mar 31, 2025 to Mar 30, 2026
- Individual clients · 10 to 11Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $61.2M to $71.2MMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $47.0M to $47.7MMar 31, 2025 to Mar 30, 2026
- Individual RAUM · $1.2M to $2.0MMar 31, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $806,000 to $807,760Mar 31, 2025 to Mar 30, 2026
- RAUM · $62.0M to $72.0MMar 31, 2025 to Mar 30, 2026
- Accounts · 60 to 61Mar 30, 2024 to Mar 31, 2025
- Individual clients · 8 to 10Mar 30, 2024 to Mar 31, 2025
- Financial planning clients · 26-50 to 26-50Mar 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $56.2M to $61.2MMar 30, 2024 to Mar 31, 2025
- HNW RAUM · $37.9M to $47.0MMar 30, 2024 to Mar 31, 2025
- Individual RAUM · $1.2M to $1.2MMar 30, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $800,000 to $806,000Mar 30, 2024 to Mar 31, 2025
- RAUM · $57.0M to $62.0MMar 30, 2024 to Mar 31, 2025
- Accounts · 65 to 60Mar 30, 2023 to Mar 30, 2024
- Corporate clients · 6 to 3Mar 30, 2023 to Mar 30, 2024
- HNW clients · 11 to 27Mar 30, 2023 to Mar 30, 2024
- Individual clients · 20 to 8Mar 30, 2023 to Mar 30, 2024
- Discretionary RAUM · $49.2M to $56.2MMar 30, 2023 to Mar 30, 2024
- HNW RAUM · $30.1M to $37.9MMar 30, 2023 to Mar 30, 2024
- Individual RAUM · $4.9M to $1.2MMar 30, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $1.1M to $800,000Mar 30, 2023 to Mar 30, 2024
- RAUM · $50.3M to $57.0MMar 30, 2023 to Mar 30, 2024
- Accounts · 64 to 65Mar 30, 2022 to Mar 30, 2023
- Corporate clients · 7 to 6Mar 30, 2022 to Mar 30, 2023
- HNW clients · 16 to 11Mar 30, 2022 to Mar 30, 2023
- Individual clients · 17 to 20Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $53.6M to $49.2MMar 30, 2022 to Mar 30, 2023
- HNW RAUM · $35.6M to $30.1MMar 30, 2022 to Mar 30, 2023
- Individual RAUM · $3.1M to $4.9MMar 30, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $1.3M to $1.1MMar 30, 2022 to Mar 30, 2023
- RAUM · $54.9M to $50.3MMar 30, 2022 to Mar 30, 2023
- Accounts · 63 to 64Mar 31, 2021 to Mar 30, 2022
- HNW clients · 31 to 16Mar 31, 2021 to Mar 30, 2022
- Individual clients · 19 to 17Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $52.7M to $53.6MMar 31, 2021 to Mar 30, 2022
- HNW RAUM · $37.7M to $35.6MMar 31, 2021 to Mar 30, 2022
- Individual RAUM · $3.3M to $3.1MMar 31, 2021 to Mar 30, 2022
Signals
5 dated events
- Eugene Timothy Taggart (Owner) appeared on Schedule A of W•••• C•••••• A•••••••• L••Feb 3, 2020 · Control person joined · fact
- Ann Janis Fleck (Owner And Member) no longer on Schedule A of W•••• C•••••• A•••••••• L•• (listed 2019-04-17, absent 2020-02-03)Feb 3, 2020 · Control person left · inference
- Rose Carolina Fleck Walters (Owner And Member) no longer on Schedule A of W•••• C•••••• A•••••••• L•• (listed 2019-04-17, absent 2020-02-03)Feb 3, 2020 · Control person left · inference
- W•••• C•••••• A•••••••• L•• reported RAUM $102.3M, down 73% from $372.1M (2018-04-03 to 2019-04-17)Apr 17, 2019 · RAUM change · derived
- W•••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)May 12, 2014 · 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
- Principal office phone
- 804-267-7418reportedpublic record, Form ADV, Mar 30, 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
- $24.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026