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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
W••••••••• W••••• A•••••••• L••
Latest filing Feb 16, 2026
First filing on the tape Mar 24, 2012 · 22 filings
SEC status approved since May 29, 2018
RAUM
$165M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
98%
$161M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$165M as of Feb 16, 2026
Mar 24, 2012$69.8M then
HNW client RAUM$130M as of Feb 16, 2026
Mar 29, 2019$76.8M then
State-registered IARs (5.B.3)1 as of Feb 16, 2026
Mar 24, 20120 then
Employees (5.A)1 as of Feb 16, 2026
Mar 29, 20192 then
Private funds: no history
RAUM +9.9% over the last fiscal year+7.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 16, 2026; every figure names its basis
- RAUM per advisor
- $165MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 148derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $413,169derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.9%derived
- Compensation
- percentage of assets, 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$130M79%
- Individuals$30.6M19%
- Pension and profit-sharing plans$3.6M2.2%
- Charitable organizations$460,4960.3%
- Individual clients
- 97reported
- HNW clients
- 51reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 399reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- J••• C••••••••• M••••••• to A•••••••• W••••• P•••••••• L••Jul 7, 2026 · RIA to RIA
- M•••••• B•••••••• to S•• W••••• A•••••••• L••Jun 26, 2019 · RIA to RIA
Joined, latest
- J••• C••••••••• M••••••• from A••••••••• F•••••••• S•••••••• L••Apr 27, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• J•••• C••••••••• · Managing Member / Chief Compliance Officercontrolsince 04/2006 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Somerville, Nj | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 434 to 399Dec 12, 2025 to Feb 16, 2026
- HNW clients · 48 to 51Dec 12, 2025 to Feb 16, 2026
- Individual clients · 106 to 97Dec 12, 2025 to Feb 16, 2026
- Discretionary RAUM · $137M to $152MDec 12, 2025 to Feb 16, 2026
- HNW RAUM · $111M to $130MDec 12, 2025 to Feb 16, 2026
- Individual RAUM · $35.4M to $30.6MDec 12, 2025 to Feb 16, 2026
- Non-discretionary RAUM · $12.7M to $12.5MDec 12, 2025 to Feb 16, 2026
- Pension RAUM · $3.4M to $3.6MDec 12, 2025 to Feb 16, 2026
- RAUM · $150M to $165MDec 12, 2025 to Feb 16, 2026
- Accounts · 429 to 434Nov 6, 2024 to Feb 21, 2025
- HNW clients · 41 to 48Nov 6, 2024 to Feb 21, 2025
- Individual clients · 88 to 106Nov 6, 2024 to Feb 21, 2025
- Financial planning clients · 51-100 to 51-100Nov 6, 2024 to Feb 21, 2025
- HQ city · unset to Nov 6, 2024 to Feb 21, 2025
- HQ state · unset to Nov 6, 2024 to Feb 21, 2025
- Discretionary RAUM · $126M to $137MNov 6, 2024 to Feb 21, 2025
- HNW RAUM · $91.5M to $111MNov 6, 2024 to Feb 21, 2025
- Individual RAUM · $40.2M to $35.4MNov 6, 2024 to Feb 21, 2025
- Non-discretionary RAUM · $9.3M to $12.7MNov 6, 2024 to Feb 21, 2025
- Pension RAUM · $3.5M to $3.4MNov 6, 2024 to Feb 21, 2025
- RAUM · $136M to $150MNov 6, 2024 to Feb 21, 2025
- Accounts · 444 to 429Sep 12, 2023 to Mar 27, 2024
- HNW clients · 38 to 41Sep 12, 2023 to Mar 27, 2024
- Individual clients · 129 to 88Sep 12, 2023 to Mar 27, 2024
- Discretionary RAUM · $127M to $126MSep 12, 2023 to Mar 27, 2024
- HNW RAUM · $85.2M to $91.5MSep 12, 2023 to Mar 27, 2024
- Individual RAUM · $45.5M to $40.2MSep 12, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $7.6M to $9.3MSep 12, 2023 to Mar 27, 2024
- Pension RAUM · $3.4M to $3.5MSep 12, 2023 to Mar 27, 2024
- RAUM · $134M to $136MSep 12, 2023 to Mar 27, 2024
- Accounts · 481 to 444Mar 26, 2022 to Mar 25, 2023
- HNW clients · 49 to 38Mar 26, 2022 to Mar 25, 2023
- Individual clients · 115 to 129Mar 26, 2022 to Mar 25, 2023
- Discretionary RAUM · $147M to $127MMar 26, 2022 to Mar 25, 2023
- HNW RAUM · $107M to $85.2MMar 26, 2022 to Mar 25, 2023
- Individual RAUM · $43.9M to $45.5MMar 26, 2022 to Mar 25, 2023
- Non-discretionary RAUM · $9.1M to $7.6MMar 26, 2022 to Mar 25, 2023
- Pension RAUM · $3.9M to $3.4MMar 26, 2022 to Mar 25, 2023
- RAUM · $156M to $134MMar 26, 2022 to Mar 25, 2023
- Accounts · 475 to 481Mar 22, 2021 to Mar 25, 2022
Signals
3 dated events
- W••••••••• W••••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2026-07-01, RAUM $164.9M)Aug 3, 2026 · Left the SEC roster · derived
- J••• C••••••••• M••••••• left W••••••••• W••••• A•••••••• L•• for A•••••••• W••••• P•••••••• L•• (registered 2026-04-27)Jul 7, 2026 · Advisor changed firm · fact
- W••••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 26, 2018 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026