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•••••••••
Latest filing Mar 30, 2026
First filing on the tape Mar 22, 2012 · 28 filings
SEC status approved since Dec 4, 2014
RAUM
$251M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$251M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$251M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$251M as of Mar 30, 2026
Mar 22, 2012$47.6M then
HNW client RAUM$63.9M as of Mar 30, 2026
Mar 30, 2018$23.2M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 22, 20120 then
Employees (5.A)4 as of Mar 30, 2026
Feb 9, 20155 then
Private funds: no history
RAUM +18% over the last fiscal year+16% 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $251MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1,061derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $157,264derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Custody
- $3.0M, 3 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$187M75%
- High-net-worth individuals$63.9M25%
- Individual clients
- 1,031reported
- HNW clients
- 30reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,593reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.0M for 3 clientsreported
- Compensation
- % of AUMreported
- 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 |
|---|---|---|---|---|
| P••••• P•••••• S••••• | Louisville, Ky | Jun 13, 2006 | 27 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 headcount1 left over 36 months
Left, latest
- B•••••••• S•••••• to P•• W••••• M•••••••••Sep 19, 2024 · RIA to affiliated broker-dealer or bank
- J••• J••••• M••••••• to A••••••••• F•••••••• S•••••••• L••Jul 20, 2021 · RIA to affiliated broker-dealer or bank
- H••••• B•••• N••••••• to M•• A•••••••• L••Aug 3, 2015 · Other
Joined, latest
- B•••••••• S•••••• from P•••• S••••••••• L••Jul 25, 2024 · Affiliated broker-dealer or bank to independent RIA
- J••• J••••• M••••••• from T•• A•••••••• I•••May 11, 2021 · Affiliated broker-dealer or bank to independent RIA
- P••••• P•••••• S••••• from R•••••• J•••• F•••••••• S•••••••• I•••Jun 13, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• N•••••• T••• · Chief Compliance Officer & Presidentcontrolsince 06/2013 · owns less than 5%
- S•••••• P•••••• P•••••• · Chief Investment Officer & Secretarycontrolsince 06/2006 · 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 |
|---|---|---|---|---|---|
| Louisville, Ky · principal | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,556 to 1,593Jul 3, 2025 to Mar 30, 2026
- Individual clients · 1,000 to 1,031Jul 3, 2025 to Mar 30, 2026
- Assets in custody · $3.0M to $3.0MJul 3, 2025 to Mar 30, 2026
- Discretionary RAUM · $213M to $251MJul 3, 2025 to Mar 30, 2026
- HNW RAUM · $58.3M to $63.9MJul 3, 2025 to Mar 30, 2026
- Individual RAUM · $155M to $187MJul 3, 2025 to Mar 30, 2026
- RAUM · $213M to $251MJul 3, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 27, 2025 to Jul 3, 2025
- Accounts · 1,017 to 1,556Feb 28, 2024 to Mar 27, 2025
- HNW clients · 22 to 30Feb 28, 2024 to Mar 27, 2025
- Individual clients · 967 to 1,000Feb 28, 2024 to Mar 27, 2025
- Assets in custody · $2.7M to $3.0MFeb 28, 2024 to Mar 27, 2025
- Employees · 3 to 4Feb 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $190M to $213MFeb 28, 2024 to Mar 27, 2025
- HNW RAUM · $52.2M to $58.3MFeb 28, 2024 to Mar 27, 2025
- Individual RAUM · $138M to $155MFeb 28, 2024 to Mar 27, 2025
- RAUM · $190M to $213MFeb 28, 2024 to Mar 27, 2025
- Accounts · 1,365 to 1,017Mar 1, 2023 to Feb 28, 2024
- HNW clients · 20 to 22Mar 1, 2023 to Feb 28, 2024
- Individual clients · 824 to 967Mar 1, 2023 to Feb 28, 2024
- Assets in custody · $2.2M to $2.7MMar 1, 2023 to Feb 28, 2024
- Discretionary RAUM · $160M to $190MMar 1, 2023 to Feb 28, 2024
- HNW RAUM · $40.5M to $52.2MMar 1, 2023 to Feb 28, 2024
- Individual RAUM · $120M to $138MMar 1, 2023 to Feb 28, 2024
- RAUM · $160M to $190MMar 1, 2023 to Feb 28, 2024
- Accounts · 1,299 to 1,365Mar 10, 2022 to Mar 1, 2023
- HNW clients · 32 to 20Mar 10, 2022 to Mar 1, 2023
- Individual clients · 819 to 824Mar 10, 2022 to Mar 1, 2023
- Assets in custody · $2.9M to $2.2MMar 10, 2022 to Mar 1, 2023
- Discretionary RAUM · $200M to $160MMar 10, 2022 to Mar 1, 2023
- HNW RAUM · $61.7M to $40.5MMar 10, 2022 to Mar 1, 2023
- Individual RAUM · $138M to $120MMar 10, 2022 to Mar 1, 2023
- RAUM · $200M to $160MMar 10, 2022 to Mar 1, 2023
- Accounts · 1,327 to 1,299Mar 31, 2021 to Mar 10, 2022
- HNW clients · 25 to 32Mar 31, 2021 to Mar 10, 2022
- Individual clients · 798 to 819Mar 31, 2021 to Mar 10, 2022
- Assets in custody · $2.7M to $2.9MMar 31, 2021 to Mar 10, 2022
- Discretionary RAUM · $174M to $200MMar 31, 2021 to Mar 10, 2022
- HNW RAUM · $44.7M to $61.7MMar 31, 2021 to Mar 10, 2022
- Individual RAUM · $129M to $138MMar 31, 2021 to Mar 10, 2022
Signals
2 dated events
- B•••••••• S•••••• left W••••••• C••••••••• for P•• W••••• M••••••••• (registered 2024-11-26)Sep 19, 2024 · Advisor changed firm · fact
- W••••••• C••••••••• filed its initial SEC registration (Form ADV)Nov 18, 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
- Business phone
- 502-410-0468reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 502-413-6893reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/wealthmdretirernreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 502-413-6893reportedpublic record, Form ADV, Mar 30, 2026
- Team page
- wealthmd.net/teamreportedpublished 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
- $251Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026