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•••••••• P•••• P•••••••• L••
Latest filing Jan 16, 2026
First filing on the tape Apr 3, 2012 · 38 filings
SEC status approved since Jun 12, 2006
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
63%
$653M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$260M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$1.0B as of Jan 16, 2026
Apr 3, 2012$338M then
HNW client RAUM$629M as of Jan 16, 2026
Mar 30, 2018$394M then
State-registered IARs (5.B.3)4 as of Jan 16, 2026
Apr 3, 20120 then
Employees (5.A)6 as of Jan 16, 2026
Mar 28, 20136 then
Private funds: no history
RAUM +37% over the last fiscal year+17% a year over threeIARs 5 to 4offices 0 to 1
Practice profile
derived from the filing of Jan 16, 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
- $260MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.4MderivedHNW RAUM over HNW clients
- Average account
- $3.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +37%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Custody
- $49.9M, 2 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$629M61%
- Corporations and businesses$380M37%
- Individuals$24.0M2.3%
- Charitable organizations$5.5M0.5%
- Individual clients
- 56reported
- HNW clients
- 75reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 345reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $49.9M for 2 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.63 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• P••• D••••• | Providence, Ri | Jul 27, 2006 | 28 y | 2 |
| T•••• C••••• R••• | West Palm Beach, Fl | Jul 25, 2018 | 24 y | 2 |
| J••• P••••• G••••Chartered Financial Analyst | West Palm Beach, Fl | Aug 1, 2018 | 14 y | 1 |
| L••••• A••• S••••• | West Palm Beach, Fl | Jun 6, 2020 | 11 y | 0 |
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
- M•••••• G••••• C•••• to C••••• H••••••• L••Aug 7, 2018 · RIA to a newly registered adviser
- N••••••• G•••• T•••••• to C••••• H••••••• L••Jul 24, 2018 · RIA to a newly registered adviser
- K•••••• E••••• G••••••• to C••••• H••••••• L••Jul 24, 2018 · RIA to a newly registered adviser
- R••••• E•••• C••••• to C••••• H••••••• L••Mar 1, 2018 · Other
- R•••••• E••••• C••••••• to N••••• D••••• • S••••••• I••Mar 8, 2017 · Other
- J••••••• D•••• K••••••••• to E•••••••• C•••••• S••••••••• L••May 16, 2016 · Other
Joined, latest
- J••• P••••• G•••• from B••••••• F•••••••• P••••••• L••Aug 1, 2018 · RIA to RIA
- T•••• C••••• R••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 25, 2018 · Wirehouse to independent RIA
- N••••••• G•••• T•••••• from H••• S••••• A•••••••• L••Mar 10, 2017 · Other
- K•••••• E••••• G••••••• from G•••••••• F••••••••• I••Aug 30, 2016 · Other
- M•••••• G••••• C•••• from O••••••••• • C•• I•••Mar 27, 2015 · Other
- J••••••• D•••• K••••••••• from A••••••••• F•••••••• S•••••••• L••Feb 24, 2014 · Other
- R••••• E•••• C••••• from N•••••• I••••••••• M••••••••• L••Dec 4, 2012 · Other
- B•••••• P••• D••••• from C••••••• M••••••••• A•••••••• I•••Jul 27, 2006 · Other
- R•••••• E••••• C••••••• from C••••••• M••••••••• A•••••••• I•••Jul 27, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for C••••• H••••••• L••Jul 24, 2018 · West Palm Beach, Fl · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• B••••••• P••• · Ceo & Managing Partnercontrolsince 05/2006 · owns 50% to 75%
- R•••• T••••• C••••• · Partner/Chief Operating Officercontrolsince 12/2014 · owns 25% to 50%
- R•••• J••••••• R••••• · Chief Compliance Officersince 01/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| West Palm Beach, Fl · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 319 to 345Mar 28, 2025 to Jan 16, 2026
- Advisory employees · 5 to 4Mar 28, 2025 to Jan 16, 2026
- HNW clients · 64 to 75Mar 28, 2025 to Jan 16, 2026
- Individual clients · 63 to 56Mar 28, 2025 to Jan 16, 2026
- Employees · 7 to 6Mar 28, 2025 to Jan 16, 2026
- HQ city · PROVIDENCE to WEST PALM BEACHMar 28, 2025 to Jan 16, 2026
- HQ state · RI to FLMar 28, 2025 to Jan 16, 2026
- State-registered IARs · 5 to 4Mar 28, 2025 to Jan 16, 2026
- Other offices · 0 to 1Mar 28, 2025 to Jan 16, 2026
- Discretionary RAUM · $757M to $1.0BMar 28, 2025 to Jan 16, 2026
- HNW RAUM · $523M to $629MMar 28, 2025 to Jan 16, 2026
- Individual RAUM · $26.6M to $24.0MMar 28, 2025 to Jan 16, 2026
- RAUM · $757M to $1.0BMar 28, 2025 to Jan 16, 2026
- RAUM · $625M to $757MMay 14, 2024 to Mar 28, 2025
- Accounts · 298 to 319May 14, 2024 to Mar 28, 2025
- Advisory activities · 5 to 4May 14, 2024 to Mar 28, 2025
- Corporate clients · 3 to 4May 14, 2024 to Mar 28, 2025
- HNW clients · 60 to 64May 14, 2024 to Mar 28, 2025
- Individual clients · 60 to 63May 14, 2024 to Mar 28, 2025
- Assets in custody · $29.8M to $49.9MMay 14, 2024 to Mar 28, 2025
- Employees · 8 to 7May 14, 2024 to Mar 28, 2025
- Financial planning clients · unset to 0May 14, 2024 to Mar 28, 2025
- Discretionary RAUM · $625M to $757MMay 14, 2024 to Mar 28, 2025
- HNW RAUM · $417M to $523MMay 14, 2024 to Mar 28, 2025
- Individual RAUM · $19.7M to $26.6MMay 14, 2024 to Mar 28, 2025
- Accounts · 305 to 298Nov 16, 2023 to Mar 18, 2024
- HNW clients · 61 to 60Nov 16, 2023 to Mar 18, 2024
- Individual clients · 64 to 60Nov 16, 2023 to Mar 18, 2024
- Assets in custody · unset to 29793007.0Nov 16, 2023 to Mar 18, 2024
- Custody of client assets · false to trueNov 16, 2023 to Mar 18, 2024
- Discretionary RAUM · $602M to $625MNov 16, 2023 to Mar 18, 2024
- HNW RAUM · $400M to $417MNov 16, 2023 to Mar 18, 2024
- Individual RAUM · $18.9M to $19.7MNov 16, 2023 to Mar 18, 2024
- RAUM · $602M to $625MNov 16, 2023 to Mar 18, 2024
- Related adviser · true to falseNov 16, 2023 to Mar 18, 2024
- Accounts · 270 to 305Mar 2, 2023 to Nov 16, 2023
- Corporate clients · 13 to 3Mar 2, 2023 to Nov 16, 2023
- HNW clients · 72 to 61Mar 2, 2023 to Nov 16, 2023
- Individual clients · 63 to 64Mar 2, 2023 to Nov 16, 2023
- Pension plan clients · 15 to 0Mar 2, 2023 to Nov 16, 2023
Signals
4 dated events
- W•••••••• P•••• P•••••••• L•• reported RAUM $1.0B, up 37% from $757.4M (2025-03-28 to 2026-01-16)Jan 16, 2026 · RAUM change · derived
- W•••••••• P•••• P•••••••• L•• reported RAUM $569.0M, up 63% from $348.4M (2020-06-23 to 2021-03-16)Mar 16, 2021 · RAUM change · derived
- W•••••••• P•••• P•••••••• L•• reported RAUM $398.2M, down 43% from $695.5M (2019-01-16 to 2019-03-07)Mar 7, 2019 · RAUM change · derived
- W•••••••• P•••• P•••••••• L•• reported RAUM $695.5M, up 69% from $411.8M (2017-03-07 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
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
- 401-228-7799reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/whalerock-point-partners-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 401-228-7799reportedpublic record, Form ADV, Jan 16, 2026
- Contact form
- wrpoint.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $260Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026