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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Former SEC-registered adviser
V•••••••• W••••• M••••••••• I•••
Legal name G••• W••••• M••••••••• I••
Latest filing Mar 20, 2024
First filing on the tape Mar 30, 2012 · 16 filings
SEC status approved since May 25, 2018
RAUM
$329M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
95%
$314M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$329M as of Mar 20, 2024
Mar 30, 2012$41.7M then
HNW client RAUM$205M as of Mar 20, 2024
Mar 27, 2019$55.6M then
State-registered IARs (5.B.3)3 as of Mar 20, 2024
Mar 27, 20193 then
Employees (5.A)11 as of Mar 20, 2024
Mar 27, 20199 then
Private funds: no history
RAUM +30% over the last fiscal year+16% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 20, 2024; every figure names its basis
- RAUM per advisor
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 318derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $159,138derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $12.7M, 82 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$205M62%
- Individuals$108M33%
- Charitable organizations$8.0M2.4%
- Pension and profit-sharing plans$5.6M1.7%
- Corporations and businesses$1.7M0.5%
- Individual clients
- 842reported
- HNW clients
- 113reported
- Pension plan clients
- 8reported
- Charitable clients
- 5reported
- Accounts
- 2,066reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12.7M for 82 clientsreported
- 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
Left, latest
- V•••• B•••• G••• to W••••• E••••••••• A••••••• S•••••••• L••Mar 14, 2025 · RIA to affiliated broker-dealer or bank
- A••••• K•••• L••••• to W••••• E••••••••• A••••••• S•••••••• L••Mar 5, 2025 · RIA to affiliated broker-dealer or bank
- R••• D•••• B••••••• to W••••• E••••••••• A••••••• S•••••••• L••Mar 5, 2025 · RIA to affiliated broker-dealer or bank
- J••••• M•••••• A•••••• to C••••••••• F•••••••• N••••••May 6, 2013 · Other
Joined, latest
- J••••• M•••••• A•••••• from A••••••••• F•••••••• S•••••••• L••Apr 5, 2012 · Other
- V•••• B•••• G••• from T•••• A•••••••• L••Jan 22, 2007 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for W••••• E••••••••• A••••••• S•••••••• L••Mar 5, 2025 · Bangor, Me · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••• V••••• B•••• · President/Chief Compliance Officercontrolsince 01/2007 · owns 75% or more
Related persons
Schedule D 7.A
- G•••••••• I••••••••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bangor, Me · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Ellsworth, ME3 employees
What changed
consecutive filings, newest first
- Accounts · 1,883 to 2,066Mar 29, 2023 to Mar 20, 2024
- Charity clients · unset to 5.0Mar 29, 2023 to Mar 20, 2024
- Corporate clients · 7 to 12Mar 29, 2023 to Mar 20, 2024
- HNW clients · 74 to 113Mar 29, 2023 to Mar 20, 2024
- Individual clients · 795 to 842Mar 29, 2023 to Mar 20, 2024
- Pension plan clients · 7 to 8Mar 29, 2023 to Mar 20, 2024
- Assets in custody · $8.3M to $12.7MMar 29, 2023 to Mar 20, 2024
- Discretionary RAUM · $247M to $322MMar 29, 2023 to Mar 20, 2024
- HNW RAUM · $136M to $205MMar 29, 2023 to Mar 20, 2024
- Individual RAUM · $109M to $108MMar 29, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $5.2M to $6.8MMar 29, 2023 to Mar 20, 2024
- Pension RAUM · $4.2M to $5.6MMar 29, 2023 to Mar 20, 2024
- RAUM · $253M to $329MMar 29, 2023 to Mar 20, 2024
- Accounts · 1,694 to 1,883Mar 30, 2022 to Mar 29, 2023
- HNW clients · 75 to 74Mar 30, 2022 to Mar 29, 2023
- Individual clients · 722 to 795Mar 30, 2022 to Mar 29, 2023
- Pension plan clients · unset to 7.0Mar 30, 2022 to Mar 29, 2023
- Assets in custody · $12.3M to $8.3MMar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $278M to $247MMar 30, 2022 to Mar 29, 2023
- HNW RAUM · $158M to $136MMar 30, 2022 to Mar 29, 2023
- Individual RAUM · $116M to $109MMar 30, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $0 to $5.2MMar 30, 2022 to Mar 29, 2023
- Pension RAUM · unset to 4213998.0Mar 30, 2022 to Mar 29, 2023
- RAUM · $278M to $253MMar 30, 2022 to Mar 29, 2023
- Accounts · 1,697 to 1,694Oct 29, 2021 to Mar 30, 2022
- Corporate clients · unset to 7.0Oct 29, 2021 to Mar 30, 2022
- HNW clients · 102 to 75Oct 29, 2021 to Mar 30, 2022
- Individual clients · 639 to 722Oct 29, 2021 to Mar 30, 2022
- Assets in custody · $10.1M to $12.3MOct 29, 2021 to Mar 30, 2022
- Discretionary RAUM · $208M to $278MOct 29, 2021 to Mar 30, 2022
- HNW RAUM · $137M to $158MOct 29, 2021 to Mar 30, 2022
- Individual RAUM · $68.3M to $116MOct 29, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $3.0M to $0Oct 29, 2021 to Mar 30, 2022
- Pension RAUM · 2989099.0 to unsetOct 29, 2021 to Mar 30, 2022
- RAUM · $211M to $278MOct 29, 2021 to Mar 30, 2022
- Accounts · 1,553 to 1,697Dec 16, 2020 to Mar 31, 2021
- HNW clients · 78 to 102Dec 16, 2020 to Mar 31, 2021
- Individual clients · 580 to 639Dec 16, 2020 to Mar 31, 2021
- Assets in custody · $5.3M to $10.1MDec 16, 2020 to Mar 31, 2021
- Employees · 9 to 11Dec 16, 2020 to Mar 31, 2021
Signals
6 dated events
- V•••••••• W••••• M••••••••• I••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $328.8M)May 2, 2025 · Left the SEC roster · derived
- V•••• B•••• G••• left V•••••••• W••••• M••••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-01-02)Mar 14, 2025 · Advisor changed firm · fact
- R••• D•••• B••••••• left V•••••••• W••••• M••••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-01-02)Mar 5, 2025 · Advisor changed firm · fact
- A••••• K•••• L••••• left V•••••••• W••••• M••••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-01-02)Mar 5, 2025 · Advisor changed firm · fact
- V•••••••• W••••• M••••••••• I•••'s advisors moved to W••••• E••••••••• A••••••• S•••••••• L•• (Bangor, ME): 3 of 3 registered, within 9 daysMar 5, 2025 · Firm absorbed (people side) · derived
- V•••••••• W••••• M••••••••• I••• 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