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• F•••••••• A•••••••• L••
Latest filing Apr 1, 2026
First filing on the tape Jun 28, 2021 · 11 filings
SEC status approved since Jul 28, 2021
RAUM
$203M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$201M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$40.7M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$203M as of Apr 1, 2026
Mar 25, 2022$145M then
HNW client RAUM$145M as of Apr 1, 2026
Mar 25, 2022$97.6M then
State-registered IARs (5.B.3)3 as of Apr 1, 2026
Mar 25, 20223 then
Employees (5.A)3 as of Apr 1, 2026
Mar 25, 20223 then
Private funds: no history
RAUM +31% over the last fiscal year+21% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $40.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $297,302derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%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 consultingreportedItem 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$145M71%
- Individuals$56.4M28%
- Charitable organizations$1.5M0.7%
- Corporations and businesses$483,7620.2%
- Individual clients
- 201reported
- HNW clients
- 71reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 684reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• C••••••• J••••Chartered Financial Analyst | Killingworth, Ct | Apr 13, 2007 | 19 y | 0 |
| J••••• D•••• G••••••• | Killingworth, Ct | Aug 29, 2014 | 12 y | 0 |
| A•••••• E•• L••••• | New York, Ny | Mar 25, 2016 | 21 y | 0 |
| B•••••• J• L••••••• | Killingworth, Ct | Jun 12, 2023 | 22 y | 0 |
| D•••• B••••• | Killingworth, Ct | Jun 15, 2026 | 12 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- D•••• B••••• from E•••••••• A•••••••• L••Jun 15, 2026 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••••••• J•••••••• L•• · Membercontrolsince 11/2006 · owns 25% to 50%
- J••••• W••••••• C••••••• · President/Managing Member/Ccocontrolsince 11/2006 · owns 25% to 50%
- G•••••••• J•••••• D•••• · Membersince 01/2016 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Killingworth, Ct · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 673 to 684Mar 31, 2025 to Apr 1, 2026
- HNW clients · 53 to 71Mar 31, 2025 to Apr 1, 2026
- Individual clients · 183 to 201Mar 31, 2025 to Apr 1, 2026
- Financial planning clients · 51-100 to 101-250Mar 31, 2025 to Apr 1, 2026
- Discretionary RAUM · $155M to $203MMar 31, 2025 to Apr 1, 2026
- HNW RAUM · $102M to $145MMar 31, 2025 to Apr 1, 2026
- Individual RAUM · $50.4M to $56.4MMar 31, 2025 to Apr 1, 2026
- RAUM · $155M to $203MMar 31, 2025 to Apr 1, 2026
- Accounts · 209 to 673Mar 29, 2024 to Mar 31, 2025
- Corporate clients · 2 to 1Mar 29, 2024 to Mar 31, 2025
- HNW clients · 41 to 53Mar 29, 2024 to Mar 31, 2025
- Individual clients · 166 to 183Mar 29, 2024 to Mar 31, 2025
- Employees · 4 to 3Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 51-100 to 51-100Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $145M to $155MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $96.5M to $102MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $46.8M to $50.4MMar 29, 2024 to Mar 31, 2025
- RAUM · $145M to $155MMar 29, 2024 to Mar 31, 2025
- Accounts · 158 to 209Sep 22, 2023 to Mar 29, 2024
- HNW clients · 36 to 41Sep 22, 2023 to Mar 29, 2024
- Individual clients · 119 to 166Sep 22, 2023 to Mar 29, 2024
- Discretionary RAUM · $115M to $145MSep 22, 2023 to Mar 29, 2024
- HNW RAUM · $76.3M to $96.5MSep 22, 2023 to Mar 29, 2024
- Individual RAUM · $36.5M to $46.8MSep 22, 2023 to Mar 29, 2024
- RAUM · $115M to $145MSep 22, 2023 to Mar 29, 2024
- Accounts · 496 to 158Oct 27, 2022 to Mar 20, 2023
- HNW clients · 44 to 36Oct 27, 2022 to Mar 20, 2023
- Individual clients · 104 to 119Oct 27, 2022 to Mar 20, 2023
- Assets in custody · 176382507.0 to unsetOct 27, 2022 to Mar 20, 2023
- Employees · 3 to 4Oct 27, 2022 to Mar 20, 2023
- Discretionary RAUM · $145M to $115MOct 27, 2022 to Mar 20, 2023
- HNW RAUM · $97.6M to $76.3MOct 27, 2022 to Mar 20, 2023
- Individual RAUM · $45.4M to $36.5MOct 27, 2022 to Mar 20, 2023
- RAUM · $145M to $115MOct 27, 2022 to Mar 20, 2023
- Advisory activities · 3 to 4Mar 25, 2022 to Oct 25, 2022
- Accounts · 466 to 496Sep 28, 2021 to Mar 25, 2022
- Advisory employees · 2 to 3Sep 28, 2021 to Mar 25, 2022
- Charity clients · unset to 1.0Sep 28, 2021 to Mar 25, 2022
- Corporate clients · unset to 2.0Sep 28, 2021 to Mar 25, 2022
- HNW clients · 41 to 44Sep 28, 2021 to Mar 25, 2022
Signals
1 dated events
- W• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 28, 2021 · 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
- Website
- w••.w•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 860-663-3646reportedpublic record, Form ADV, Apr 1, 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
- $40.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026