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•••• • A••••••••• L••
Latest filing Mar 10, 2026
First filing on the tape Jan 28, 2013 · 35 filings
SEC status approved since Feb 19, 2013
RAUM
$828M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$807M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$92.0M
derived; firm RAUM over IAPD count
Employees
15
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$828M as of Mar 10, 2026
Mar 6, 2014$236M then
HNW client RAUM$616M as of Mar 10, 2026
Mar 23, 2018$165M then
State-registered IARs (5.B.3)9 as of Mar 10, 2026
Mar 6, 20142 then
Employees (5.A)15 as of Mar 10, 2026
Mar 6, 20144 then
Private funds: no history
RAUM +25% over the last fiscal year+20% a year over threeIARs 7 to 9offices 1 to 2
Practice profile
derived from the filing of Mar 10, 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
- i••••••••• 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $92.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 145derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $321,940derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +29%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Wrap fee program
- $243MreportedItem 5.I
- Custody
- $56.6M, 86 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
- is an insurance broker or agent (6.A.6)
- 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
- High-net-worth individuals$616M74%
- Individuals$192M23%
- Pension and profit-sharing plans$15.3M1.8%
- Corporations and businesses$4.2M0.5%
- Charitable organizations$888,8860.1%
- Individual clients
- 820reported
- HNW clients
- 487reported
- Pension plan clients
- 9reported
- Charitable clients
- 3reported
- Accounts
- 2,571reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $243M managedreported
- Custody of client assets
- $56.6M for 86 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=9.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• P•••••• W••••Certified Financial Planner, Chartered Financial Analyst | Sarasota, Fl | Nov 16, 2012 | 32 y | 1 |
| M•••••• J•••• W•••• | Dekalb, Il | Nov 26, 2012 | 20 y | 0 |
| J••••• P•••••• W•••• | Miami, Fl | Nov 26, 2012 | 23 y | 0 |
| T••••• G•••••• W•••• | Sarasota, Fl | Jan 17, 2017 | 19 y | 0 |
| S•••••• A•••••• S•••• M••••••• | Sarasota, Fl | Mar 30, 2022 | 13 y | 0 |
| H••••• H••••••• S•••• | Sarasota, Fl | Mar 27, 2025 | 11 y | 0 |
| K•••• M••••• H•••••••Certified Financial Planner | Sarasota, Fl | Apr 9, 2025 | 11 y | 0 |
| T••••• M•••• G••••••••Certified Financial Planner | Sarasota, Fl | Jun 24, 2025 | 12 y | 0 |
| P••••••• A••• M••••••• | Sarasota, Fl | Sep 10, 2025 | 34 y | 1 |
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
- P•••• F• F••• to I••••••••• F•••••••• P•••••••Nov 30, 2011 · Other
Joined, latest
- P••••••• A••• M••••••• from 1••• C•••••• M••••••••• C••••••Sep 10, 2025 · Other
- J••••• P•••••• W•••• from W•••• • A••••••••• L•••Nov 16, 2012 · Other
- P•••• F• F••• from C•••••••• G••••• M•••••• I•••Oct 26, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••• J•••••• P•••••• · Managing Membercontrolsince 11/2012 · owns 50% to 75%
- W••••• J•••••• P•••••• · Wealth A••••••since 03/2018 · owns 10% to 25%
- W••••• M••••••• J•••• · Ccosince 01/2013 · owns 10% to 25%
- W••••• T•••••• G•••••• · Wealth A••••••since 03/2018 · 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 |
|---|---|---|---|---|---|
| Sarasota, Fl · principal | 9 | 0 | 0 | ||
| Dekalb, Il | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Dekalb, IL1 employees
What changed
consecutive filings, newest first
- Accounts · 2,281 to 2,571Sep 10, 2025 to Mar 10, 2026
- Advisory employees · 8 to 9Sep 10, 2025 to Mar 10, 2026
- BD registered reps · 8 to 9Sep 10, 2025 to Mar 10, 2026
- Corporate clients · 6 to 5Sep 10, 2025 to Mar 10, 2026
- HNW clients · 410 to 487Sep 10, 2025 to Mar 10, 2026
- Individual clients · 742 to 820Sep 10, 2025 to Mar 10, 2026
- Assets in custody · $46.6M to $56.6MSep 10, 2025 to Mar 10, 2026
- State-registered IARs · 8 to 9Sep 10, 2025 to Mar 10, 2026
- Discretionary RAUM · $660M to $828MSep 10, 2025 to Mar 10, 2026
- HNW RAUM · $479M to $616MSep 10, 2025 to Mar 10, 2026
- Individual RAUM · $160M to $192MSep 10, 2025 to Mar 10, 2026
- Pension RAUM · $12.7M to $15.3MSep 10, 2025 to Mar 10, 2026
- RAUM · $660M to $828MSep 10, 2025 to Mar 10, 2026
- Wrap assets (manager) · $167M to $243MSep 10, 2025 to Mar 10, 2026
- Advisory employees · 7 to 8Jul 22, 2025 to Sep 10, 2025
- BD registered reps · 7 to 8Jul 22, 2025 to Sep 10, 2025
- Employees · 13 to 15Jul 22, 2025 to Sep 10, 2025
- Financial planning clients · 0 to 0Jul 22, 2025 to Sep 10, 2025
- State-registered IARs · 7 to 8Jul 22, 2025 to Sep 10, 2025
- Other offices · 1 to 2Jul 22, 2025 to Sep 10, 2025
- Advisory activities · 3 to 4Mar 25, 2025 to Jul 22, 2025
- Accounts · 2,127 to 2,281Mar 27, 2024 to Mar 25, 2025
- Advisory employees · 5 to 7Mar 27, 2024 to Mar 25, 2025
- BD registered reps · 5 to 7Mar 27, 2024 to Mar 25, 2025
- Corporate clients · 5 to 6Mar 27, 2024 to Mar 25, 2025
- HNW clients · 382 to 410Mar 27, 2024 to Mar 25, 2025
- Individual clients · 714 to 742Mar 27, 2024 to Mar 25, 2025
- Pension plan clients · 7 to 9Mar 27, 2024 to Mar 25, 2025
- Assets in custody · $46.4M to $46.6MMar 27, 2024 to Mar 25, 2025
- State-registered IARs · 5 to 7Mar 27, 2024 to Mar 25, 2025
- Discretionary RAUM · $574M to $660MMar 27, 2024 to Mar 25, 2025
- HNW RAUM · $407M to $479MMar 27, 2024 to Mar 25, 2025
- Individual RAUM · $146M to $160MMar 27, 2024 to Mar 25, 2025
- Pension RAUM · $12.0M to $12.7MMar 27, 2024 to Mar 25, 2025
- RAUM · $574M to $660MMar 27, 2024 to Mar 25, 2025
- Wrap assets (manager) · $150M to $167MMar 27, 2024 to Mar 25, 2025
- Accounts · 2,071 to 2,127Apr 12, 2023 to Mar 27, 2024
- Charity clients · 2 to 3Apr 12, 2023 to Mar 27, 2024
- HNW clients · 368 to 382Apr 12, 2023 to Mar 27, 2024
- Individual clients · 721 to 714Apr 12, 2023 to Mar 27, 2024
Signals
4 dated events
- W•••• • A••••••••• L•• reported RAUM $827.7M, up 25% from $660.2M (2025-09-10 to 2026-03-10)Mar 10, 2026 · RAUM change · derived
- W•••• • A••••••••• L•• reported RAUM $490.0M, up 28% from $381.9M (2020-06-29 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- T•• C••••• A••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)May 10, 2013 · Succession (Item 4) · fact
- T•• C••••• A••••••• I••• filed its initial SEC registration (Form ADV)Jan 28, 2013 · 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
- 815-748-2130reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 815-748-3401reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 847-413-1234reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- walshandassociates.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 941-952-1188reportedpublic record, Form ADV, Mar 10, 2026
- Team page
- walshandassociates.com/about/meet-the-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
- $92.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026