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••••••••• I••••••••• A••••••• I•••
Latest filing Mar 3, 2026
First filing on the tape Dec 14, 2011 · 25 filings
SEC status approved since Jul 19, 2007
RAUM
$449M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$439M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$74.8M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$449M as of Mar 3, 2026
Mar 27, 2012$90.0M then
HNW client RAUM$399M as of Mar 3, 2026
Feb 12, 2018$111M then
State-registered IARs (5.B.3)6 as of Mar 3, 2026
Jan 8, 20132 then
Employees (5.A)6 as of Mar 3, 2026
Jan 8, 20132 then
Private funds: no history
RAUM +25% over the last fiscal year+23% a year over threeIARs 5 to 6offices 1 to 0
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
- RAUM per advisor
- $74.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.9MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $1.7M, 1 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$399M89%
- Individuals$39.5M8.8%
- Pension and profit-sharing plans$6.5M1.4%
- Charitable organizations$3.4M0.8%
- Individual clients
- 119reported
- HNW clients
- 68reported
- Pension plan clients
- 7reported
- Charitable clients
- 9reported
- Accounts
- 448reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.7M for 1 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=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• S••••• K•••••••• | Annapolis, Md | Jan 6, 2016 | 31 y | 1 |
| S••• E••••• L••••Chartered Financial Analyst | Annapolis, Md | Nov 30, 2020 | 19 y | 1 |
| J••••••• S• L•••• | Annapolis, Md | Nov 1, 2021 | 34 y | 1 |
| J••••• C••••••••• W•••••••• | Annapolis, Md | Jun 22, 2023 | 16 y | 1 |
| D•••• H•••••• C••••••••• | Annapolis, Md | Sep 19, 2023 | 42 y | 2 |
| A•••••• S••••• C••••Chartered Financial Analyst | Annapolis, Md | Jul 1, 2025 | 12 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- A•••••• S••••• C•••• from I••••••••• C•••••• M••••••••• L••Jul 1, 2025 · Other
- D•••• H•••••• C••••••••• from C••••••••• C•••••• M••••••••• L••Sep 19, 2023 · Other
- J••••• C••••••••• W•••••••• from M••••••• T••••Jun 22, 2023 · Other
- J••••••• S• L•••• from L•••• I••••••••• A••••••• L••Nov 1, 2021 · Other
- S••• E••••• L•••• from B•• B••••• C•••••• M••••••••• L••Nov 30, 2020 · Other
- B•••• S••••• K•••••••• from B•• B••••• C•••••• M••••••••• L••Jan 6, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from B•• B••••• C•••••• M••••••••• L••Dec 31, 2019 · Annapolis, Md
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••••• B••••• S••••• · Chief Compliance Officercontrolsince 12/2018 · owns less than 5%
- L••••• S•••• E••••• · Presidentcontrolsince 12/2018 · owns 50% to 75%
- W••••••••• J•••••• C••••••••• · Vice Presidentcontrolsince 02/2018 · owns 25% to 50%
Related persons
Schedule D 7.A
- L•••• • C••••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Annapolis, Md · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Allentown, PA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 3, 2026custody of client assets (Item 9.A): no on the filing of 2025-02-14, yes on the filing of 2026-03-03peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 420 to 448Feb 14, 2025 to Mar 3, 2026
- Advisory employees · 5 to 6Feb 14, 2025 to Mar 3, 2026
- Charity clients · 8 to 9Feb 14, 2025 to Mar 3, 2026
- HNW clients · 58 to 68Feb 14, 2025 to Mar 3, 2026
- Individual clients · 117 to 119Feb 14, 2025 to Mar 3, 2026
- Pension plan clients · 6 to 7Feb 14, 2025 to Mar 3, 2026
- Assets in custody · $1.4M to $1.7MFeb 14, 2025 to Mar 3, 2026
- Custody of client assets · false to trueFeb 14, 2025 to Mar 3, 2026
- Employees · 5 to 6Feb 14, 2025 to Mar 3, 2026
- State-registered IARs · 5 to 6Feb 14, 2025 to Mar 3, 2026
- Other offices · 1 to 0Feb 14, 2025 to Mar 3, 2026
- Discretionary RAUM · $359M to $449MFeb 14, 2025 to Mar 3, 2026
- HNW RAUM · $309M to $399MFeb 14, 2025 to Mar 3, 2026
- Individual RAUM · $41.7M to $39.5MFeb 14, 2025 to Mar 3, 2026
- Pension RAUM · $6.1M to $6.5MFeb 14, 2025 to Mar 3, 2026
- RAUM · $359M to $449MFeb 14, 2025 to Mar 3, 2026
- Accounts · 378 to 420Feb 12, 2024 to Feb 14, 2025
- Advisory employees · 4 to 5Feb 12, 2024 to Feb 14, 2025
- Charity clients · 6 to 8Feb 12, 2024 to Feb 14, 2025
- HNW clients · 51 to 58Feb 12, 2024 to Feb 14, 2025
- Individual clients · 108 to 117Feb 12, 2024 to Feb 14, 2025
- Pension plan clients · unset to 6.0Feb 12, 2024 to Feb 14, 2025
- Assets in custody · $1.2M to $1.4MFeb 12, 2024 to Feb 14, 2025
- Employees · 4 to 5Feb 12, 2024 to Feb 14, 2025
- Financial planning clients · unset to Feb 12, 2024 to Feb 14, 2025
- State-registered IARs · 4 to 5Feb 12, 2024 to Feb 14, 2025
- Discretionary RAUM · $300M to $359MFeb 12, 2024 to Feb 14, 2025
- HNW RAUM · $261M to $309MFeb 12, 2024 to Feb 14, 2025
- Individual RAUM · $37.4M to $41.7MFeb 12, 2024 to Feb 14, 2025
- Pension RAUM · $413,119 to $6.1MFeb 12, 2024 to Feb 14, 2025
- RAUM · $300M to $359MFeb 12, 2024 to Feb 14, 2025
- Accounts · 377 to 378Feb 23, 2023 to Feb 12, 2024
- Charity clients · unset to 6.0Feb 23, 2023 to Feb 12, 2024
- HNW clients · 46 to 51Feb 23, 2023 to Feb 12, 2024
- Individual clients · 113 to 108Feb 23, 2023 to Feb 12, 2024
- Pension plan clients · 7.0 to unsetFeb 23, 2023 to Feb 12, 2024
- Assets in custody · $991,807 to $1.2MFeb 23, 2023 to Feb 12, 2024
- Custody of client assets · true to falseFeb 23, 2023 to Feb 12, 2024
- Discretionary RAUM · $244M to $300MFeb 23, 2023 to Feb 12, 2024
- HNW RAUM · $201M to $261MFeb 23, 2023 to Feb 12, 2024
Signals
1 dated events
- Hammond David Cunningham (President, Director, Coo, And Chief Compliance Officer) no longer on Schedule A of W••••••••• I••••••••• A••••••• I••• (listed 2018-02-12, absent 2019-02-22)Feb 22, 2019 · Control person left · inference
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
- wia1.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 301-656-9035reportedpublic record, Form ADV, Mar 3, 2026
- Contact form
- wia1.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- wia1.com/our-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
- $74.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026