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

W•••••• A•••••••• L•••

Former SEC-registered adviserMechanicsburg, PennsylvaniaCRD 148335SEC 801-69575IAPD
Latest filing Nov 25, 2014
First filing on the tape Feb 1, 2012 · 10 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 20, 2014
Feb 1, 20120 then
Employees (5.A)3 as of Mar 20, 2014
Mar 21, 20131 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 3
Practice profile
derived from the filing of Nov 25, 2014; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.4derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+200%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
educational seminarsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
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 headcount4 left over 36 months
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • L•••• C••••••••• J•• · President And Chief Compliance Officercontrol
      since 03/2012 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Mechanicsburg, Pa · principal710
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • BD registered reps · 1 to 3
      Sep 16, 2013 to Mar 20, 2014
    • Employees · 1 to 3
      Sep 16, 2013 to Mar 20, 2014
    • Insurance-licensed employees · 1 to 3
      Sep 16, 2013 to Mar 20, 2014
    • State-registered IARs · 1 to 3
      Sep 16, 2013 to Mar 20, 2014
    • Related adviser · true to false
      Sep 16, 2013 to Mar 20, 2014
    • Related broker-dealer · true to false
      Sep 16, 2013 to Mar 20, 2014
    • HQ city · CAMP HILL to MECHANICSBURG
      Mar 21, 2013 to Sep 16, 2013
    • Advisory employees · unset to 0.0
      Aug 27, 2012 to Mar 21, 2013
    • BD registered reps · unset to 1.0
      Aug 27, 2012 to Mar 21, 2013
    • Employees · unset to 1.0
      Aug 27, 2012 to Mar 21, 2013
    • State-registered IARs · 0 to 1
      Aug 27, 2012 to Mar 21, 2013
    Signals
    5 dated events
    • D•••• S••••• left W•••••• A•••••••• L••• for T•• A••••••••• F•••••••• G•••• (registered 2025-05-25)
      Mar 14, 2024 · Advisor changed firm · fact
    • T••••• E• W•••• left W•••••• A•••••••• L••• for T•• A••••••••• F•••••••• G•••• (registered 2024-11-21)
      Jan 12, 2024 · Advisor changed firm · fact
    • G••••• A••••• S•••• left W•••••• A•••••••• L••• for M•• I•••••••• S•••••••• L•• (registered 2010-06-09)
      Dec 31, 2023 · Advisor changed firm · fact
    • J•••• E• T••••• left W•••••• A•••••••• L••• for T•• A••••••••• F•••••••• G•••• (registered 2024-11-21)
      Dec 31, 2023 · Advisor changed firm · fact
    • 2 advisors left W•••••• A•••••••• L••• (Mechanicsburg, PA) for T•• A••••••••• F•••••••• G•••• within 12 days
      Dec 31, 2023 · Team lift-out · 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
    Website
    wienken.orgreportedpublic record, Form ADV, Sep 18, 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
    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