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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
W••••••••• S•••••• C•••••• M••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Mar 29, 2012 · 31 filings
SEC status approved since Mar 9, 2010
RAUM
$1.2B
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
75%
$877M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$97.8M
derived; firm RAUM over IAPD count
Employees
20
13 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$1.2B as of Mar 24, 2026
Mar 29, 2012$846M then
HNW client RAUM$811M as of Mar 24, 2026
Mar 27, 2018$737M then
State-registered IARs (5.B.3)12 as of Mar 24, 2026
Mar 29, 20120 then
Employees (5.A)20 as of Mar 24, 2026
Mar 22, 201335 then
Private funds: no history
RAUM +17% over the last fiscal year+4.3% a year over threeIARs 12 to 12
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $97.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 6.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $474MreportedItem 5.I
- 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)
- 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$811M69%
- Charitable organizations$213M18%
- Corporations and businesses$77.2M6.6%
- Individuals$65.7M5.6%
- Pension and profit-sharing plans$6.6M0.6%
- Individual clients
- 271reported
- HNW clients
- 273reported
- Pension plan clients
- n/areported
- Charitable clients
- 14reported
- Accounts
- 578reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.75 fund_share=0.0 institutional_share=0.19 related_bd=true related_bank=false bd_reps=13.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••••• F•••••• C••••••• | New York, Ny | Mar 2, 2020 | 28 y | 0 |
| J••••• L••••• | New York, Ny | Aug 26, 2020 | 11 y | 0 |
| P••• I••• G••••• | New York, Ny | Aug 23, 2021 | 48 y | 0 |
| D•••• V•••••• S•••••• | New York, Ny | Aug 23, 2021 | 44 y | 0 |
| T••••• W••••• G•••• | New York, Ny | Aug 24, 2021 | 35 y | 0 |
| J••• P•••• K•••• | New York, Ny | Aug 30, 2021 | 39 y | 0 |
| G••• J••• M••• | New York, Ny | Sep 9, 2021 | 31 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 8.3% of current headcount2 left over 36 months
Left, latest
- B••••••• B••••••••• to J••• M••••• S••••••••• L••May 15, 2026 · RIA to wirehouse
- J••• P•••• R••••• Y••••••••• to J••• M••••• S••••••••• L••Apr 1, 2024 · RIA to wirehouse
Joined, latest
- C•••••• R•••••• T••••••• from C••••• A•••• M••••••••• L•Jan 22, 2025 · Other
- G••• J••• M••• from M•••••••• A•••• M••••••••• L••Sep 9, 2021 · Other
- J••• P•••• R••••• Y••••••••• from M••••• S••••••Jun 20, 2021 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• P•••••• M•••••• · Vp And Controllercontrolsince 01/2014 · owns less than 5%
- G•••••• P•••• I••• · Elected Managercontrolsince 10/2009 · owns less than 5%
- M•••••••• W••••••• J•••••• · Ceo, Secretarycontrolsince 01/2023 · owns less than 5%
- P•••••• S••••••• J••• · Chief Compliance Officercontrolsince 03/2013 · owns less than 5%
- S••••••• D••••• V•••••• · Chairmancontrolsince 01/2023 · owns less than 5%
- G••••• T•••••• W••••• · Elected Managercontrolsince 10/2009 · owns F of W••••••••• S•••••• H•••••••• L••
- G•••••• P•••• I••• · Elected Managercontrolsince 10/2009 · owns F of W••••••••• S•••••• H•••••••• L••
- M•••••••• W••••••• J•••••• · Elected Managercontrolsince 10/2009 · owns 25% to 50% of S•••••• • C••
- S•••••• L•••••••• A••••• · Elected Managercontrolsince 10/2009 · owns 25% to 50% of H• G• W••••••••• • C•• I••• C•••••• M••••••••• D•••••••
- S••••••• D••••• L•••• · Ownercontrolsince 09/2022 · owns 25% to 50% of S•••••• • C••
- S••••••• D••••• V•••••• · Ownercontrolsince 07/1982 · owns 25% to 50% of S•••••• • C••
Entity owners
- W••••••••• S•••••• H•••••••• L•• · Member/Ownerdirect · owns 75% or more
- H• G• W••••••••• • C•• I••• C•••••• M••••••••• D••••••• · Member/Ownerindirect · owns 25% to 50% of W••••••••• S•••••• H•••••••• L••
- S•••••• • C•• · Member/Ownerindirect · owns 50% to 75% of W••••••••• S•••••• H•••••••• L••
Related persons
Schedule D 7.A
- C•••••• M••••••••• A••••••••• I••investment advisernRAUM $68.7M
- W••••••••• S•••••• • C••• L••broker-dealerinvestment advisernRAUM $546M
Advisers that list W••••••••• S•••••• C•••••• M••••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 12 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 24, 2026G••••• T•••••• W••••• (ELECTED MANAGER) left Schedule A between the filings of 2023-03-17 and 2026-03-24peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 24, 2026S••••••• D••••• L•••• (OWNER) left Schedule A between the filings of 2023-03-17 and 2026-03-24peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 24, 2026S•••••• L•••••••• A••••• (ELECTED MANAGER) left Schedule A between the filings of 2023-03-17 and 2026-03-24peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 527 to 578Jan 12, 2026 to Mar 24, 2026
- Charity clients · 15 to 14Jan 12, 2026 to Mar 24, 2026
- Corporate clients · 17 to 16Jan 12, 2026 to Mar 24, 2026
- HNW clients · 255 to 273Jan 12, 2026 to Mar 24, 2026
- Individual clients · 236 to 271Jan 12, 2026 to Mar 24, 2026
- Employees · 21 to 20Jan 12, 2026 to Mar 24, 2026
- Discretionary RAUM · $891M to $1.1BJan 12, 2026 to Mar 24, 2026
- HNW RAUM · $687M to $811MJan 12, 2026 to Mar 24, 2026
- Individual RAUM · $58.3M to $65.7MJan 12, 2026 to Mar 24, 2026
- Non-discretionary RAUM · $109M to $122MJan 12, 2026 to Mar 24, 2026
- Pension RAUM · $5.3M to $6.6MJan 12, 2026 to Mar 24, 2026
- RAUM · $1000M to $1.2BJan 12, 2026 to Mar 24, 2026
- Accounts · 480 to 527Oct 14, 2024 to Mar 24, 2025
- Charity clients · 14 to 15Oct 14, 2024 to Mar 24, 2025
- Corporate clients · 19 to 17Oct 14, 2024 to Mar 24, 2025
- HNW clients · 245 to 255Oct 14, 2024 to Mar 24, 2025
- Individual clients · 198 to 236Oct 14, 2024 to Mar 24, 2025
- Employees · 20 to 21Oct 14, 2024 to Mar 24, 2025
- Insurance-licensed employees · 5 to 6Oct 14, 2024 to Mar 24, 2025
- Financial planning clients · unset to Oct 14, 2024 to Mar 24, 2025
- Discretionary RAUM · $807M to $891MOct 14, 2024 to Mar 24, 2025
- HNW RAUM · $671M to $687MOct 14, 2024 to Mar 24, 2025
- Individual RAUM · $47.9M to $58.3MOct 14, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $102M to $109MOct 14, 2024 to Mar 24, 2025
- Pension RAUM · $4.4M to $5.3MOct 14, 2024 to Mar 24, 2025
- RAUM · $909M to $1000MOct 14, 2024 to Mar 24, 2025
- Accounts · 449 to 480Mar 21, 2023 to Mar 12, 2024
- Charity clients · 12 to 14Mar 21, 2023 to Mar 12, 2024
- Corporate clients · 17 to 19Mar 21, 2023 to Mar 12, 2024
- HNW clients · 240 to 245Mar 21, 2023 to Mar 12, 2024
- Individual clients · 178 to 198Mar 21, 2023 to Mar 12, 2024
- Insurance-licensed employees · 3 to 5Mar 21, 2023 to Mar 12, 2024
- State-registered IARs · 13 to 12Mar 21, 2023 to Mar 12, 2024
- Discretionary RAUM · $910M to $807MMar 21, 2023 to Mar 12, 2024
- HNW RAUM · $723M to $671MMar 21, 2023 to Mar 12, 2024
- Individual RAUM · $40.4M to $47.9MMar 21, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $124M to $102MMar 21, 2023 to Mar 12, 2024
- Pension RAUM · $2.0M to $4.4MMar 21, 2023 to Mar 12, 2024
- RAUM · $1.0B to $909MMar 21, 2023 to Mar 12, 2024
- Accounts · 427 to 449Mar 17, 2023 to Mar 21, 2023
Signals
4 dated events
- B••••••• B••••••••• left W••••••••• S•••••• C•••••• M••••••••• L•• for J••• M••••• S••••••••• L•• (registered 2026-06-16)May 15, 2026 · Advisor changed firm · fact
- J••• P•••• R••••• Y••••••••• left W••••••••• S•••••• C•••••• M••••••••• L•• for J••• M••••• S••••••••• L•• (registered 2026-09-10)Apr 1, 2024 · Advisor changed firm · fact
- M•••• S•••••• (Executrix) no longer on Schedule A of W••••••••• S•••••• C•••••• M••••••••• L•• (listed 2022-10-14, absent 2023-03-17)Mar 17, 2023 · Control person left · inference
- Larus David S•••••• (Owner) appeared on Schedule A of W••••••••• S•••••• C•••••• M••••••••• L••Mar 17, 2023 · Control person joined · 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 email
- i•••@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- l•••••••••@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- s••••••••@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- t•••••••••@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 229-226-0020reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 212-320-3000reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 413-625-5959reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/2048392reportedpublic record, Form ADV, Sep 19, 2026
- Website
- W•••••••••S••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-320-3000reportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- w•••••••••.comreportedpublished 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
- $97.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026