DFX Intelligence

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W•••••••• C•••••• A••••••• L••

Independent wealth managerSEC-registered· Berwyn, Pennsylvaniawebsite

Independent wealth manager, based in Berwyn, Pennsylvania, reporting $124M of regulatory assets across 3 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-09-08 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $124M
Advisors: 3
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: -0.6%
Private clients: 100% of RAUM, $124M

Advisors (3)Advisor movement Where the RAUM sits

As of 2026-09-08 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

8 published business contact points are on record, each with its source.
Contact points 8

Every filed figure, and the identifiersCRD 151862 · SEC 801-132546 · 8 filingsShow

CRD 151862SEC 801-132546First filing on the tape Apr 3, 2012, latest Sep 8, 2026SEC status approved since Apr 28, 2025IAPD

RAUM

$124M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$124M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$41.4M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

8 filings and snapshots on the tape

RAUM$124M as of Mar 13, 2026

Apr 3, 2012$46.2M then

HNW client RAUM$102M as of Mar 13, 2026

Mar 27, 2025$101M then

State-registered IARs (5.B.3)3 as of Mar 13, 2026

Mar 27, 20253 then

Employees (5.A)3 as of Mar 13, 2026

Mar 27, 20253 then

Private funds: no history

RAUM -0.6% over the last fiscal yearIARs 3 to 3

Practice profile

derived from the filing of Sep 8, 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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $41.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 31derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.7MderivedHNW RAUM over HNW clients
Average account: $1.0MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -0.6%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +0.0%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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$102M82%
Individuals$22.6M18%

Individual clients: 55reported
HNW clients: 37reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 124reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived

Advisors registered through the firm

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
W•••••• J••• W••••••••	Berwyn, Pa	Nov 13, 2009	44 y	2
M••• C•••••••• W••••••••	Berwyn, Pa	Aug 28, 2017	17 y	3
W•••••• J•••••• W••••••••	Berwyn, Pa	Nov 7, 2017	20 y	0

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

M••• C•••••••• W•••••••• to A• H• W••••••• • C••••••• I•••
Jun 27, 2012 · Other

Joined, latest

M••• C•••••••• W•••••••• from A• H• W••••••• • C••••••• I•••
Aug 28, 2017 · Other
W•••••• J••• W•••••••• from U•••• F•••••••• S••••••• G••••• I•••
Nov 13, 2009 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

W••••••••• E••••••••• R••• · Membercontrol
since 09/2009 · owns 25% to 50%
W••••••••• W••••••• J••• · Managing Member And Chief Compliance Officercontrol
since 09/2009 · owns 50% to 75%

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
Berwyn, Pa · principal	3	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Financial planning clients · 0 to 0
Mar 13, 2026 to Sep 8, 2026
Related adviser · false to unset
Mar 13, 2026 to Sep 8, 2026
Related bank · false to unset
Mar 13, 2026 to Sep 8, 2026
Related broker-dealer · false to unset
Mar 13, 2026 to Sep 8, 2026
Related insurance company · false to unset
Mar 13, 2026 to Sep 8, 2026
Succession · false to unset
Mar 13, 2026 to Sep 8, 2026
Accounts · 91 to 124
Mar 27, 2025 to Mar 13, 2026
Advisory activities · 3 to 4
Mar 27, 2025 to Mar 13, 2026
HNW clients · 34 to 37
Mar 27, 2025 to Mar 13, 2026
Individual clients · 58 to 55
Mar 27, 2025 to Mar 13, 2026
Financial planning clients · to 0
Mar 27, 2025 to Mar 13, 2026
Discretionary RAUM · $125M to $124M
Mar 27, 2025 to Mar 13, 2026
HNW RAUM · $101M to $102M
Mar 27, 2025 to Mar 13, 2026
Individual RAUM · $23.6M to $22.6M
Mar 27, 2025 to Mar 13, 2026
RAUM · $125M to $124M
Mar 27, 2025 to Mar 13, 2026
Accounts · 50 to 91
Jun 22, 2012 to Mar 27, 2025
Advisory employees · unset to 3.0
Jun 22, 2012 to Mar 27, 2025
Charity clients · unset to 0.0
Jun 22, 2012 to Mar 27, 2025
Corporate clients · unset to 0.0
Jun 22, 2012 to Mar 27, 2025
HNW clients · unset to 34.0
Jun 22, 2012 to Mar 27, 2025
Individual clients · unset to 58.0
Jun 22, 2012 to Mar 27, 2025
Pension plan clients · unset to 0.0
Jun 22, 2012 to Mar 27, 2025
Pooled vehicle clients · unset to 0.0
Jun 22, 2012 to Mar 27, 2025
Employees · unset to 3.0
Jun 22, 2012 to Mar 27, 2025
Financial planning clients · 0 to
Jun 22, 2012 to Mar 27, 2025
HQ city · KING OF PRUSSIA to BERWYN
Jun 22, 2012 to Mar 27, 2025
State-registered IARs · unset to 3.0
Jun 22, 2012 to Mar 27, 2025
Other offices · unset to 0.0
Jun 22, 2012 to Mar 27, 2025
Discretionary RAUM · $28.1M to $125M
Jun 22, 2012 to Mar 27, 2025
HNW RAUM · unset to 101385340.0
Jun 22, 2012 to Mar 27, 2025
Individual RAUM · unset to 23635983.0
Jun 22, 2012 to Mar 27, 2025
RAUM · $28.1M to $125M
Jun 22, 2012 to Mar 27, 2025
Advisory activities · 2 to 3
Jun 20, 2012 to Jun 20, 2012
Accounts · 74 to 50
Apr 3, 2012 to May 22, 2012
HQ city · RADNOR to KING OF PRUSSIA
Apr 3, 2012 to May 22, 2012
Discretionary RAUM · $46.2M to $28.1M
Apr 3, 2012 to May 22, 2012
RAUM · $46.2M to $28.1M
Apr 3, 2012 to May 22, 2012

Signals

5 dated events

••• Locked
Sep 8, 2026 · ria principal change · fact
••• Locked
Sep 8, 2026 · ria principal change · fact
••• Locked
Sep 8, 2026 · Control person joined · fact
••• Locked
Sep 8, 2026 · Control person joined · fact
••• Locked
Mar 27, 2025 · ria hq relocated · 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: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Sep 8, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Sep 8, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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: $41.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026