DFX Intelligence
RIA Intelligence
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SEC-registered adviser
1••• W••••• M••••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Sep 23, 2024 · 4 filings
SEC status approved since Oct 23, 2024
RAUM
$120M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$112M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$120M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$120M as of Mar 18, 2026
Apr 8, 2025$112M then
HNW client RAUM$88.2M as of Mar 18, 2026
Apr 8, 2025$85.0M then
State-registered IARs (5.B.3)1 as of Mar 18, 2026
Apr 8, 20251 then
Employees (5.A)1 as of Mar 18, 2026
Apr 8, 20251 then
Private funds: no history
RAUM +6.8% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 18, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $120MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 122derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $247,211derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $12.0M, 24 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$88.2M74%
- Individuals$24.0M20%
- Corporations and businesses$5.0M4.2%
- Charitable organizations$1.5M1.3%
- Pension and profit-sharing plans$1.0M0.8%
- Individual clients
- 85reported
- HNW clients
- 37reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 484reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12.0M for 24 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• W• B•••••Certified Financial Planner | Lighthouse Point, Fl | Apr 15, 2011 | 19 y | 3 |
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
- T••••• W• B••••• from F••••• F•••••••• M•••••••••Apr 15, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• T•••••• W• · President/Chief Compliance Officercontrolsince 11/2009 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 477 to 484Sep 23, 2025 to Mar 18, 2026
- Corporate clients · 3 to 1Sep 23, 2025 to Mar 18, 2026
- HNW clients · 85 to 37Sep 23, 2025 to Mar 18, 2026
- Individual clients · 40 to 85Sep 23, 2025 to Mar 18, 2026
- Assets in custody · $14.0M to $12.0MSep 23, 2025 to Mar 18, 2026
- Discretionary RAUM · $112M to $120MSep 23, 2025 to Mar 18, 2026
- HNW RAUM · $85.0M to $88.2MSep 23, 2025 to Mar 18, 2026
- Individual RAUM · $16.9M to $24.0MSep 23, 2025 to Mar 18, 2026
- Pension RAUM · $800,000 to $1.0MSep 23, 2025 to Mar 18, 2026
- RAUM · $112M to $120MSep 23, 2025 to Mar 18, 2026
- Financial planning clients · 0 to 0Apr 8, 2025 to Sep 23, 2025
- Accounts · 400 to 477Sep 23, 2024 to Apr 8, 2025
- Corporate clients · 1 to 3Sep 23, 2024 to Apr 8, 2025
- HNW clients · 30 to 85Sep 23, 2024 to Apr 8, 2025
- Individual clients · 100 to 40Sep 23, 2024 to Apr 8, 2025
- Assets in custody · unset to 14000000.0Sep 23, 2024 to Apr 8, 2025
- Custody of client assets · false to trueSep 23, 2024 to Apr 8, 2025
- Discretionary RAUM · $111M to $112MSep 23, 2024 to Apr 8, 2025
- HNW RAUM · $68.0M to $85.0MSep 23, 2024 to Apr 8, 2025
- Individual RAUM · $36.5M to $16.9MSep 23, 2024 to Apr 8, 2025
- Pension RAUM · $700,000 to $800,000Sep 23, 2024 to Apr 8, 2025
- RAUM · $111M to $112MSep 23, 2024 to Apr 8, 2025
Signals
1 dated events
- 1••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 23, 2024 · 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
- 800-658-9560reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 954-903-0009reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.1•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 800-658-9560reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- 1•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- 1•••••••••.comreportedpublished 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
- $120Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026