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•••••••• F••••••••
Legal name W•••••••• F••••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Jun 18, 2024 · 6 filings
SEC status approved since Jul 19, 2024
RAUM
$158M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$155M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$52.6M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$158M as of Mar 19, 2026
Feb 27, 2025$134M then
HNW client RAUM$98.6M as of Mar 19, 2026
Feb 27, 2025$75.8M then
State-registered IARs (5.B.3)3 as of Mar 19, 2026
Feb 27, 20253 then
Employees (5.A)3 as of Mar 19, 2026
Feb 27, 20253 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 19, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $52.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 143derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $243,397derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.5%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
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $158MreportedItem 5.I
- Custody
- $82.7M, 176 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$98.6M63%
- Individuals$56.7M36%
- Charitable organizations$2.4M1.5%
- Individual clients
- 396reported
- HNW clients
- 32reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 648reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $82.7M for 176 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• R•••••• C••••Certified Financial Planner | Sebring, Fl | Mar 23, 2012 | 35 y | 4 |
| V••••• J•••• D••••••• | Sebring, Fl | Mar 23, 2012 | 30 y | 5 |
| T••••• S•••• C••••••••• | Sebring, Fl | Mar 23, 2012 | 29 y | 4 |
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
- J••• R•••••• C•••• from W•• A•••••••• L•Mar 23, 2012 · Other
- V••••• J•••• D••••••• from W•• A•••••••• L•Mar 23, 2012 · Other
- T••••• S•••• C••••••••• from W•• A•••••••• L•Mar 23, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from W•• A•••••••• L•Mar 31, 2017 · Sebring, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• J•••• R•••••• · Managing Member And Ccocontrolsince 03/2009 · owns 25% to 50%
- C••••••••• T•••••• S•••• · Managing Membercontrolsince 03/2009 · owns 25% to 50%
- D•••••••• V•••••• J•••• · Managing Membercontrolsince 03/2009 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Sebring, Fl · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 629 to 648Oct 16, 2025 to Mar 19, 2026
- HNW clients · 29 to 32Oct 16, 2025 to Mar 19, 2026
- Individual clients · 367 to 396Oct 16, 2025 to Mar 19, 2026
- Assets in custody · $134M to $82.7MOct 16, 2025 to Mar 19, 2026
- Discretionary RAUM · $134M to $158MOct 16, 2025 to Mar 19, 2026
- HNW RAUM · $75.8M to $98.6MOct 16, 2025 to Mar 19, 2026
- Individual RAUM · $55.6M to $56.7MOct 16, 2025 to Mar 19, 2026
- RAUM · $134M to $158MOct 16, 2025 to Mar 19, 2026
- Financial planning clients · 0 to 0Feb 27, 2025 to Oct 16, 2025
- Accounts · 614 to 629Aug 16, 2024 to Feb 27, 2025
- HNW clients · 21 to 29Aug 16, 2024 to Feb 27, 2025
- Individual clients · 404 to 367Aug 16, 2024 to Feb 27, 2025
- Assets in custody · $56.8M to $134MAug 16, 2024 to Feb 27, 2025
- Employees · 6 to 3Aug 16, 2024 to Feb 27, 2025
- Discretionary RAUM · $115M to $134MAug 16, 2024 to Feb 27, 2025
- HNW RAUM · $55.8M to $75.8MAug 16, 2024 to Feb 27, 2025
- Individual RAUM · $57.0M to $55.6MAug 16, 2024 to Feb 27, 2025
- RAUM · $115M to $134MAug 16, 2024 to Feb 27, 2025
- Assets in custody · $115M to $56.8MAug 5, 2024 to Aug 16, 2024
- Custody of client assets · false to trueAug 5, 2024 to Aug 16, 2024
Signals
1 dated events
- W•••••••• F•••••••• filed its initial SEC registration (Form ADV)Jun 18, 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 email
- l••••@w•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- k•••@w•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- k••••••••@w•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 863-402-5651reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 863-402-5650reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 866-373-7191reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 863-402-5650reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- w•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- w•••••••••.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
- $52.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026