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••••• W••••• M•••••••••

Independent wealth managerRed Bank, New JerseyCRD 158332SEC 801-72657websiteIAPD
Legal name P••••••• W••••• M••••••••• A••••••• G••••• L••
Latest filing Mar 22, 2026
First filing on the tape Dec 1, 2011 · 42 filings
SEC status approved since Aug 12, 2011
RAUM
$2.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$2.1B individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$213M
derived; firm RAUM over IAPD count
Employees
13
11 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$2.3B as of Mar 22, 2026
Feb 3, 2012$42.0M then
HNW client RAUM$2.1B as of Mar 22, 2026
Mar 30, 2018$360M then
State-registered IARs (5.B.3)11 as of Mar 22, 2026
Feb 12, 20136 then
Employees (5.A)13 as of Mar 22, 2026
Feb 12, 20138 then
Private funds: no history
RAUM +19% over the last fiscal year+21% a year over threeIARs 11 to 11offices 7 to 5
Practice profile
derived from the filing of Mar 22, 2026; every figure names its basis
RAUM per advisor
$213MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
69derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.1MderivedHNW RAUM over HNW clients
Average account
$1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
1.8derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody
$918M, 400 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$2.1B91%
  • Corporations and businesses$177M7.6%
  • Charitable organizations$15.3M0.7%
  • Individuals$12.9M0.6%
  • Insurance companies$8.7M0.4%
  • Pension and profit-sharing plans$5.2M0.2%
Individual clients
67reported
HNW clients
688reported
Pension plan clients
7reported
Charitable clients
9reported
Accounts
1,956reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$918M for 400 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.91 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
H•••• D•••••• M•••••Red Bank, NjNov 20, 202533 y1
S••• N••••• S•••••••Chartered Financial AnalystRed Bank, NjJan 5, 202611 y0
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • D•••••• C•••••• · Chief Compliance Officercontrol
    since 06/2011 · owns less than 5%
  • F••••••• J••••• F• · Managing Membercontrol
    since 06/2011 · owns less than 5%
  • F••••••• J••••• F• · Managing Membercontrol
    since 06/2011 · owns 75% or more of P••••••• C•••••• M••••••••• L••
Entity owners
  • P••••••• C•••••• M••••••••• L•• · Owner
    direct · owns 50% to 75%
  • W••• F•••••••• S••••••• G•••• L•• · Owner
    direct · owns 25% to 50%
  • W•••••• S•••• • B••••• P••• · Member
    indirect · owns 75% or more of W••• F•••••••• S••••••• G•••• L••
Related persons
Schedule D 7.A
Advisers that list W••••• W••••• M••••••••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Red Bank, Nj · principal1120
Irvine, Ca200
Tysons, Va200
New York, Ny000
Offices
Schedule D 1.F, the 25 largest
  • Bethesda, MD2 employees
  • Irvine, CA2 employees
  • Princeton, NJ1 employees
  • Whippany, NJ1 employees
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 1,799 to 1,956
    Nov 7, 2025 to Mar 22, 2026
  • Charity clients · 7 to 9
    Nov 7, 2025 to Mar 22, 2026
  • Corporate clients · 9 to 27
    Nov 7, 2025 to Mar 22, 2026
  • HNW clients · 649 to 688
    Nov 7, 2025 to Mar 22, 2026
  • Individual clients · 63 to 67
    Nov 7, 2025 to Mar 22, 2026
  • Pension plan clients · 8 to 7
    Nov 7, 2025 to Mar 22, 2026
  • Assets in custody · $631M to $918M
    Nov 7, 2025 to Mar 22, 2026
  • Employees · 12 to 13
    Nov 7, 2025 to Mar 22, 2026
  • Insurance-licensed employees · 10 to 9
    Nov 7, 2025 to Mar 22, 2026
  • Discretionary RAUM · $2.0B to $2.3B
    Nov 7, 2025 to Mar 22, 2026
  • HNW RAUM · $1.9B to $2.1B
    Nov 7, 2025 to Mar 22, 2026
  • Individual RAUM · $12.4M to $12.9M
    Nov 7, 2025 to Mar 22, 2026
  • Pension RAUM · $4.7M to $5.2M
    Nov 7, 2025 to Mar 22, 2026
  • RAUM · $2.0B to $2.3B
    Nov 7, 2025 to Mar 22, 2026
  • Other offices · 7 to 5
    Mar 25, 2025 to Nov 7, 2025
  • Accounts · 1,555 to 1,799
    Mar 29, 2024 to Mar 25, 2025
  • Charity clients · unset to 7.0
    Mar 29, 2024 to Mar 25, 2025
  • Corporate clients · 16 to 9
    Mar 29, 2024 to Mar 25, 2025
  • HNW clients · 590 to 649
    Mar 29, 2024 to Mar 25, 2025
  • Individual clients · 50 to 63
    Mar 29, 2024 to Mar 25, 2025
  • Pension plan clients · unset to 8.0
    Mar 29, 2024 to Mar 25, 2025
  • Assets in custody · $533M to $631M
    Mar 29, 2024 to Mar 25, 2025
  • Insurance-licensed employees · 6 to 10
    Mar 29, 2024 to Mar 25, 2025
  • Financial planning clients · 11-25 to 11-25
    Mar 29, 2024 to Mar 25, 2025
  • Discretionary RAUM · $1.6B to $2.0B
    Mar 29, 2024 to Mar 25, 2025
  • HNW RAUM · $1.5B to $1.9B
    Mar 29, 2024 to Mar 25, 2025
  • Individual RAUM · $11.2M to $12.4M
    Mar 29, 2024 to Mar 25, 2025
  • Pension RAUM · $1.6M to $4.7M
    Mar 29, 2024 to Mar 25, 2025
  • RAUM · $1.6B to $2.0B
    Mar 29, 2024 to Mar 25, 2025
  • Related insurance company · false to true
    Mar 29, 2024 to Mar 25, 2025
  • Accounts · 1,367 to 1,555
    Nov 6, 2023 to Mar 28, 2024
  • Advisory employees · 13 to 11
    Nov 6, 2023 to Mar 28, 2024
  • Charity clients · 7.0 to unset
    Nov 6, 2023 to Mar 28, 2024
  • Corporate clients · unset to 16.0
    Nov 6, 2023 to Mar 28, 2024
  • HNW clients · 522 to 590
    Nov 6, 2023 to Mar 28, 2024
  • Individual clients · 56 to 50
    Nov 6, 2023 to Mar 28, 2024
  • Assets in custody · $383M to $533M
    Nov 6, 2023 to Mar 28, 2024
  • Employees · 13 to 12
    Nov 6, 2023 to Mar 28, 2024
  • Insurance-licensed employees · 12 to 6
    Nov 6, 2023 to Mar 28, 2024
  • Financial planning clients · 1-10 to 11-25
    Nov 6, 2023 to Mar 28, 2024
Signals
5 dated events
  • A••• C• A•••••••• left W••••• W••••• M••••••••• for P••••••• A••••••••• L••• (registered 2024-12-05)
    Aug 4, 2025 · Advisor changed firm · fact
  • E•••• V••••••••• L••••••• left W••••• W••••• M••••••••• for V•••• W••••• P•••••••• L•• (registered 2024-01-23)
    Nov 1, 2023 · Advisor changed firm · fact
  • R••••• L•••• L•••••• left W••••• W••••• M••••••••• for Lido (registered 2023-02-01)
    May 12, 2022 · Advisor changed firm · fact
  • W••••• W••••• M••••••••• reported RAUM $1.2B, up 71% from $683.1M (2021-12-22 to 2022-03-25)
    Mar 25, 2022 · RAUM change · derived
  • W••••• W••••• M••••••••• reported RAUM $484.6M, up 28% from $378.6M (2018-05-11 to 2019-03-29)
    Mar 29, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
Business email
l••••••••@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone
732-450-0147reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile
linkedin.com/company/withum-wealthreportedpublic record, Form ADV, Sep 18, 2026
Website
W•••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
732-450-0147reportedpublic record, Form ADV, Mar 22, 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
$213Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026