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.

Former SEC-registered adviser

W••••••• F••••••••• I•••

Former SEC-registered adviserBuffalo, New YorkCRD 158852SEC 801-72751IAPD
Legal name D•••••• I•••
Latest filing Jul 28, 2017
First filing on the tape Feb 10, 2012 · 13 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$184M as of Oct 28, 2016
Aug 25, 2012$155M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Oct 28, 2016
Aug 25, 20120 then
Employees (5.A)4 as of Oct 28, 2016
Sep 10, 20134 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 28, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-2.7%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • S•••••••• D••••••• A•• · Chief Compliance Officer, Ownercontrol
      since 07/2011 · owns less than 5%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 318.0 to unset
      Jul 25, 2017 to Jul 28, 2017
    • Legal name · W••••••• F••••••••• I••• to DAS-WFI INC.
      Jul 25, 2017 to Jul 28, 2017
    • Discretionary RAUM · 168578746.0 to unset
      Jul 25, 2017 to Jul 28, 2017
    • Non-discretionary RAUM · 7684801.0 to unset
      Jul 25, 2017 to Jul 28, 2017
    • RAUM · 176263547.0 to unset
      Jul 25, 2017 to Jul 28, 2017
    • Accounts · 445 to 318
      Mar 6, 2017 to Jul 25, 2017
    • Advisory employees · 3 to 2
      Mar 6, 2017 to Jul 25, 2017
    • Employees · 4 to 2
      Mar 6, 2017 to Jul 25, 2017
    • Discretionary RAUM · $177M to $169M
      Mar 6, 2017 to Jul 25, 2017
    • Non-discretionary RAUM · $7.5M to $7.7M
      Mar 6, 2017 to Jul 25, 2017
    • RAUM · $184M to $176M
      Mar 6, 2017 to Jul 25, 2017
    • Accounts · 452 to 445
      Sep 9, 2015 to Oct 28, 2016
    • Discretionary RAUM · $180M to $177M
      Sep 9, 2015 to Oct 28, 2016
    • Non-discretionary RAUM · $9.2M to $7.5M
      Sep 9, 2015 to Oct 28, 2016
    • RAUM · $189M to $184M
      Sep 9, 2015 to Oct 28, 2016
    • Related adviser · false to true
      Oct 28, 2016 to Oct 28, 2016
    • Accounts · 421 to 452
      Aug 28, 2014 to Sep 9, 2015
    • Advisory activities · 3 to 4
      Aug 28, 2014 to Sep 9, 2015
    • Discretionary RAUM · $180M to $180M
      Aug 28, 2014 to Sep 9, 2015
    • Non-discretionary RAUM · $13.5M to $9.2M
      Aug 28, 2014 to Sep 9, 2015
    • RAUM · $194M to $189M
      Aug 28, 2014 to Sep 9, 2015
    • Accounts · 396 to 421
      Dec 4, 2013 to Aug 28, 2014
    • Discretionary RAUM · $163M to $180M
      Dec 4, 2013 to Aug 28, 2014
    • Non-discretionary RAUM · $15.2M to $13.5M
      Dec 4, 2013 to Aug 28, 2014
    • RAUM · $178M to $194M
      Dec 4, 2013 to Aug 28, 2014
    • Accounts · 384 to 396
      Dec 19, 2012 to Sep 10, 2013
    • Discretionary RAUM · $143M to $163M
      Dec 19, 2012 to Sep 10, 2013
    • Non-discretionary RAUM · $12.3M to $15.2M
      Dec 19, 2012 to Sep 10, 2013
    • RAUM · $155M to $178M
      Dec 19, 2012 to Sep 10, 2013
    • Advisory employees · unset to 3.0
      Aug 25, 2012 to Dec 19, 2012
    • Employees · unset to 4.0
      Aug 25, 2012 to Dec 19, 2012
    • Accounts · 363 to 384
      Mar 27, 2012 to Aug 25, 2012
    • Financial planning clients · 0 to 51-100
      Mar 27, 2012 to Aug 25, 2012
    • Discretionary RAUM · $132M to $143M
      Mar 27, 2012 to Aug 25, 2012
    • Non-discretionary RAUM · $12.8M to $12.3M
      Mar 27, 2012 to Aug 25, 2012
    • RAUM · $145M to $155M
      Mar 27, 2012 to Aug 25, 2012
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026