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.
SEC-registered adviser
W••••••••
Legal name G••••••• P••• I••••••••• L••
Latest filing Aug 18, 2026
First filing on the tape Dec 2, 2019 · 23 filings
SEC status approved since Jan 3, 2020
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$0 as of Aug 18, 2026
Jan 15, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Aug 18, 2026
Mar 26, 20201 then
Employees (5.A)3 as of Aug 18, 2026
Mar 26, 20202 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 2
Practice profile
derived from the filing of Aug 18, 2026; every figure names its basis
- RAUM per advisor
- $0derivedRAUM 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
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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)
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
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• J•••• R••• | New York, Ny | Jul 27, 2026 | 11 y | 1 |
| M•••••• A•••••• | Savannah, Ga | Sep 8, 2026 | 11 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- C••••••••• H••••• M•••••••• to P••• F•••••••• I••••••••• L••Dec 11, 2020 · Other
Joined, latest
- W•••••• J•••• R••• from S••••• A•••• M••••••••• U•• I•••Jul 27, 2026 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••• M•••••• · Chief Compliance Officercontrolsince 05/2020 · owns less than 5%
- S••••• M••• · Presidentcontrolsince 05/2020 · owns less than 5%
- F••••••• S•••••• M••• · Managercontrolsince 05/2020 · owns F of G••• B•••••• I••••••••• L••
- H•••• J••• · Managercontrolsince 05/2020 · owns F of G••• B•••••• I••••••••• L••
- H•••••••• J•••• C•••••• · Managercontrolsince 05/2020 · owns F of G••• B•••••• I••••••••• L••
- S•••••••• E•••• S••••• · Managercontrolsince 05/2020 · owns F of G••• B•••••• I••••••••• L••
- T••••••• D•••••• M•••••• · Managercontrolsince 05/2020 · owns F of G••• B•••••• I••••••••• L••
Entity owners
- G••••••• H••••••• L•• · Memberdirect · owns 75% or more
- G••• B•••••• I••••••••• L•• · Memberindirect · owns F of G••••••• H••••••• L••
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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 1 to 2Feb 4, 2026 to Aug 18, 2026
- Advisory activities · 1 to 3Feb 4, 2026 to Aug 18, 2026
- BD registered reps · 0 to 2Feb 4, 2026 to Aug 18, 2026
- Business name · G••••••• P••• I••••••••• L•• to W••••••••Feb 4, 2026 to Aug 18, 2026
- Employees · 2 to 3Feb 4, 2026 to Aug 18, 2026
- State-registered IARs · 0 to 2Feb 4, 2026 to Aug 18, 2026
- Related broker-dealer · false to trueDec 2, 2025 to Feb 4, 2026
- Accounts · unset to 0.0Oct 23, 2024 to Jan 15, 2025
- Financial planning clients · unset to Oct 23, 2024 to Jan 15, 2025
- Discretionary RAUM · unset to 0.0Oct 23, 2024 to Jan 15, 2025
- Non-discretionary RAUM · unset to 0.0Oct 23, 2024 to Jan 15, 2025
- RAUM · unset to 0.0Oct 23, 2024 to Jan 15, 2025
- Other offices · 1 to 0Oct 12, 2023 to Feb 20, 2024
- Business name · W•••••••• to G••••••• P••• I••••••••• L••Mar 29, 2022 to Feb 16, 2023
- Other offices · 0 to 1Mar 29, 2022 to Feb 16, 2023
- HQ city · SEBASTOPOL to NEW YORKJul 12, 2021 to Aug 3, 2021
- HQ state · CA to NYJul 12, 2021 to Aug 3, 2021
- Business name · G••••••• P••• I••••••••• L•• to W••••••••May 28, 2021 to Jul 12, 2021
- State-registered IARs · 1 to 0Mar 30, 2021 to May 28, 2021
- Other offices · 1 to 0Jun 30, 2020 to Mar 30, 2021
Signals
13 dated events
- A••• D•••• (Senior Vice President) no longer on Schedule A of Wealthion (listed 2022-03-29, absent 2023-02-16)Feb 16, 2023 · Control person left · inference
- M••• S•••• (President) appeared on Schedule A of WealthionMay 28, 2021 · Control person joined · fact
- A••• D•••• (Senior Vice President) appeared on Schedule A of WealthionMay 28, 2021 · Control person joined · fact
- Mark Steven Feldman (Manager) appeared on Schedule A of WealthionJun 30, 2020 · Control person joined · fact
- Michael Daniel Tapiero (Manager) appeared on Schedule A of WealthionJun 30, 2020 · Control person joined · fact
- Clemens J••• Hathaway (Manager) appeared on Schedule A of WealthionJun 30, 2020 · Control person joined · fact
- Stuart Eric Schwartz (Manager) appeared on Schedule A of WealthionJun 30, 2020 · Control person joined · fact
- Michael Loew (Chief Compliance Officer) appeared on Schedule A of WealthionJun 30, 2020 · Control person joined · fact
- J••• H••• (Manager) appeared on Schedule A of WealthionJun 30, 2020 · Control person joined · fact
- Christopher Martenson (Chief Executive Officer/Chief Compliance Officer) no longer on Schedule A of Wealthion (listed 2020-03-26, absent 2020-06-30)Jun 30, 2020 · Control person left · inference
- Adam Parker Andrew Taggart (Executive Officer) no longer on Schedule A of Wealthion (listed 2020-03-26, absent 2020-06-30)Jun 30, 2020 · Control person left · inference
- Smith Ashley Taggart (Member) no longer on Schedule A of Wealthion (listed 2020-03-26, absent 2020-06-30)Jun 30, 2020 · Control person left · inference
- G••••••• P••• I••••••••• L•• filed its initial SEC registration (Form ADV)Dec 2, 2019 · 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
- Firm profile
- linkedin.com/company/wealthionreportedpublic record, Form ADV, Sep 18, 2026
- Website
- wealthion.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-822-1269reportedpublic record, Form ADV, Aug 18, 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
- No RAUM reportedderiveda 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