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•••• F•••••••• G•••• L••
Latest filing Jan 27, 2026
First filing on the tape Nov 18, 2011 · 60 filings
SEC status approved since Dec 2, 2011
RAUM
$90.0M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
90%
$81.4M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$45.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
60 filings and snapshots on the tape
RAUM$90.0M as of Jan 27, 2026
Oct 5, 2012$35.8M then
HNW client RAUM$58.8M as of Jan 27, 2026
Mar 14, 2018$27.4M then
State-registered IARs (5.B.3)2 as of Jan 27, 2026
Oct 5, 20120 then
Employees (5.A)2 as of Jan 27, 2026
Mar 20, 20133 then
Private funds: no history
RAUM +18% over the last fiscal year+14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 27, 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
- $45.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $361,627derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 9.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- yesreportedItem 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$58.8M65%
- Individuals$22.6M25%
- Pension and profit-sharing plans$8.5M9.5%
- Corporations and businesses$102,4220.1%
- Individual clients
- 74reported
- HNW clients
- 31reported
- Pension plan clients
- 3reported
- Charitable clients
- 0reported
- Accounts
- 249reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• D• W•••• | Mahopac, Ny | Jan 3, 2012 | 18 y | 1 |
| S•••• G• W•••• | Mahopac, Ny | Jan 3, 2012 | 16 y | 1 |
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
- S•••• G• W•••• from A•••• • F•••••••• P•••••••• L••Jan 3, 2012 · Other
- K•••• D• W•••• from A•••• • F•••••••• P•••••••• L••Jan 3, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••• K••••• D• · Chief Information Officercontrolsince 09/2011 · owns 50% to 75%
- W••••• S••••• G• · Chief Compliance Officercontrolsince 09/2011 · owns 50% to 75%
Related persons
Schedule D 7.A
- W•••• A••••••• G••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mahopac, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 247 to 249Jan 15, 2025 to Jan 27, 2026
- HNW clients · 22 to 31Jan 15, 2025 to Jan 27, 2026
- Individual clients · 83 to 74Jan 15, 2025 to Jan 27, 2026
- Pension plan clients · 4 to 3Jan 15, 2025 to Jan 27, 2026
- Discretionary RAUM · $75.3M to $86.8MJan 15, 2025 to Jan 27, 2026
- HNW RAUM · $42.2M to $58.8MJan 15, 2025 to Jan 27, 2026
- Individual RAUM · $28.6M to $22.6MJan 15, 2025 to Jan 27, 2026
- Non-discretionary RAUM · $856,000 to $3.3MJan 15, 2025 to Jan 27, 2026
- Pension RAUM · $5.2M to $8.5MJan 15, 2025 to Jan 27, 2026
- RAUM · $76.2M to $90.0MJan 15, 2025 to Jan 27, 2026
- Accounts · 249 to 247Mar 15, 2024 to Jan 15, 2025
- HNW clients · 26 to 22Mar 15, 2024 to Jan 15, 2025
- Individual clients · 81 to 83Mar 15, 2024 to Jan 15, 2025
- Financial planning clients · 1-10 to 1-10Mar 15, 2024 to Jan 15, 2025
- Discretionary RAUM · $64.7M to $75.3MMar 15, 2024 to Jan 15, 2025
- HNW RAUM · $37.5M to $42.2MMar 15, 2024 to Jan 15, 2025
- Individual RAUM · $23.6M to $28.6MMar 15, 2024 to Jan 15, 2025
- Non-discretionary RAUM · $3.0M to $856,000Mar 15, 2024 to Jan 15, 2025
- Pension RAUM · $6.5M to $5.2MMar 15, 2024 to Jan 15, 2025
- RAUM · $67.7M to $76.2MMar 15, 2024 to Jan 15, 2025
- Accounts · 258 to 249Jan 10, 2024 to Feb 5, 2024
- HNW clients · 27 to 26Jan 10, 2024 to Feb 5, 2024
- Individual clients · 79 to 81Jan 10, 2024 to Feb 5, 2024
- Pension plan clients · 3 to 4Jan 10, 2024 to Feb 5, 2024
- Discretionary RAUM · $60.4M to $64.7MJan 10, 2024 to Feb 5, 2024
- HNW RAUM · $37.1M to $37.5MJan 10, 2024 to Feb 5, 2024
- Individual RAUM · $21.1M to $23.6MJan 10, 2024 to Feb 5, 2024
- Non-discretionary RAUM · $850,000 to $3.0MJan 10, 2024 to Feb 5, 2024
- Pension RAUM · $2.9M to $6.5MJan 10, 2024 to Feb 5, 2024
- RAUM · $61.2M to $67.7MJan 10, 2024 to Feb 5, 2024
- Accounts · 270 to 258Feb 7, 2022 to Feb 20, 2023
- Individual clients · 86 to 79Feb 7, 2022 to Feb 20, 2023
- Discretionary RAUM · $77.1M to $60.4MFeb 7, 2022 to Feb 20, 2023
- HNW RAUM · $42.1M to $37.1MFeb 7, 2022 to Feb 20, 2023
- Individual RAUM · $31.8M to $21.1MFeb 7, 2022 to Feb 20, 2023
- Non-discretionary RAUM · $0 to $850,000Feb 7, 2022 to Feb 20, 2023
- Pension RAUM · $3.1M to $2.9MFeb 7, 2022 to Feb 20, 2023
- RAUM · $77.1M to $61.2MFeb 7, 2022 to Feb 20, 2023
- Accounts · 275 to 270Oct 8, 2021 to Feb 7, 2022
- Corporate clients · 0 to 1Oct 8, 2021 to Feb 7, 2022
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.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/W••••-FINANCIAL-GROUPreportedpublic record, Form ADV, Sep 19, 2026
- Website
- monkeybizness.blogreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 845-621-4700reportedpublic record, Form ADV, Jan 27, 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
- $45.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026