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••••••••• A•••••••
Legal name W••••••••• C•••••• M••••••••• L•••••
Latest filing May 27, 2026
First filing on the tape Mar 8, 2022 · 10 filings
SEC status approved since Apr 7, 2022
RAUM
$214M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$210M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$42.9M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$214M as of May 27, 2026
Feb 15, 2023$121M then
HNW client RAUM$136M as of May 27, 2026
Feb 15, 2023$65.6M then
State-registered IARs (5.B.3)5 as of May 27, 2026
Feb 15, 20236 then
Employees (5.A)5 as of May 27, 2026
Feb 15, 20236 then
Private funds: no history
RAUM +30% over the last fiscal year+21% a year over threeIARs 5 to 5
Practice profile
derived from the filing of May 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
- 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
- RAUM per advisor
- $42.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $274,717derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 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
- +1.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $75.9M, 308 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$136M64%
- Individuals$74.1M35%
- Corporations and businesses$2.9M1.4%
- Charitable organizations$286,5740.1%
- Individual clients
- 204reported
- HNW clients
- 63reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 780reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $75.9M for 308 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• C••••••••• W••••• | Virginia Beach, Va | Jan 25, 2012 | 32 y | 2 |
| T•••• W•••• W••••• | Virginia Beach, Va | Apr 3, 2012 | 36 y | 2 |
| R••• W•••• W•••••Chartered Financial Analyst | Virginia Beach, Va | Apr 27, 2015 | 11 y | 0 |
| H•••• M••••••• R•••Chartered Financial Consultant | Virginia Beach, Va | Jan 2, 2019 | 13 y | 0 |
| B••••••• N••• H••••••Certified Financial Planner | Virginia Beach, Va | Dec 21, 2020 | 17 y | 2 |
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
- B••••••• N••• H•••••• from S••••••••• A•••••• A•••••••• I•••Dec 21, 2020 · Affiliated broker-dealer or bank to independent RIA
- T•••• W•••• W••••• from F•••• A••••• A••••••• S•••••••• I•••Apr 3, 2012 · Other
- R••••• C••••••••• W••••• from F•••• A••••• A••••••• S•••••••• I•••Jan 25, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••• R•••••• C••••••••• · Managing Partner/Member/Chief Compliance Officercontrolsince 10/2011 · owns 50% to 75%
- W•••••• T••••• W•••• · Senior Partner/Membercontrolsince 10/2011 · owns 50% to 75%
Related persons
Schedule D 7.A
- W••••••••• I•••••••• S•••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Virginia Beach, Va · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Individual clients · 207 to 204Mar 4, 2026 to May 27, 2026
- Discretionary RAUM · $195M to $214MMar 4, 2026 to May 27, 2026
- HNW RAUM · $125M to $136MMar 4, 2026 to May 27, 2026
- Individual RAUM · $65.6M to $74.1MMar 4, 2026 to May 27, 2026
- RAUM · $195M to $214MMar 4, 2026 to May 27, 2026
- Accounts · 714 to 780Jun 30, 2025 to Mar 4, 2026
- HNW clients · 41 to 63Jun 30, 2025 to Mar 4, 2026
- Individual clients · 225 to 207Jun 30, 2025 to Mar 4, 2026
- Assets in custody · $61.5M to $75.9MJun 30, 2025 to Mar 4, 2026
- Discretionary RAUM · $163M to $195MJun 30, 2025 to Mar 4, 2026
- HNW RAUM · $84.1M to $125MJun 30, 2025 to Mar 4, 2026
- Individual RAUM · $77.3M to $65.6MJun 30, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $1.6M to $0Jun 30, 2025 to Mar 4, 2026
- RAUM · $165M to $195MJun 30, 2025 to Mar 4, 2026
- Financial planning clients · 101-250 to 101-250Mar 5, 2025 to Jun 30, 2025
- Accounts · 673 to 714Nov 20, 2024 to Mar 5, 2025
- Corporate clients · 5 to 4Nov 20, 2024 to Mar 5, 2025
- HNW clients · 42 to 41Nov 20, 2024 to Mar 5, 2025
- Individual clients · 222 to 225Nov 20, 2024 to Mar 5, 2025
- Assets in custody · unset to 61467062.0Nov 20, 2024 to Mar 5, 2025
- Custody of client assets · false to trueNov 20, 2024 to Mar 5, 2025
- Financial planning clients · 11-25 to 101-250Nov 20, 2024 to Mar 5, 2025
- Discretionary RAUM · $138M to $163MNov 20, 2024 to Mar 5, 2025
- HNW RAUM · $72.8M to $84.1MNov 20, 2024 to Mar 5, 2025
- Individual RAUM · $65.3M to $77.3MNov 20, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $2.7M to $1.6MNov 20, 2024 to Mar 5, 2025
- RAUM · $141M to $165MNov 20, 2024 to Mar 5, 2025
- Advisory employees · 4 to 3Jul 15, 2024 to Nov 20, 2024
- Employees · 6 to 5Jul 15, 2024 to Nov 20, 2024
- State-registered IARs · 6 to 5Jul 15, 2024 to Nov 20, 2024
- Accounts · 618 to 673Feb 15, 2023 to Mar 22, 2024
- Charity clients · 0 to 1Feb 15, 2023 to Mar 22, 2024
- Corporate clients · unset to 5.0Feb 15, 2023 to Mar 22, 2024
- HNW clients · 41 to 42Feb 15, 2023 to Mar 22, 2024
- Individual clients · 215 to 222Feb 15, 2023 to Mar 22, 2024
- Discretionary RAUM · $119M to $138MFeb 15, 2023 to Mar 22, 2024
- HNW RAUM · $65.6M to $72.8MFeb 15, 2023 to Mar 22, 2024
- Individual RAUM · $54.7M to $65.3MFeb 15, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $2.3M to $2.7MFeb 15, 2023 to Mar 22, 2024
- RAUM · $121M to $141MFeb 15, 2023 to Mar 22, 2024
Signals
1 dated events
- W••••••••• A••••••• filed its initial SEC registration (Form ADV)Mar 8, 2022 · ria f•••• adv filing · 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
- info@wealthtrakcm.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 757-523-1250reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- W•••••••••CM.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (757) 523-1250reportedpublic record, Form ADV, May 27, 2026
- Contact form
- wealthtrakcm.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- wealthtrakcm.com/meet-the-teamreportedpublished 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
- $42.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026