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
M••••• • W•••• W••••• M•••••••••
Latest filing Mar 16, 2026
First filing on the tape Mar 27, 2012 · 19 filings
SEC status approved since Feb 29, 2012
RAUM
$988M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$937M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$988M as of Mar 16, 2026
Mar 26, 2013$526M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 16, 2026
Mar 26, 20130 then
Employees (5.A)2 as of Mar 16, 2026
Mar 26, 20133 then
Private funds: no history
RAUM +17% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 16, 2026; 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
- $3.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.7%derivedpensions, 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
- +17%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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$937M96%
- Corporations and businesses$16.7M1.7%
- Pension and profit-sharing plans$14.2M1.4%
- Charitable organizations$12.9M1.3%
- Individual clients
- 275reported
- HNW clients
- n/areported
- Pension plan clients
- 2reported
- Charitable clients
- 3reported
- Accounts
- 298reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• J•••• S•••••• · Membercontrolsince 02/2012 · owns 25% to 50%
- W••••• J•••• M•••••• · Membercontrolsince 12/2017 · owns 25% to 50%
- K•••• C••••••• G•• · Portfolio Managersince 03/2012 · owns 25% to 50%
- M•••••• E••••••••• P•••• · Managing Director, Ccosince 01/2014 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list M••••• • W•••• W••••• M••••••••• as a related person
- 109151 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 245 to 298Jun 23, 2025 to Mar 16, 2026
- Advisory employees · 3 to 2Jun 23, 2025 to Mar 16, 2026
- Charity clients · 4 to 3Jun 23, 2025 to Mar 16, 2026
- Corporate clients · 6 to 14Jun 23, 2025 to Mar 16, 2026
- Individual clients · 219 to 275Jun 23, 2025 to Mar 16, 2026
- Pension plan clients · 11 to 2Jun 23, 2025 to Mar 16, 2026
- Assets in custody · $19.8M to $24.1MJun 23, 2025 to Mar 16, 2026
- Employees · 3 to 2Jun 23, 2025 to Mar 16, 2026
- Financial planning clients · 51-100 to 101-250Jun 23, 2025 to Mar 16, 2026
- Discretionary RAUM · $847M to $984MJun 23, 2025 to Mar 16, 2026
- Individual RAUM · $714M to $937MJun 23, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $0 to $3.7MJun 23, 2025 to Mar 16, 2026
- Pension RAUM · $109M to $14.2MJun 23, 2025 to Mar 16, 2026
- RAUM · $847M to $988MJun 23, 2025 to Mar 16, 2026
- Financial planning clients · 51-100 to 51-100Apr 28, 2025 to Jun 23, 2025
- Accounts · 257 to 245Jul 22, 2024 to Apr 28, 2025
- Advisory employees · 4 to 3Jul 22, 2024 to Apr 28, 2025
- Charity clients · 3 to 4Jul 22, 2024 to Apr 28, 2025
- Corporate clients · 5 to 6Jul 22, 2024 to Apr 28, 2025
- Individual clients · 232 to 219Jul 22, 2024 to Apr 28, 2025
- Pension plan clients · 12 to 11Jul 22, 2024 to Apr 28, 2025
- Assets in custody · $20.3M to $19.8MJul 22, 2024 to Apr 28, 2025
- Employees · 4 to 3Jul 22, 2024 to Apr 28, 2025
- Financial planning clients · 26-50 to 51-100Jul 22, 2024 to Apr 28, 2025
- Discretionary RAUM · $854M to $847MJul 22, 2024 to Apr 28, 2025
- Individual RAUM · $715M to $714MJul 22, 2024 to Apr 28, 2025
- Pension RAUM · $117M to $109MJul 22, 2024 to Apr 28, 2025
- RAUM · $854M to $847MJul 22, 2024 to Apr 28, 2025
- Accounts · 236 to 257Jan 5, 2023 to Mar 15, 2024
- Business name · D•••••• • K•••• L•• to M••••• • W•••• W••••• M•••••••••Jan 5, 2023 to Mar 15, 2024
- Charity clients · 6 to 3Jan 5, 2023 to Mar 15, 2024
- Corporate clients · 4 to 5Jan 5, 2023 to Mar 15, 2024
- Individual clients · 213 to 232Jan 5, 2023 to Mar 15, 2024
- Pension plan clients · 10 to 12Jan 5, 2023 to Mar 15, 2024
- Assets in custody · $20.2M to $20.3MJan 5, 2023 to Mar 15, 2024
- Financial planning clients · 1-10 to 26-50Jan 5, 2023 to Mar 15, 2024
- Legal name · D•••••• • K•••• L•• to M••••• • W•••• W••••• M•••••••••Jan 5, 2023 to Mar 15, 2024
- Discretionary RAUM · $694M to $854MJan 5, 2023 to Mar 15, 2024
- Individual RAUM · $608M to $715MJan 5, 2023 to Mar 15, 2024
- Pension RAUM · $72.1M to $117MJan 5, 2023 to Mar 15, 2024
Signals
1 dated events
- D•••••• • K•••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 27, 2012 · Succession (Item 4) · 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
- i•••@m•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- e••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- j•••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- s••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 434-977-7010reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- M•••••ANDW••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 434-977-7010reportedpublic record, Form ADV, Mar 16, 2026
- Contact form
- m•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026