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
P••••••••• W•••••• L••
Latest filing Feb 9, 2026
First filing on the tape Mar 24, 2025 · 3 filings
SEC status approved since Mar 10, 2025
RAUM
$130M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
82%
$107M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$32.6M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$130M as of Feb 9, 2026
Mar 24, 2025$107M then
HNW client RAUM$75.5M as of Feb 9, 2026
Mar 24, 2025$52.3M then
State-registered IARs (5.B.3)4 as of Feb 9, 2026
Mar 24, 20254 then
Employees (5.A)4 as of Feb 9, 2026
Mar 24, 20254 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Feb 9, 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
- $32.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $270,832derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$75.5M59%
- Individuals$31.8M25%
- Corporations and businesses$21.3M16%
- Charitable organizations$263,0000.2%
- Individual clients
- 104reported
- HNW clients
- 49reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 481reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.82 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••••• W•••••• S••••••Certified Financial Planner | Roanoke, Va | Oct 2, 2012 | 18 y | 2 |
| E••• M•••••• M••••••••• | Roanoke, Va | Jun 18, 2019 | 15 y | 0 |
| T•••••• E••••• M••••• | Roanoke, Va | May 2, 2023 | 32 y | 0 |
| Z•••••• T••• C•••• | Tazewell, Va | Feb 18, 2025 | 10 y | 0 |
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••••••• W•••••• S•••••• from I••••• F•••••••• C•••••••••Oct 2, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• B•••••••• W•••••• · Managing Membercontrolsince 09/2012 · owns 75% or more
- M••••••••• E•••• M•••••• · Chief Compliance Officersince 02/2025 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Roanoke, Va · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 474 to 481Oct 22, 2025 to Feb 9, 2026
- Corporate clients · 14 to 13Oct 22, 2025 to Feb 9, 2026
- HNW clients · 34 to 49Oct 22, 2025 to Feb 9, 2026
- Individual clients · 116 to 104Oct 22, 2025 to Feb 9, 2026
- Financial planning clients · 0 to 11-25Oct 22, 2025 to Feb 9, 2026
- Discretionary RAUM · $122M to $126MOct 22, 2025 to Feb 9, 2026
- HNW RAUM · $60.2M to $75.5MOct 22, 2025 to Feb 9, 2026
- Individual RAUM · $45.2M to $31.8MOct 22, 2025 to Feb 9, 2026
- Non-discretionary RAUM · $4.5M to $4.7MOct 22, 2025 to Feb 9, 2026
- RAUM · $127M to $130MOct 22, 2025 to Feb 9, 2026
- Accounts · 442 to 474Mar 24, 2025 to Oct 22, 2025
- Corporate clients · 13 to 14Mar 24, 2025 to Oct 22, 2025
- HNW clients · 33 to 34Mar 24, 2025 to Oct 22, 2025
- Individual clients · 113 to 116Mar 24, 2025 to Oct 22, 2025
- Financial planning clients · 0 to 0Mar 24, 2025 to Oct 22, 2025
- Discretionary RAUM · $105M to $122MMar 24, 2025 to Oct 22, 2025
- HNW RAUM · $52.3M to $60.2MMar 24, 2025 to Oct 22, 2025
- Individual RAUM · $36.5M to $45.2MMar 24, 2025 to Oct 22, 2025
- Non-discretionary RAUM · $2.5M to $4.5MMar 24, 2025 to Oct 22, 2025
- RAUM · $107M to $127MMar 24, 2025 to Oct 22, 2025
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
- Business phone
- 276-229-4123reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 304-278-3343reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 540-904-7969reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 540-904-7969reportedpublic record, Form ADV, Feb 9, 2026
- Contact form
- p•••••••••.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
- $32.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026