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••••• P•• A•••••••• I•••
Latest filing Mar 19, 2026
First filing on the tape Nov 26, 2019 · 11 filings
SEC status approved since Jan 2, 2020
RAUM
$317M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
100%
$317M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$159M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$317M as of Mar 19, 2026
Mar 31, 2021$181M then
HNW client RAUM$206M as of Mar 19, 2026
Mar 31, 2021$115M then
State-registered IARs (5.B.3)2 as of Mar 19, 2026
Mar 31, 20212 then
Employees (5.A)6 as of Mar 19, 2026
Mar 31, 20214 then
Private funds: no history
RAUM +3.2% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 19, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $159MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 106derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $780,066derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$206M65%
- Individuals$112M35%
- Individual clients
- 80reported
- HNW clients
- 132reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 407reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false 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 |
|---|---|---|---|---|
| K•••••••• T• A•••••••• | Sarasota, Fl | Mar 19, 2020 | 13 y | 1 |
| D•••• G••••• S•••• | Sarasota, Fl | Jan 1, 2026 | 24 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- D•••• G••••• S•••• to T••••••••• C•••••• L••Mar 26, 2019 · Other
Joined, latest
- D•••• G••••• S•••• from T••••••••• C•••••• L••Jan 1, 2026 · RIA to RIA
- K•••••••• T• A•••••••• from T••••••••• C•••••• L••Mar 19, 2020 · RIA to a newly registered adviser
- D•••• G••••• S•••• from T•••••••• A••••••• G••••• I•••Mar 18, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from T••••••••• C•••••• L••Feb 27, 2020 · Sarasota, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• D••••• G••••• · President And Chief Compliance Officercontrolsince 03/2009 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Sarasota, Fl · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 396 to 407Mar 26, 2025 to Mar 19, 2026
- Advisory employees · 2 to 3Mar 26, 2025 to Mar 19, 2026
- HNW clients · 120 to 132Mar 26, 2025 to Mar 19, 2026
- Individual clients · 85 to 80Mar 26, 2025 to Mar 19, 2026
- Employees · 4 to 6Mar 26, 2025 to Mar 19, 2026
- Discretionary RAUM · $247M to $263MMar 26, 2025 to Mar 19, 2026
- HNW RAUM · $197M to $206MMar 26, 2025 to Mar 19, 2026
- Individual RAUM · $111M to $112MMar 26, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $60.6M to $54.9MMar 26, 2025 to Mar 19, 2026
- RAUM · $308M to $317MMar 26, 2025 to Mar 19, 2026
- Discretionary RAUM · $215M to $247MMar 18, 2024 to Mar 26, 2025
- HNW RAUM · $171M to $197MMar 18, 2024 to Mar 26, 2025
- Individual RAUM · $102M to $111MMar 18, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $58.1M to $60.6MMar 18, 2024 to Mar 26, 2025
- RAUM · $273M to $308MMar 18, 2024 to Mar 26, 2025
- Accounts · 409 to 396Mar 18, 2024 to Mar 26, 2025
- HNW clients · 116 to 120Mar 18, 2024 to Mar 26, 2025
- Individual clients · 82 to 85Mar 18, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Mar 18, 2024 to Mar 26, 2025
- Accounts · 370 to 409Mar 23, 2023 to Mar 18, 2024
- HNW clients · 105 to 116Mar 23, 2023 to Mar 18, 2024
- Individual clients · 78 to 82Mar 23, 2023 to Mar 18, 2024
- Discretionary RAUM · $179M to $215MMar 23, 2023 to Mar 18, 2024
- HNW RAUM · $143M to $171MMar 23, 2023 to Mar 18, 2024
- Individual RAUM · $88.5M to $102MMar 23, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $52.7M to $58.1MMar 23, 2023 to Mar 18, 2024
- RAUM · $231M to $273MMar 23, 2023 to Mar 18, 2024
- Accounts · 360 to 370Mar 17, 2022 to Mar 23, 2023
- HNW clients · 103 to 105Mar 17, 2022 to Mar 23, 2023
- Individual clients · 75 to 78Mar 17, 2022 to Mar 23, 2023
- Discretionary RAUM · $174M to $179MMar 17, 2022 to Mar 23, 2023
- HNW RAUM · $139M to $143MMar 17, 2022 to Mar 23, 2023
- Individual RAUM · $83.3M to $88.5MMar 17, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $48.1M to $52.7MMar 17, 2022 to Mar 23, 2023
- RAUM · $223M to $231MMar 17, 2022 to Mar 23, 2023
- Accounts · 301 to 360Mar 31, 2021 to Mar 17, 2022
- HNW clients · 89 to 103Mar 31, 2021 to Mar 17, 2022
- Individual clients · 65 to 75Mar 31, 2021 to Mar 17, 2022
- Discretionary RAUM · $144M to $174MMar 31, 2021 to Mar 17, 2022
- HNW RAUM · $115M to $139MMar 31, 2021 to Mar 17, 2022
Signals
1 dated events
- W••••• P•• A•••••••• I••• filed its initial SEC registration (Form ADV)Nov 26, 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
- Business email
- bethaney@wpainc.bizreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- katey@wpainc.bizreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- laura@wpainc.bizreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- magalie@wpainc.bizreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-637-3211reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 941-907-2203reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 941-907-2203reportedpublic record, Form ADV, Mar 19, 2026
- Team page
- WPAINC.BIZ/teamreportedpublished by the firm, firm site, Sep 15, 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
- $159Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026