DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

W•••••• • A••••••••• W••••• M•••••••••

Former SEC-registered adviserMiddleburg, VirginiaCRD 169677SEC 801-107441website IAPD

Legal name W•••••• W•••••• L••

Latest filing Jun 3, 2020

First filing on the tape Mar 11, 2016 · 15 filings

RAUM

$49.1M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

97%

$47.6M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$24.5M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

15 filings and snapshots on the tape

RAUM$49.1M as of Mar 16, 2020

Mar 28, 2017$113M then

HNW client RAUM$12.5M as of Mar 16, 2020

Feb 12, 2018$70.0M then

State-registered IARs (5.B.3)2 as of Mar 16, 2020

Mar 28, 20175 then

Employees (5.A)4 as of Mar 16, 2020

Mar 28, 20177 then

Private funds: no history

RAUM -66% over the last fiscal year-24% a year over threeIARs 4 to 2offices 1 to 0

Practice profile

derived from the filing of Jun 3, 2020; every figure names its basis

RAUM per advisor: $24.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 30derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $625,000derivedHNW RAUM over HNW clients
Average account: $412,479derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -66%derivedbetween the last two annual amendments
Advisor growth, one year: -50%derivedItem 5.B.3 between annual amendments
Client growth, one year: -64%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Wrap fee program: $49.1MreportedItem 5.I
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

Individuals$35.1M71%
High-net-worth individuals$12.5M25%
Charitable organizations$1.5M3.1%

Individual clients: 40reported
HNW clients: 20reported
Pension plan clients: n/areported
Charitable clients: 2reported
Accounts: 119reported
Financial planning clients: 11-25reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
T••••• R••• W••••••	Middleburg, Va	Oct 22, 2015	41 y	1
J••••• T••• C•••••••••	Middleburg, Va	Oct 2, 2025	11 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 headcount1 left over 36 months

Left, latest

L••• Z•••••••• to B••••••••• W•••••
Jan 16, 2025 · RIA to RIA
J••••• D••••• B••••••••• to B••••••••• W•••••
Feb 4, 2020 · RIA to a newly registered adviser
J•••••• A•••• H••• to B••••••••• W•••••
Jan 22, 2020 · RIA to a newly registered adviser

Joined, latest

T••••• R••• W•••••• from A••••••• G•••••• S••••••••• I•••••••••
Oct 22, 2015 · Other
J•••••• A•••• H••• from T••••••• I••••••••• M••••••••• I•••
May 7, 2014 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for B••••••••• W•••••
Jan 22, 2020 · Middleburg, Va

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

W••••••• T•••••• R••• · Principalcontrol
since 10/2013 · owns less than 5%
W••••••• T•••••• R••• · President / Ownercontrol
since 12/1994 · owns 75% or more of W•••••• A•• A••••••••• F•••••••• S•••••••• L••
Z••••••••• L••• · Chief Compliance Officer
since 02/2020 · owns less than 5%

Entity owners

W•••••• A•• A••••••••• F•••••••• S•••••••• L•• · Owner
direct · 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
Middleburg, Va · principal	2	1	0
Winchester, Va	1	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 170 to 119
Feb 21, 2020 to Mar 16, 2020
Advisory employees · 4 to 2
Feb 21, 2020 to Mar 16, 2020
Charity clients · 5 to 2
Feb 21, 2020 to Mar 16, 2020
HNW clients · 65 to 20
Feb 21, 2020 to Mar 16, 2020
Individual clients · 100 to 40
Feb 21, 2020 to Mar 16, 2020
Employees · 6 to 4
Feb 21, 2020 to Mar 16, 2020
Financial planning clients · 26-50 to 11-25
Feb 21, 2020 to Mar 16, 2020
State-registered IARs · 4 to 2
Feb 21, 2020 to Mar 16, 2020
Discretionary RAUM · $145M to $49.1M
Feb 21, 2020 to Mar 16, 2020
HNW RAUM · $110M to $12.5M
Feb 21, 2020 to Mar 16, 2020
Individual RAUM · $30.0M to $35.1M
Feb 21, 2020 to Mar 16, 2020
RAUM · $145M to $49.1M
Feb 21, 2020 to Mar 16, 2020
HQ city · WINCHESTER to MIDDLEBURG
Mar 15, 2019 to Feb 21, 2020
Other offices · 1 to 0
Mar 15, 2019 to Feb 21, 2020
Accounts · 256 to 170
May 24, 2018 to Feb 22, 2019
Advisory employees · 5 to 4
May 24, 2018 to Feb 22, 2019
HNW clients · 70 to 65
May 24, 2018 to Feb 22, 2019
Individual clients · 80 to 100
May 24, 2018 to Feb 22, 2019
Employees · 7 to 6
May 24, 2018 to Feb 22, 2019
State-registered IARs · 5 to 4
May 24, 2018 to Feb 22, 2019
Discretionary RAUM · $131M to $145M
May 24, 2018 to Feb 22, 2019
HNW RAUM · $70.0M to $110M
May 24, 2018 to Feb 22, 2019
Individual RAUM · $55.0M to $30.0M
May 24, 2018 to Feb 22, 2019
RAUM · $131M to $145M
May 24, 2018 to Feb 22, 2019
Accounts · 338 to 256
Mar 30, 2017 to Feb 12, 2018
Charity clients · unset to 5.0
Mar 30, 2017 to Feb 12, 2018
HNW clients · unset to 70.0
Mar 30, 2017 to Feb 12, 2018
Individual clients · unset to 80.0
Mar 30, 2017 to Feb 12, 2018
Other offices · unset to 1.0
Mar 30, 2017 to Feb 12, 2018
Discretionary RAUM · $113M to $131M
Mar 30, 2017 to Feb 12, 2018
HNW RAUM · unset to 70000000.0
Mar 30, 2017 to Feb 12, 2018
Individual RAUM · unset to 55000000.0
Mar 30, 2017 to Feb 12, 2018
RAUM · $113M to $131M
Mar 30, 2017 to Feb 12, 2018
Wrap assets (manager) · unset to 0.0
Mar 30, 2017 to Feb 12, 2018
Wrap assets (sponsor) · unset to 0.0
Mar 30, 2017 to Feb 12, 2018
Accounts · 345 to 338
Mar 6, 2017 to Mar 28, 2017
Advisory employees · 4 to 5
Mar 6, 2017 to Mar 28, 2017
Financial planning clients · 1-10 to 26-50
Mar 6, 2017 to Mar 28, 2017
State-registered IARs · 1 to 5
Mar 6, 2017 to Mar 28, 2017
Discretionary RAUM · $100M to $113M
Mar 6, 2017 to Mar 28, 2017

Signals

3 dated events

L••• Z•••••••• left W•••••• • A••••••••• W••••• M••••••••• for B••••••••• W••••• (registered 2025-01-23)
Jan 16, 2025 · Advisor changed firm · fact
Allan Jeffrey Hahn (Managing Director/Cco) no longer on Schedule A of W•••••• • A••••••••• W••••• M••••••••• (listed 2019-03-15, absent 2020-02-21)
Feb 21, 2020 · Control person left · inference
W•••••• • A••••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)
Mar 11, 2016 · 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

Firm profile: LINKEDIN.COM/COMPANY/W••••••-ASSOCIATEs-wealth-managementreportedpublic record, Form ADV, Sep 21, 2026
Website: W••••••ANDASSOCIATES.COMreportedpublic record, Form ADV, Sep 21, 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: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: $24.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026