DFX Intelligence
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W• W••••• M•••••••••
Independent wealth managerSEC-registered· Glendale, Arizona
Independent wealth manager, based in Glendale, Arizona, reporting $262M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $262M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +16%
- Private clients
- 94% of RAUM, $247M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $225MRAUM now $262M
- Contact points 1
Every filed figure, and the identifiersCRD 170181 · SEC 801-119053 · 11 filingsShowHide
CRD 170181SEC 801-119053Legal name W• W••••• M••••••••• L••First filing on the tape Jun 12, 2020, latest Mar 6, 2026SEC status approved since Jul 28, 2020IAPD
RAUM
$262M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$247M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$131M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$262M as of Mar 6, 2026
Mar 5, 2021$143M then
HNW client RAUM$109M as of Mar 6, 2026
Mar 5, 2021$0 then
State-registered IARs (5.B.3)2 as of Mar 6, 2026
Mar 5, 20212 then
Employees (5.A)6 as of Mar 6, 2026
Mar 5, 20216 then
Private funds: no history
RAUM +16% over the last fiscal year+16% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 6, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 454derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $284,893derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $262MreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$138M53%
- High-net-worth individuals$109M42%
- Pension and profit-sharing plans$11.4M4.3%
- Charitable organizations$3.0M1.1%
- Corporations and businesses$79,4180.0%
- Individual clients
- 847reported
- HNW clients
- 60reported
- Pension plan clients
- 9reported
- Charitable clients
- 1reported
- Accounts
- 918reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $2.6M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.05 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 |
|---|---|---|---|---|
| J••••• R••••• J•••• | Glendale, Az | Aug 4, 2014 | 42 y | 0 |
| R•••• L••• W•••••Certified Financial Planner | Glendale, Az | Aug 4, 2014 | 41 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••• J•••••• R••••• · Ownercontrolsince 10/2019 · 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 |
|---|---|---|---|---|---|
| Glendale, Az · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 883 to 918Mar 31, 2025 to Mar 6, 2026
- HNW clients · 70 to 60Mar 31, 2025 to Mar 6, 2026
- Individual clients · 793 to 847Mar 31, 2025 to Mar 6, 2026
- Pension plan clients · 18 to 9Mar 31, 2025 to Mar 6, 2026
- Discretionary RAUM · $225M to $262MMar 31, 2025 to Mar 6, 2026
- HNW RAUM · $75.6M to $109MMar 31, 2025 to Mar 6, 2026
- Individual RAUM · $140M to $138MMar 31, 2025 to Mar 6, 2026
- Pension RAUM · $7.0M to $11.4MMar 31, 2025 to Mar 6, 2026
- RAUM · $225M to $262MMar 31, 2025 to Mar 6, 2026
- Wrap assets (sponsor) · $2.8M to $2.6MMar 31, 2025 to Mar 6, 2026
- Accounts · 801 to 883Mar 16, 2024 to Mar 31, 2025
- Corporate clients · 0 to 1Mar 16, 2024 to Mar 31, 2025
- HNW clients · 62 to 70Mar 16, 2024 to Mar 31, 2025
- Individual clients · 719 to 793Mar 16, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 16, 2024 to Mar 31, 2025
- Discretionary RAUM · $185M to $225MMar 16, 2024 to Mar 31, 2025
- HNW RAUM · $52.4M to $75.6MMar 16, 2024 to Mar 31, 2025
- Individual RAUM · $126M to $140MMar 16, 2024 to Mar 31, 2025
- Pension RAUM · $5.2M to $7.0MMar 16, 2024 to Mar 31, 2025
- RAUM · $185M to $225MMar 16, 2024 to Mar 31, 2025
- Wrap assets (sponsor) · $3.7M to $2.8MMar 16, 2024 to Mar 31, 2025
- Accounts · 823 to 801Mar 4, 2024 to Mar 16, 2024
- HNW clients · 38 to 62Mar 4, 2024 to Mar 16, 2024
- Individual clients · 773 to 719Mar 4, 2024 to Mar 16, 2024
- Pension plan clients · 11 to 18Mar 4, 2024 to Mar 16, 2024
- Discretionary RAUM · $166M to $185MMar 4, 2024 to Mar 16, 2024
- HNW RAUM · $19.8M to $52.4MMar 4, 2024 to Mar 16, 2024
- Individual RAUM · $145M to $126MMar 4, 2024 to Mar 16, 2024
- Pension RAUM · $842,280 to $5.2MMar 4, 2024 to Mar 16, 2024
- RAUM · $166M to $185MMar 4, 2024 to Mar 16, 2024
- Wrap assets (sponsor) · $3.4M to $3.7MMar 4, 2024 to Mar 16, 2024
- Accounts · 827 to 823Mar 2, 2022 to Mar 25, 2023
- Charity clients · 0 to 1Mar 2, 2022 to Mar 25, 2023
- HNW clients · 88 to 38Mar 2, 2022 to Mar 25, 2023
- Individual clients · 498 to 773Mar 2, 2022 to Mar 25, 2023
- Pension plan clients · 0 to 11Mar 2, 2022 to Mar 25, 2023
- Discretionary RAUM · $176M to $166MMar 2, 2022 to Mar 25, 2023
- HNW RAUM · $26.4M to $19.8MMar 2, 2022 to Mar 25, 2023
- Individual RAUM · $150M to $145MMar 2, 2022 to Mar 25, 2023
- Pension RAUM · $0 to $842,280Mar 2, 2022 to Mar 25, 2023
Signals
2 dated events
- ••• LockedMar 2, 2022 · Control person left · inference
- ••• LockedJun 12, 2020 · 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
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 6, 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
- $131Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026