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
W••••• M••••••••• A•••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Apr 17, 2014 · 41 filings
SEC status approved since May 15, 2014
RAUM
$686M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
75%
$514M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$686M as of Mar 16, 2026
Mar 13, 2015$192M then
HNW client RAUM$447M as of Mar 16, 2026
Mar 30, 2018$211M then
State-registered IARs (5.B.3)5 as of Mar 16, 2026
Mar 13, 20158 then
Employees (5.A)10 as of Mar 16, 2026
Mar 13, 201511 then
Private funds: no history
RAUM +22% over the last fiscal year+22% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 16, 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
- i••••••••• 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
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 140derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $541,107derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $649MreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$447M65%
- Corporations and businesses$130M19%
- Individuals$67.9M9.9%
- Pension and profit-sharing plans$22.9M3.3%
- Insurance companies$16.0M2.3%
- Charitable organizations$1.9M0.3%
- State and municipal entities$829,2840.1%
- Individual clients
- 493reported
- HNW clients
- 205reported
- Pension plan clients
- 19reported
- Charitable clients
- 7reported
- Accounts
- 1,268reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.75 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•• E••••• W••••• | Greenville, Sc | May 20, 2014 | 29 y | 2 |
| J•••• S•••• D••••Certified Financial Planner | Greenville, Sc | May 21, 2014 | 22 y | 2 |
| J••••••• L••• O••••• | Greenville, Sc | May 21, 2014 | 19 y | 1 |
| M••••• G•••••• E•••••• | Greenville, Sc | Sep 27, 2017 | 10 y | 1 |
| C•••••• K••• | Greenville, Sc | Jun 4, 2024 | 13 y | 1 |
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 headcount2 left over 36 months
Left, latest
- K•••• K•••••• to T••••••• A•••• M••••••••• L••Nov 25, 2024 · RIA to RIA
- D•••• J•••••• H••••• to F••••••• P•••••• L•••••• L••Sep 6, 2024 · RIA to RIA
- C•••••• W• C•••• to C•••• F•••••••• A•••••••• L••Oct 6, 2022 · Other
- R••••• G••••• G••••• to A•••••• W••••• M•••••••••Nov 6, 2018 · RIA to RIA
Joined, latest
- C•••••• K••• from M••••• S••••••Jun 4, 2024 · Wirehouse to independent RIA
- K•••• K•••••• from I••••••••• A•••••• A•••••••• L••May 3, 2024 · RIA to RIA
- C•••••• W• C•••• from S•••••••• F•••••••• A•••••••Jun 12, 2018 · Other
- M••••• G•••••• E•••••• from L•• F•••••••• L••Sep 27, 2017 · Other
- R••••• G••••• G••••• from P••••••• T•• • A•••••••• L••Aug 16, 2016 · Other
- J•••• S•••• D•••• from I• A••••••• S•••••••• I•••May 21, 2014 · Other
- J••••••• L••• O••••• from I• A••••••• S•••••••• I•••May 21, 2014 · Other
- D•• E••••• W••••• from I• A••••••• S•••••••• I•••May 20, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••••• M•••••• G•••••• · Coocontrolsince 09/2017 · owns less than 5%
- O•••••• J•••••••• L••• · Presidentcontrolsince 03/2023 · owns less than 5%
- W•••••• D••• E••••• · Ceo/Ccocontrolsince 10/2013 · owns less than 5%
- W•••••• D••• E••••• · Membercontrolsince 10/2013 · owns 75% or more of D•• H•••••••• L••
Entity owners
- W••••• W••••• M••••••••• L•• · Managing Memberdirect · owns 75% or more
- D•• H•••••••• L•• · Memberindirect · owns 75% or more of W••••• W••••• M••••••••• L••
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 |
|---|---|---|---|---|---|
| Greenville, Sc · principal | 5 | 0 | 0 | ||
| Anderson, Sc | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Anderson, SC1 employees
What changed
consecutive filings, newest first
- Accounts · 1,306 to 1,268Mar 11, 2025 to Mar 16, 2026
- Charity clients · 8 to 7Mar 11, 2025 to Mar 16, 2026
- Corporate clients · 13 to 12Mar 11, 2025 to Mar 16, 2026
- HNW clients · 202 to 205Mar 11, 2025 to Mar 16, 2026
- Individual clients · 520 to 493Mar 11, 2025 to Mar 16, 2026
- Pension plan clients · 15 to 19Mar 11, 2025 to Mar 16, 2026
- Employees · 8 to 10Mar 11, 2025 to Mar 16, 2026
- Discretionary RAUM · $563M to $686MMar 11, 2025 to Mar 16, 2026
- HNW RAUM · $328M to $447MMar 11, 2025 to Mar 16, 2026
- Individual RAUM · $85.2M to $67.9MMar 11, 2025 to Mar 16, 2026
- Pension RAUM · $17.7M to $22.9MMar 11, 2025 to Mar 16, 2026
- RAUM · $563M to $686MMar 11, 2025 to Mar 16, 2026
- Accounts · 1,380 to 1,306Dec 6, 2024 to Mar 11, 2025
- Advisory employees · 6 to 5Dec 6, 2024 to Mar 11, 2025
- BD registered reps · 7 to 6Dec 6, 2024 to Mar 11, 2025
- Charity clients · 6 to 8Dec 6, 2024 to Mar 11, 2025
- Corporate clients · 7 to 13Dec 6, 2024 to Mar 11, 2025
- HNW clients · 181 to 202Dec 6, 2024 to Mar 11, 2025
- Individual clients · 524 to 520Dec 6, 2024 to Mar 11, 2025
- Pension plan clients · 24 to 15Dec 6, 2024 to Mar 11, 2025
- Employees · 10 to 8Dec 6, 2024 to Mar 11, 2025
- Financial planning clients · 1-10 to 101-250Dec 6, 2024 to Mar 11, 2025
- State-registered IARs · 6 to 5Dec 6, 2024 to Mar 11, 2025
- Discretionary RAUM · $465M to $563MDec 6, 2024 to Mar 11, 2025
- HNW RAUM · $252M to $328MDec 6, 2024 to Mar 11, 2025
- Individual RAUM · $96.7M to $85.2MDec 6, 2024 to Mar 11, 2025
- Pension RAUM · $27.9M to $17.7MDec 6, 2024 to Mar 11, 2025
- RAUM · $465M to $563MDec 6, 2024 to Mar 11, 2025
- Accounts · 1,229 to 1,380Mar 26, 2023 to Mar 28, 2024
- Charity clients · 1 to 6Mar 26, 2023 to Mar 28, 2024
- Corporate clients · 21 to 7Mar 26, 2023 to Mar 28, 2024
- HNW clients · 303 to 181Mar 26, 2023 to Mar 28, 2024
- Individual clients · 538 to 524Mar 26, 2023 to Mar 28, 2024
- Pension plan clients · 19 to 24Mar 26, 2023 to Mar 28, 2024
- Employees · 8 to 10Mar 26, 2023 to Mar 28, 2024
- Discretionary RAUM · $379M to $465MMar 26, 2023 to Mar 28, 2024
- HNW RAUM · $215M to $252MMar 26, 2023 to Mar 28, 2024
- Individual RAUM · $84.4M to $96.7MMar 26, 2023 to Mar 28, 2024
- Pension RAUM · $10.9M to $27.9MMar 26, 2023 to Mar 28, 2024
- RAUM · $379M to $465MMar 26, 2023 to Mar 28, 2024
Signals
8 dated events
- K•••• K•••••• left W••••• M••••••••• A•••••••• L•• for T••••••• A•••• M••••••••• L•• (registered 2025-02-18)Nov 25, 2024 · a•••••• firm change · fact
- D•••• J•••••• H••••• left W••••• M••••••••• A•••••••• L•• for F••••••• P•••••• L•••••• L•• (registered 2024-09-05)Sep 6, 2024 · a•••••• firm change · fact
- G•••••• Miriam Edwards (Coo) appeared on Schedule A of W••••• M••••••••• A•••••••• L••Mar 28, 2024 · Control person joined · fact
- Lynn Jennifer Osgood (President) appeared on Schedule A of W••••• M••••••••• A•••••••• L••Mar 26, 2023 · Control person joined · fact
- C•••••• W• C•••• left W••••• M••••••••• A•••••••• L•• for C•••• F•••••••• A•••••••• L•• (registered 2022-07-26)Oct 6, 2022 · a•••••• firm change · fact
- Jeffrey David Herman (Chief Compliance Officer) no longer on Schedule A of W••••• M••••••••• A•••••••• L•• (listed 2022-05-10, absent 2022-08-30)Aug 30, 2022 · Control person left · inference
- W••••• M••••••••• A•••••••• L•• reported RAUM $425.5M, up 31% from $325.1M (2022-01-05 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- W••••• M••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 17, 2014 · 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
- H•••S://WWW.LINKEDIN.COM/company/W•••••-WEALTH-MANAGEMENT-llreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 864-236-4706reportedpublic record, Form ADV, Mar 16, 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
- $137Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026