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••••••••• W••••• M••••••••• L••
Latest filing Feb 18, 2026
First filing on the tape Jun 14, 2017 · 13 filings
SEC status approved since Jul 18, 2017
RAUM
$66.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$66.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$66.8M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$66.8M as of Feb 18, 2026
Mar 19, 2018$34.2M then
HNW client RAUM$58.1M as of Feb 18, 2026
Mar 19, 2018$18.3M then
State-registered IARs (5.B.3)1 as of Feb 18, 2026
Mar 19, 20181 then
Employees (5.A)1 as of Feb 18, 2026
Mar 19, 20181 then
Private funds: no history
RAUM +3.9% over the last fiscal year+19% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 18, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $66.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $494,564derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $66.8MreportedItem 5.I
- Custody
- $28,000, 1 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$58.1M87%
- Individuals$8.7M13%
- Individual clients
- 32reported
- HNW clients
- 33reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 135reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $28,000 for 1 clientsreported
- 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=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• M••••• G•••••••• | New York, Ny | Dec 22, 2014 | 18 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
- G••••••••• D••••• M••••• · Member, President And Chief Compliance Officercontrolsince 09/2014 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Feb 18, 2026custody of client assets (Item 9.A): no on the filing of 2025-01-30, yes on the filing of 2026-02-18peers: independent wealth managers, under $100M (707)
What changed
consecutive filings, newest first
- Accounts · 133 to 135Jan 30, 2025 to Feb 18, 2026
- HNW clients · 35 to 33Jan 30, 2025 to Feb 18, 2026
- Assets in custody · unset to 28000.0Jan 30, 2025 to Feb 18, 2026
- Custody of client assets · false to trueJan 30, 2025 to Feb 18, 2026
- Discretionary RAUM · $64.2M to $66.8MJan 30, 2025 to Feb 18, 2026
- HNW RAUM · $56.8M to $58.1MJan 30, 2025 to Feb 18, 2026
- Individual RAUM · $7.4M to $8.7MJan 30, 2025 to Feb 18, 2026
- RAUM · $64.2M to $66.8MJan 30, 2025 to Feb 18, 2026
- Accounts · 116 to 133Jan 26, 2024 to Jan 30, 2025
- Financial planning clients · 1-10 to 1-10Jan 26, 2024 to Jan 30, 2025
- HQ city · unset to Jan 26, 2024 to Jan 30, 2025
- HQ state · unset to Jan 26, 2024 to Jan 30, 2025
- Discretionary RAUM · $52.0M to $64.2MJan 26, 2024 to Jan 30, 2025
- HNW RAUM · $44.7M to $56.8MJan 26, 2024 to Jan 30, 2025
- Individual RAUM · $7.3M to $7.4MJan 26, 2024 to Jan 30, 2025
- RAUM · $52.0M to $64.2MJan 26, 2024 to Jan 30, 2025
- Accounts · 136 to 116Feb 10, 2023 to Jan 26, 2024
- HNW clients · 21 to 35Feb 10, 2023 to Jan 26, 2024
- Individual clients · 42 to 32Feb 10, 2023 to Jan 26, 2024
- Assets in custody · 22566800.0 to unsetFeb 10, 2023 to Jan 26, 2024
- Custody of client assets · true to falseFeb 10, 2023 to Jan 26, 2024
- Discretionary RAUM · $40.1M to $52.0MFeb 10, 2023 to Jan 26, 2024
- HNW RAUM · $30.1M to $44.7MFeb 10, 2023 to Jan 26, 2024
- Individual RAUM · $10.0M to $7.3MFeb 10, 2023 to Jan 26, 2024
- RAUM · $40.1M to $52.0MFeb 10, 2023 to Jan 26, 2024
- Assets in custody · $2.7M to $22.6MMar 3, 2022 to Feb 10, 2023
- Discretionary RAUM · $45.7M to $40.1MMar 3, 2022 to Feb 10, 2023
- HNW RAUM · $34.2M to $30.1MMar 3, 2022 to Feb 10, 2023
- Individual RAUM · $11.5M to $10.0MMar 3, 2022 to Feb 10, 2023
- RAUM · $45.7M to $40.1MMar 3, 2022 to Feb 10, 2023
- Accounts · 61 to 136Oct 15, 2021 to Mar 3, 2022
- HNW clients · 23 to 21Oct 15, 2021 to Mar 3, 2022
- Individual clients · 38 to 42Oct 15, 2021 to Mar 3, 2022
- Assets in custody · unset to 2692073.0Oct 15, 2021 to Mar 3, 2022
- Custody of client assets · false to trueOct 15, 2021 to Mar 3, 2022
- Discretionary RAUM · $41.5M to $45.7MOct 15, 2021 to Mar 3, 2022
- HNW RAUM · $36.1M to $34.2MOct 15, 2021 to Mar 3, 2022
- Individual RAUM · $5.4M to $11.5MOct 15, 2021 to Mar 3, 2022
- RAUM · $41.5M to $45.7MOct 15, 2021 to Mar 3, 2022
- HQ state · NY to unsetMar 8, 2021 to Aug 2, 2021
Signals
1 dated events
- W••••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 14, 2017 · 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 phone
- 347-993-3558reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- W•••••••••WM.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 347-993-3558reportedpublic record, Form ADV, Feb 18, 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
- $66.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026