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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Former SEC-registered adviser
M•••••• C••••••••• G••••
Legal name W••••• B••••••• C••••••••• G••••• I•••
Latest filing Jul 12, 2023
First filing on the tape Mar 24, 2021 · 4 filings
RAUM
$129M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$124M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$129M as of Mar 2, 2023
Mar 2, 2022$132M then
HNW client RAUM$75.0M as of Mar 2, 2023
Mar 2, 2022$79.7M then
State-registered IARs (5.B.3)2 as of Mar 2, 2023
Mar 2, 20222 then
Employees (5.A)5 as of Mar 2, 2023
Mar 2, 20225 then
Private funds: no history
RAUM -2.3% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jul 12, 2023; every figure names its basis
- RAUM per advisor
- $64.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 172derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $286,170derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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$75.0M58%
- Individuals$48.6M38%
- Charitable organizations$3.1M2.4%
- Corporations and businesses$2.6M2.0%
- Individual clients
- 278reported
- HNW clients
- 66reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 452reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- J••••••• L••• H••• to A••••••••• F•••••••• S•••••••• L••Sep 6, 2023 · RIA to affiliated broker-dealer or bank
- F•••• P•••••• C•••••• to A••••••••• F•••••••• S•••••••• L••Sep 6, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- J••••••• L••• H••• from L•• F•••••••• L••Jan 27, 2015 · Affiliated broker-dealer or bank to independent RIA
- F•••• P•••••• C•••••• from L•• F•••••••• L••Jan 27, 2015 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for A••••••••• F•••••••• S•••••••• L••Sep 6, 2023 · Chardon, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• F••••• P•••••• · Managing Principal / Chief Compliance Officercontrolsince 11/2014 · 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.
What changed
consecutive filings, newest first
- Accounts · 387 to 452Mar 2, 2022 to Mar 2, 2023
- HNW clients · 63 to 66Mar 2, 2022 to Mar 2, 2023
- Individual clients · 233 to 278Mar 2, 2022 to Mar 2, 2023
- Legal name · WEALTH BUILDER C••••••••• GROUP, INC to W••••• B••••••• C••••••••• G••••• I•••Mar 2, 2022 to Mar 2, 2023
- Discretionary RAUM · $132M to $129MMar 2, 2022 to Mar 2, 2023
- HNW RAUM · $79.7M to $75.0MMar 2, 2022 to Mar 2, 2023
- Individual RAUM · $46.8M to $48.6MMar 2, 2022 to Mar 2, 2023
- RAUM · $132M to $129MMar 2, 2022 to Mar 2, 2023
- Accounts · 308 to 387Mar 24, 2021 to Mar 2, 2022
- BD registered reps · 3 to 2Mar 24, 2021 to Mar 2, 2022
- Charity clients · 0 to 1Mar 24, 2021 to Mar 2, 2022
- Corporate clients · 3 to 2Mar 24, 2021 to Mar 2, 2022
- HNW clients · 23 to 63Mar 24, 2021 to Mar 2, 2022
- Individual clients · 203 to 233Mar 24, 2021 to Mar 2, 2022
- Employees · 4 to 5Mar 24, 2021 to Mar 2, 2022
- Discretionary RAUM · $104M to $132MMar 24, 2021 to Mar 2, 2022
- HNW RAUM · $51.2M to $79.7MMar 24, 2021 to Mar 2, 2022
- Individual RAUM · $47.9M to $46.8MMar 24, 2021 to Mar 2, 2022
- RAUM · $104M to $132MMar 24, 2021 to Mar 2, 2022
Signals
4 dated events
- J••••••• L••• H••• left M•••••• C••••••••• G•••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-08-29)Sep 6, 2023 · Advisor changed firm · fact
- F•••• P•••••• C•••••• left M•••••• C••••••••• G•••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-08-29)Sep 6, 2023 · Advisor changed firm · fact
- 2 advisors left M•••••• C••••••••• G•••• (Chardon, OH) for A••••••••• F•••••••• S•••••••• L•• on the same daySep 6, 2023 · Team lift-out · derived
- M•••••• C••••••••• G•••• filed its initial SEC registration (Form ADV)Mar 24, 2021 · 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.
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026