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• A••••••• W••••• A•••••••• I•••
Latest filing Jul 29, 2026
First filing on the tape May 9, 2018 · 25 filings
SEC status approved since Jun 8, 2018
RAUM
$233M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$233M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$77.7M
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$233M as of Jul 29, 2026
Feb 12, 2019$143M then
HNW client RAUM$113M as of Jul 29, 2026
Feb 12, 2019$92.6M then
State-registered IARs (5.B.3)3 as of Jul 29, 2026
Feb 12, 20192 then
Employees (5.A)8 as of Jul 29, 2026
Feb 12, 20193 then
Private funds: no history
RAUM +13% over the last fiscal year+5.8% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 29, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $77.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 88derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $879,531derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -19%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 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
- 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$120M52%
- High-net-worth individuals$113M48%
- Individual clients
- 235reported
- HNW clients
- 30reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 265reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••• D••• W••••••Certified Financial Planner | Roseville, Ca | Jul 20, 2015 | 35 y | 4 |
| J••••• R•••• B•••••• | Roseville, Ca | Feb 8, 2019 | 10 y | 0 |
| R••••• K••• T••••••• | Roseville, Ca | Sep 24, 2025 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- G•••••• D•••• R•••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 8, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- T•••• D••• W•••••• from A•••• C••••••• L•••Jul 20, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• T••••• D••• · Ceocontrolsince 01/2015 · owns 75% or more
- W•••••••• M••••••• D••••• · Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
Related persons
Schedule D 7.A
- S•••••••• W••••• L•••• A•••••••• I•••n
- W• A••••••• I••••••••• L••pooled vehicle sponsorn
- W• A••••••• I•••••••• S••••••••• I•••real estaten
- W• A••••••• S•••••••• M••••••••• S•••••••• L••pooled vehicle sponsorn
- W• A••••••• T••••••• M•••••••• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Roseville, Ca · principal | 3 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 17, 2026HNW share of RAUM moved from 30.0% to 48.0% between the annual amendments of 2025-04-29 and 2026-03-17peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Mar 17, 2026 to Jul 29, 2026
- Employees · 9 to 8Mar 17, 2026 to Jul 29, 2026
- State-registered IARs · 4 to 3Mar 17, 2026 to Jul 29, 2026
- Accounts · 327 to 265Feb 12, 2026 to Mar 17, 2026
- HNW clients · 62 to 30Feb 12, 2026 to Mar 17, 2026
- Individual clients · 265 to 235Feb 12, 2026 to Mar 17, 2026
- Discretionary RAUM · $204M to $230MFeb 12, 2026 to Mar 17, 2026
- HNW RAUM · $61.5M to $113MFeb 12, 2026 to Mar 17, 2026
- Individual RAUM · $145M to $120MFeb 12, 2026 to Mar 17, 2026
- Non-discretionary RAUM · $3.1M to $3.0MFeb 12, 2026 to Mar 17, 2026
- RAUM · $207M to $233MFeb 12, 2026 to Mar 17, 2026
- Advisory employees · 6 to 4Dec 5, 2025 to Feb 12, 2026
- Employees · 7 to 9Dec 5, 2025 to Feb 12, 2026
- State-registered IARs · 3 to 4Dec 5, 2025 to Feb 12, 2026
- Advisory activities · 2 to 3Apr 29, 2025 to Jul 11, 2025
- Financial planning clients · 251-500 to 251-500Apr 29, 2025 to Jul 11, 2025
- Accounts · 318 to 327May 16, 2024 to Apr 29, 2025
- HNW clients · 12 to 62May 16, 2024 to Apr 29, 2025
- Individual clients · 306 to 265May 16, 2024 to Apr 29, 2025
- Discretionary RAUM · $196M to $204MMay 16, 2024 to Apr 29, 2025
- HNW RAUM · $57.0M to $61.5MMay 16, 2024 to Apr 29, 2025
- Individual RAUM · $140M to $145MMay 16, 2024 to Apr 29, 2025
- Non-discretionary RAUM · $1.1M to $3.1MMay 16, 2024 to Apr 29, 2025
- RAUM · $197M to $207MMay 16, 2024 to Apr 29, 2025
- State-registered IARs · 2 to 3Mar 12, 2024 to May 16, 2024
- Accounts · 260 to 318Mar 8, 2024 to Mar 12, 2024
- HNW clients · 1 to 12Mar 8, 2024 to Mar 12, 2024
- Individual clients · 259 to 306Mar 8, 2024 to Mar 12, 2024
- Discretionary RAUM · $195M to $196MMar 8, 2024 to Mar 12, 2024
- HNW RAUM · $3.1M to $57.0MMar 8, 2024 to Mar 12, 2024
- Individual RAUM · $193M to $140MMar 8, 2024 to Mar 12, 2024
- Non-discretionary RAUM · $1.2M to $1.1MMar 8, 2024 to Mar 12, 2024
- RAUM · $197M to $197MMar 8, 2024 to Mar 12, 2024
- Accounts · 846 to 260Apr 13, 2022 to Mar 13, 2023
- Charity clients · unset to 0.0Apr 13, 2022 to Mar 13, 2023
- Corporate clients · unset to 0.0Apr 13, 2022 to Mar 13, 2023
- HNW clients · 16 to 1Apr 13, 2022 to Mar 13, 2023
- Individual clients · 187 to 259Apr 13, 2022 to Mar 13, 2023
- Pension plan clients · unset to 0.0Apr 13, 2022 to Mar 13, 2023
- Pooled vehicle clients · unset to 0.0Apr 13, 2022 to Mar 13, 2023
Signals
4 dated events
- G•••••• D•••• R•••••••• left W• A••••••• W••••• A•••••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-12-04)Dec 8, 2025 · Advisor changed firm · fact
- Donald Matthew Williams (Chief Compliance Officer) appeared on Schedule A of W• A••••••• W••••• A•••••••• I•••Mar 8, 2024 · Control person joined · fact
- Gail Sheila Crisp (Chief Compliance Officer) no longer on Schedule A of W• A••••••• W••••• A•••••••• I••• (listed 2024-02-09, absent 2024-03-08)Mar 8, 2024 · Control person left · inference
- W• A••••••• W••••• A•••••••• I••• filed its initial SEC registration (Form ADV)May 9, 2018 · 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
- 800-355-8174reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 916-325-0130reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 916-771-4475reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- weriaadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 916-325-0130reportedpublic record, Form ADV, Jul 29, 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
- $77.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026