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.

SEC-registered adviser

Walser Wealth Management Company, A Limited Liability Company

Independent wealth managerTampa, FloridaCRD 206518SEC 801-127246websiteIAPD
Latest filing Sep 17, 2026
First filing on the tape Dec 22, 2022 · 17 filings
SEC status approved since Jan 20, 2023
RAUM
$339M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$339M individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$24.2M
derived; firm RAUM over IAPD count
Employees
26
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$344M as of Mar 31, 2026
Mar 30, 2023$104M then
HNW client RAUM$164M as of Mar 31, 2026
Mar 30, 2023$22.0M then
State-registered IARs (5.B.3)13 as of Mar 31, 2026
Mar 30, 20236 then
Employees (5.A)26 as of Mar 31, 2026
Mar 30, 20239 then
Private funds: no history
RAUM n/a over the last fiscal year+48% a year over three
Practice profile
derived from the filing of Sep 17, 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
  • Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
RAUM per advisor
$24.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
48derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$72,986derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.9derivedItem 5.A over advisors
Advisors per office
14.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Financial planning clients
500reportedItem 5.H
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
  • Individuals$183M54%
  • High-net-worth individuals$156M46%
Individual clients
590reported
HNW clients
87reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4,648reported
Financial planning clients
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
14 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Rebecca WalserTampa, FlSep 30, 202111 y0
Trevor Maxwell MannTampa, FlMay 22, 202313 y1
Carson John WolfTampa, FlJun 12, 202310 y0
Matthew J MullerTampa, FlAug 28, 202413 y3
Brian William MurphyCertified Financial PlannerTampa, FlSep 16, 202410 y1
Gabriel Sutter JungTampa, FlDec 18, 202416 y1
Russell Joss BeckerCertified Financial PlannerTampa, FlJul 17, 202514 y3
Nathan GaubatzCertified Financial PlannerTampa, FlAug 14, 202510 y5
Justin Paul ElliottCertified Financial PlannerTampa, FlDec 22, 202513 y2
Shannon Clair StophelTampa, FlJan 1, 202610 y0
Andrew RodriguezTampa, FlMar 20, 202610 y3
Grant Jackson ShelnutTampa, FlMar 31, 202610 y0
William T SmithTampa, FlAug 20, 202615 y2
Lejla SalcinCertified Financial PlannerTampa, FlAug 28, 202613 y2
Advisor movement
4 left, 4 joined in 12 months
net 0 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 29% of current headcount10 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Rebecca Walser · Managing Member/Ccocontrol
      since 04/2015 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Tampa, Fl · principal1464
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 685 to 4,648
      Mar 31, 2026 to Sep 17, 2026
    • Advisory employees · 13 to 14
      Mar 31, 2026 to Sep 17, 2026
    • HNW clients · 88 to 87
      Mar 31, 2026 to Sep 17, 2026
    • Individual clients · 597 to 590
      Mar 31, 2026 to Sep 17, 2026
    • Financial planning clients · 101-250 to More than 500
      Mar 31, 2026 to Sep 17, 2026
    • State-registered IARs · 13 to 14
      Mar 31, 2026 to Sep 17, 2026
    • Discretionary RAUM · $344M to $339M
      Mar 31, 2026 to Sep 17, 2026
    • HNW RAUM · $164M to $156M
      Mar 31, 2026 to Sep 17, 2026
    • Individual RAUM · $181M to $183M
      Mar 31, 2026 to Sep 17, 2026
    • RAUM · $344M to $339M
      Mar 31, 2026 to Sep 17, 2026
    • Succession · false to unset
      Mar 31, 2026 to Sep 17, 2026
    • Accounts · 582 to 685
      Oct 21, 2025 to Mar 31, 2026
    • Advisory employees · 11 to 13
      Oct 21, 2025 to Mar 31, 2026
    • HNW clients · 44 to 88
      Oct 21, 2025 to Mar 31, 2026
    • Individual clients · 538 to 597
      Oct 21, 2025 to Mar 31, 2026
    • Employees · 11 to 26
      Oct 21, 2025 to Mar 31, 2026
    • State-registered IARs · 11 to 13
      Oct 21, 2025 to Mar 31, 2026
    • Other offices · 1 to 0
      Oct 21, 2025 to Mar 31, 2026
    • Discretionary RAUM · $220M to $344M
      Oct 21, 2025 to Mar 31, 2026
    • HNW RAUM · $84.0M to $164M
      Oct 21, 2025 to Mar 31, 2026
    • Individual RAUM · $136M to $181M
      Oct 21, 2025 to Mar 31, 2026
    • RAUM · $220M to $344M
      Oct 21, 2025 to Mar 31, 2026
    • Advisory employees · 13 to 11
      Aug 5, 2025 to Oct 21, 2025
    • Employees · 13 to 11
      Aug 5, 2025 to Oct 21, 2025
    • State-registered IARs · 13 to 11
      Aug 5, 2025 to Oct 21, 2025
    • Advisory employees · 14 to 13
      May 20, 2025 to Jun 17, 2025
    • Employees · 14 to 13
      May 20, 2025 to Jun 17, 2025
    • Financial planning clients · 101-250 to 101-250
      May 20, 2025 to Jun 17, 2025
    • State-registered IARs · 14 to 13
      May 20, 2025 to Jun 17, 2025
    • Advisory employees · 15 to 14
      May 1, 2025 to May 20, 2025
    • Employees · 15 to 14
      May 1, 2025 to May 20, 2025
    • State-registered IARs · 15 to 14
      May 1, 2025 to May 20, 2025
    • Accounts · 1,145 to 582
      Dec 17, 2024 to May 1, 2025
    • Advisory employees · 11 to 15
      Dec 17, 2024 to May 1, 2025
    • HNW clients · 40 to 44
      Dec 17, 2024 to May 1, 2025
    • Individual clients · 662 to 538
      Dec 17, 2024 to May 1, 2025
    • Employees · 11 to 15
      Dec 17, 2024 to May 1, 2025
    • State-registered IARs · 11 to 15
      Dec 17, 2024 to May 1, 2025
    • Discretionary RAUM · $164M to $220M
      Dec 17, 2024 to May 1, 2025
    • HNW RAUM · $64.1M to $84.0M
      Dec 17, 2024 to May 1, 2025
    Signals
    15 dated events
    • Walser Wealth Management Company, A Limited Liability Company reported RAUM $344.1M, up 56% from $220.3M (2025-10-21 to 2026-03-31)
      Mar 31, 2026 · RAUM change · derived
    • Brenton William Matzek left Walser Wealth Management Company, A Limited Liability Company for Mml Investors Services, Llc (registered 2026-07-08)
      Feb 2, 2026 · Advisor changed firm · fact
    • Misha Mahindroo left Walser Wealth Management Company, A Limited Liability Company for Ffo Investments Llc (registered 2026-06-04)
      Dec 11, 2025 · Advisor changed firm · fact
    • Illya Manuel Bermant left Walser Wealth Management Company, A Limited Liability Company for Mcadam Llc (registered 2025-11-03)
      Oct 21, 2025 · Advisor changed firm · fact
    • Colton Hendrix left Walser Wealth Management Company, A Limited Liability Company for Raymond James & Associates, Inc. (registered 2026-06-22)
      Sep 25, 2025 · Advisor changed firm · fact
    • Luciano A Mira left Walser Wealth Management Company, A Limited Liability Company for Valic Financial Advisors, Inc. (registered 2025-07-08)
      Jun 17, 2025 · Advisor changed firm · fact
    • Jerry Lee Sylvester left Walser Wealth Management Company, A Limited Liability Company for Oxford Wealth Group, Llc (registered 2025-06-13)
      May 14, 2025 · Advisor changed firm · fact
    • Jeffrey M Patten left Walser Wealth Management Company, A Limited Liability Company for Oxford Wealth Group, Llc (registered 2025-06-23)
      Apr 2, 2025 · Advisor changed firm · fact
    • Jacob Andrew Stinson left Walser Wealth Management Company, A Limited Liability Company for Oxford Wealth Group, Llc (registered 2025-04-16)
      Feb 4, 2025 · Advisor changed firm · fact
    • Alexander Nicholas Fellios left Walser Wealth Management Company, A Limited Liability Company for Valic Financial Advisors, Inc. (registered 2025-02-04)
      Dec 4, 2024 · Advisor changed firm · fact
    • Michael Lewis Abbott left Walser Wealth Management Company, A Limited Liability Company for Sandy Morris Financial & Estate Planning Services, Llc (registered 2024-03-19)
      Feb 16, 2024 · Advisor changed firm · fact
    • Walser Wealth Management Company, A Limited Liability Company filed its initial SEC registration (Form ADV)
      Dec 22, 2022 · First SEC registration · fact
    • Robert Mark Cerrito left Walser Wealth Management Company, A Limited Liability Company for Wealth Watch Advisors, Inc (registered 2022-08-15)
      Jul 14, 2022 · Advisor changed firm · fact
    • Justin Jay Stanfill left Walser Wealth Management Company, A Limited Liability Company for Wealth Watch Advisors, Inc (registered 2022-08-11)
      Jul 14, 2022 · Advisor changed firm · fact
    • 2 advisors left Walser Wealth Management Company, A Limited Liability Company (Tampa, FL) for Wealth Watch Advisors, Inc on the same day
      Jul 14, 2022 · Team lift-out · derived
    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 email
    info@walserwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
    Business phone
    866-929-3258reportedpublished by the firm, firm site, Sep 15, 2026
    Firm profile
    linkedin.com/company/walser-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
    Website
    WALSERWEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    866-929-3258reportedpublic record, Form ADV, Sep 17, 2026
    Contact form
    walserwealth.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
    Team page
    walserwealth.com/teamreportedpublished by the firm, firm site, Sep 15, 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
    $24.2Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026