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••••••••• L••

Independent wealth managerWindsor, ConnecticutCRD 226733SEC 801-135593websiteIAPD
Latest filing Mar 27, 2026
First filing on the tape Mar 27, 2026 · 1 filings
SEC status approved since Mar 18, 2026
RAUM
$109M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$106M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$109M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $109M
HNW client RAUM: $81.0M
State-registered IARs (5.B.3): 1
Employees (5.A): 1
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 27, 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
$109MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
136derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$999,471derivedHNW RAUM over HNW clients
Average account
$288,716derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.3derived4 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, pension consultingreportedItem 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
  • High-net-worth individuals$81.0M74%
  • Individuals$24.8M23%
  • Pension and profit-sharing plans$3.7M3.4%
Individual clients
55reported
HNW clients
81reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
379reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
T•••••• J••• B••••Certified Financial PlannerWindsor, CtAug 19, 201520 y3
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    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
    One filing, no change to show.
    Signals
    No event on the tape.
    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
    860-837-0303reportedpublished by the firm, firm site, Sep 16, 2026
    Website
    H••••://WWW.W•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    860-837-0303reportedpublic record, Form ADV, Mar 27, 2026
    Contact form
    WEALTHSHAPE.COM/contact.htmlreportedpublished by the firm, firm site, Sep 16, 2026
    Team page
    WEALTHSHAPE.COM/who-we-are.htmlreportedpublished by the firm, firm site, Sep 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
    $109Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026