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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
W• A•••• M•••••••••
Legal name W••••• P••••••• A•••• M••••••••• L•••••• L•••••••• C••••••
Latest filing Sep 1, 2026
First filing on the tape Apr 13, 2022 · 14 filings
SEC status approved since May 13, 2022
RAUM
$121M
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
82%
$99.1M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$40.4M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$121M as of Jun 3, 2026
Mar 31, 2023$111M then
HNW client RAUM$99.1M as of Jun 3, 2026
Mar 31, 2023$101M then
State-registered IARs (5.B.3)3 as of Jun 3, 2026
Mar 31, 20231 then
Employees (5.A)3 as of Jun 3, 2026
Mar 31, 20231 then
Private funds: no history
RAUM -15% over the last fiscal yearIARs 1 to 4
Practice profile
derived from the filing of Sep 1, 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
- $40.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $559,968derivedHNW RAUM over HNW clients
- Average account
- $541,536derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 84%derivedof RAUM
- Institutional
- 7.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -33%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +121%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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$99.1M82%
- Other investment advisers$13.0M11%
- Pension and profit-sharing plans$6.6M5.5%
- Charitable organizations$2.6M2.1%
- Individual clients
- 0reported
- HNW clients
- 177reported
- Pension plan clients
- 17reported
- Charitable clients
- 15reported
- Accounts
- 224reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.82 fund_share=0.11 institutional_share=0.08 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• V••••••••Certified Financial Planner, Chartered Financial Consultant | Bedminster, Nj | Apr 9, 2025 | 36 y | 3 |
| D•••• R•••• S••••• | Bedminster, Nj | Sep 4, 2025 | 11 y | 0 |
| M•••• C••••• | Bedminster, Nj | Aug 5, 2026 | 10 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
- S••••• V•••••••• from N•• A•••••• S•••••••• L••Apr 9, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••• V•••••• P•••••• · Portfolio Managercontrolsince 04/2015 · owns less than 5%
- V••••••••• S•••••• C•••••• · Managing Member & Chief Compliance Officercontrolsince 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bedminster, Nj · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- wealth to institutional shiftCombination · filing Apr 11, 2025private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $143,312,915 to $96,244,486, advisors 1 to 2, private clients 80 to 177, offices 0 to 0 (2024-03-29 to 2025-04-11)peers: independent wealth managers, $100M to $500M (5,676)
- RAUM down 25 %Change between filings · filing Apr 11, 2025RAUM (Item 5.F) moved from $143,312,915 to $96,244,486 (-33.0%) between the annual amendments of 2024-03-29 and 2025-04-11; the peer median change was +15.0% (4550 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 1.2% percentile
- client mix shiftChange between filings · filing Apr 11, 2025private-client share of RAUM moved from 97.0% to 78.0% between the annual amendments of 2024-03-29 and 2025-04-11peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Apr 11, 2025HNW share of RAUM moved from 88.0% to 4.0% between the annual amendments of 2024-03-29 and 2025-04-11peers: independent wealth managers, $100M to $500M (5,676)
- institutional asset share shiftChange between filings · filing Apr 11, 2025institutional share of RAUM moved from 3.0% to 22.0% between the annual amendments of 2024-03-29 and 2025-04-11peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Jun 3, 2026 to Sep 1, 2026
- Employees · 3 to 4Jun 3, 2026 to Sep 1, 2026
- Financial planning clients · to unsetJun 3, 2026 to Sep 1, 2026
- State-registered IARs · 3 to 4Jun 3, 2026 to Sep 1, 2026
- Related adviser · false to unsetJun 3, 2026 to Sep 1, 2026
- Related bank · false to unsetJun 3, 2026 to Sep 1, 2026
- Related broker-dealer · false to unsetJun 3, 2026 to Sep 1, 2026
- Related insurance company · false to unsetJun 3, 2026 to Sep 1, 2026
- Succession · false to unsetJun 3, 2026 to Sep 1, 2026
- Accounts · 494 to 224Sep 15, 2025 to Jun 3, 2026
- Charity clients · 0 to 15Sep 15, 2025 to Jun 3, 2026
- HNW clients · 44 to 177Sep 15, 2025 to Jun 3, 2026
- Individual clients · 133 to 0Sep 15, 2025 to Jun 3, 2026
- Pension plan clients · 9 to 17Sep 15, 2025 to Jun 3, 2026
- Discretionary RAUM · $101M to $102MSep 15, 2025 to Jun 3, 2026
- HNW RAUM · $3.7M to $99.1MSep 15, 2025 to Jun 3, 2026
- Individual RAUM · $79.9M to $0Sep 15, 2025 to Jun 3, 2026
- Non-discretionary RAUM · $14.2M to $19.1MSep 15, 2025 to Jun 3, 2026
- Pension RAUM · $21.1M to $6.6MSep 15, 2025 to Jun 3, 2026
- RAUM · $115M to $121MSep 15, 2025 to Jun 3, 2026
- Advisory employees · 2 to 3May 15, 2025 to Sep 15, 2025
- Employees · 2 to 3May 15, 2025 to Sep 15, 2025
- State-registered IARs · 2 to 3May 15, 2025 to Sep 15, 2025
- Accounts · 483 to 494Apr 11, 2025 to May 15, 2025
- Advisory activities · 4 to 3Apr 11, 2025 to May 15, 2025
- Financial planning clients · 0 to Apr 11, 2025 to May 15, 2025
- Discretionary RAUM · $89.7M to $101MApr 11, 2025 to May 15, 2025
- Individual RAUM · $71.5M to $79.9MApr 11, 2025 to May 15, 2025
- Non-discretionary RAUM · $6.5M to $14.2MApr 11, 2025 to May 15, 2025
- RAUM · $96.2M to $115MApr 11, 2025 to May 15, 2025
- Accounts · 366 to 483Feb 17, 2025 to Apr 11, 2025
- Advisory employees · 1 to 2Feb 17, 2025 to Apr 11, 2025
- Individual clients · 36 to 133Feb 17, 2025 to Apr 11, 2025
- Employees · 1 to 2Feb 17, 2025 to Apr 11, 2025
- State-registered IARs · 1 to 2Feb 17, 2025 to Apr 11, 2025
- Discretionary RAUM · $141M to $89.7MFeb 17, 2025 to Apr 11, 2025
- HNW RAUM · $126M to $3.7MFeb 17, 2025 to Apr 11, 2025
- Individual RAUM · $13.7M to $71.5MFeb 17, 2025 to Apr 11, 2025
- Non-discretionary RAUM · $2.7M to $6.5MFeb 17, 2025 to Apr 11, 2025
- Pension RAUM · $3.7M to $21.1MFeb 17, 2025 to Apr 11, 2025
Signals
1 dated events
- W• A•••• M••••••••• filed its initial SEC registration (Form ADV)Apr 13, 2022 · 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
- Principal office phone
- 908-719-8800reportedpublic record, Form ADV, Sep 1, 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
- $40.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026