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••••••• P••••••• • W••• L••
Latest filing Jul 22, 2026
First filing on the tape Nov 13, 2015 · 36 filings
SEC status approved since Dec 15, 2015
RAUM
$186M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$186M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$46.6M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$186M as of Jul 22, 2026
Feb 11, 2016$0 then
HNW client RAUM$129M as of Jul 22, 2026
Jan 26, 2018$89.8M then
State-registered IARs (5.B.3)4 as of Jul 22, 2026
Feb 11, 20160 then
Employees (5.A)4 as of Jul 22, 2026
Feb 11, 20160 then
Private funds: no history
RAUM +11% over the last fiscal year+12% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jul 22, 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
- RAUM per advisor
- $46.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $616,655derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$129M69%
- Individuals$57.1M31%
- Corporations and businesses$1070.0%
- Individual clients
- 255reported
- HNW clients
- 44reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 302reported
- Financial planning clients
- 0reported
- 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 |
|---|---|---|---|---|
| R••• C••••• | Orchard, Ny | May 18, 2021 | 10 y | 2 |
| J••••••• D••• R••••••Chartered Financial Consultant | Orchard, Ny | Jul 30, 2021 | 29 y | 0 |
| T••••• J••• S••••••• | Orchard, Ny | Jul 30, 2021 | 29 y | 3 |
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
- R••••• B•••• W••••• to W••••••• P••••••• • W•• • L••Dec 31, 2020 · RIA to RIA
- W•••••• J••••••• W••••••• to B••••••••• C•••••• M••••••••• L••Mar 6, 2020 · RIA to RIA
Joined, latest
- R••••• B•••• W••••• from W••••••• P••••••• • W•• • L••Jan 22, 2018 · Other
- R••• C••••• from E•••••••• A•••••••• L••Feb 26, 2016 · Affiliated broker-dealer or bank to a newly registered adviser
- T••••• J••• S••••••• from W••••••• P••••••• • W•• • L••Feb 6, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W••••••• P••••••• • W•• • L••Dec 31, 2016 · Orchard, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• R••• · Member, Tradercontrolsince 07/2017 · owns 5% to 10%
- S•••••••• T•••••• J••• · Managing Membercontrolsince 11/2015 · owns 25% to 50%
- W•••••• R•••••• B•••• · Co-Managing Member And Ciocontrolsince 07/2017 · owns 25% to 50%
- C••••••••• K••••• M•••••• · Chief Compliance Officersince 03/2023 · owns less than 5%
Related persons
Schedule D 7.A
- W••••••• P••••••• • E••• L••investment advisernRAUM $82.2M
- W••••••• P••••••• • W•• • L••investment advisernRAUM $44.1M
Advisers that list W••••••• P••••••• • W••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Orchard, Ny · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Doylestown, PA4 employees
- Miami, FL4 employees
- Pittsburgh, PA2 employees
- Pittsburgh, PA2 employees
What changed
consecutive filings, newest first
- HQ city · BUFFALO to ORCHARDApr 7, 2026 to Jul 22, 2026
- Accounts · 284 to 302Jan 5, 2026 to Mar 30, 2026
- Corporate clients · unset to 3.0Jan 5, 2026 to Mar 30, 2026
- HNW clients · 33 to 44Jan 5, 2026 to Mar 30, 2026
- Individual clients · 248 to 255Jan 5, 2026 to Mar 30, 2026
- Discretionary RAUM · $166M to $184MJan 5, 2026 to Mar 30, 2026
- HNW RAUM · $103M to $129MJan 5, 2026 to Mar 30, 2026
- Individual RAUM · $65.1M to $57.1MJan 5, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $1.9M to $2.0MJan 5, 2026 to Mar 30, 2026
- RAUM · $168M to $186MJan 5, 2026 to Mar 30, 2026
- Financial planning clients · 0 to 0Mar 27, 2025 to Sep 3, 2025
- Accounts · 277 to 284Mar 29, 2024 to Mar 27, 2025
- HNW clients · 25 to 33Mar 29, 2024 to Mar 27, 2025
- Discretionary RAUM · $146M to $166MMar 29, 2024 to Mar 27, 2025
- HNW RAUM · $84.4M to $103MMar 29, 2024 to Mar 27, 2025
- Individual RAUM · $61.7M to $65.1MMar 29, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $2.0M to $1.9MMar 29, 2024 to Mar 27, 2025
- RAUM · $148M to $168MMar 29, 2024 to Mar 27, 2025
- Accounts · 274 to 277Mar 31, 2023 to Mar 29, 2024
- HNW clients · 37 to 25Mar 31, 2023 to Mar 29, 2024
- Individual clients · 233 to 248Mar 31, 2023 to Mar 29, 2024
- Other offices · 3 to 4Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $130M to $146MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $86.2M to $84.4MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $45.3M to $61.7MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $2.7M to $2.0MMar 31, 2023 to Mar 29, 2024
- RAUM · $133M to $148MMar 31, 2023 to Mar 29, 2024
- Accounts · 259 to 274Jun 9, 2022 to Mar 31, 2023
- HNW clients · 47 to 37Jun 9, 2022 to Mar 31, 2023
- Individual clients · 208 to 233Jun 9, 2022 to Mar 31, 2023
- Discretionary RAUM · $149M to $130MJun 9, 2022 to Mar 31, 2023
- HNW RAUM · $108M to $86.2MJun 9, 2022 to Mar 31, 2023
- Individual RAUM · $42.8M to $45.3MJun 9, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $2.9M to $2.7MJun 9, 2022 to Mar 31, 2023
- RAUM · $152M to $133MJun 9, 2022 to Mar 31, 2023
- Other offices · 2 to 3May 12, 2022 to Jun 9, 2022
- Accounts · 219 to 259Apr 30, 2021 to Mar 30, 2022
- HNW clients · 35 to 47Apr 30, 2021 to Mar 30, 2022
- Individual clients · 180 to 208Apr 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $119M to $149MApr 30, 2021 to Mar 30, 2022
Signals
5 dated events
- Roger Kyle Bubeck (Chief Compliance Officer) no longer on Schedule A of W••••••• P••••••• • W••• L•• (listed 2022-06-09, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Ann Deborah Stauring (Chief Compliance Officer) no longer on Schedule A of W••••••• P••••••• • W••• L•• (listed 2019-02-15, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
- Roger Kyle Bubeck (Chief Compliance Officer) appeared on Schedule A of W••••••• P••••••• • W••• L••Mar 31, 2020 · Control person joined · fact
- W••••••• P••••••• • W••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 3, 2017 · Succession (Item 4) · fact
- L••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 13, 2015 · 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
- 267-454-7551reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 267-454-7552reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 412-281-1470reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/18298050reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 716-508-8178reportedpublic record, Form ADV, Jul 22, 2026
- Team page
- winthroppartners.com/our-teamreportedpublished 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
- $46.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026