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•••••••• W••••• M••••••••• I•••
Latest filing Apr 1, 2026
First filing on the tape Feb 17, 2018 · 40 filings
SEC status approved since Mar 30, 2018
RAUM
$727M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$664M individuals and HNW
Advisors
26
registered through the firm on IAPD
RAUM per advisor
$27.9M
derived; firm RAUM over IAPD count
Employees
26
26 advisory (5.B.1)
Offices
25
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$727M as of Apr 1, 2026
Mar 30, 2019$253M then
HNW client RAUM$318M as of Apr 1, 2026
Mar 30, 2019$100M then
State-registered IARs (5.B.3)26 as of Apr 1, 2026
Mar 30, 201932 then
Employees (5.A)26 as of Apr 1, 2026
Mar 30, 201936 then
Private funds: no history
RAUM +15% over the last fiscal year+20% a year over threeIARs 25 to 26offices 24 to 25
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
- RAUM per advisor
- $27.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $242,593derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived26 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +4.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.1%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$345M48%
- High-net-worth individuals$318M44%
- Corporations and businesses$62.7M8.6%
- Charitable organizations$345,8970.0%
- Individual clients
- 1,438reported
- HNW clients
- 116reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 2,995reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
26 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• J••••• R•••• | Woodstock, Ga | May 23, 2018 | 40 y | 1 |
| D•••• A•• F•••••• | Union, Ky | Jun 6, 2018 | 29 y | 3 |
| R••• E•••••• B••••• | Scottsdale, Az | Jun 11, 2018 | 44 y | 1 |
| M••••••• N••••• | Mountainside, Nj | Jun 12, 2018 | 35 y | 4 |
| D•••• N••••• | Mountainside, Nj | Jun 12, 2018 | 40 y | 4 |
| D••••• A•••• M••••• | Houston, Tx | Jun 13, 2018 | 18 y | 4 |
| J•••••• J•• H••••••• | W••••••••, Ga | Jun 19, 2018 | 27 y | 2 |
| D••••• P••• H•••••• | Stuart, Fl | Jun 20, 2018 | 26 y | 2 |
| R••• A•• B•••••• | W••••••••, Ga | Jun 21, 2018 | 17 y | 4 |
| C••••• M••••••••• M•••• | Lawrenceville, Ga | Jun 25, 2018 | 28 y | 5 |
| C••••••••• S•••• T•••••••• | Jersey City, Nj | Jun 28, 2018 | 24 y | 2 |
| A•••••• D•••••• B••••• | W••••••••, Ga | Jul 9, 2018 | 35 y | 3 |
| D•••• L•• B•••••• | Nashville, Tn | Jul 17, 2018 | 17 y | 2 |
| N••• J••••• S••••••••• | Saratoga Springs, Ny | Jul 18, 2018 | 36 y | 4 |
| P••• M• C•••••• | W••••••••, Ga | Jul 24, 2018 | 18 y | 2 |
| W•••••• B••••••• | West Palm Beach, Fl | Jul 30, 2018 | 16 y | 4 |
| R•••••• J••••• | Palm Beach Gardens, Fl | Sep 7, 2018 | 31 y | 1 |
| P•••••• J••• F••••••••• | W••••••••, Ga | Nov 19, 2018 | 32 y | 3 |
| S•••• D••••• F••••••Certified Financial Planner | East Rocaway, Ny | Dec 9, 2019 | 30 y | 0 |
| M••••••• G•••• | W••••••••, Ga | Dec 10, 2019 | 42 y | 0 |
| D•••• R••• H••• | Mountainside, Nj | Jun 8, 2020 | 32 y | 3 |
| N••••••• R•• C•••••••• | Houston, Tx | Jun 3, 2021 | 10 y | 1 |
| M•••••• A• P•••••• | West Palm Beach, Fl | Feb 4, 2022 | 17 y | 1 |
| P••••• J••••• T••••••• | Shenandoah, Tx | Aug 23, 2023 | 10 y | 1 |
| M•• E••••• L••••• | Brookline, Ma | Oct 4, 2024 | 13 y | 1 |
| R•••••• A•••••••• G••••• | Killington, Vt | Dec 15, 2025 | 33 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- J••••• S••••• S••••••• to B••••••••• W••••• A•••••••• L••Aug 6, 2024 · Other
- R•••••• S•••• K••• to C•••••• W••••• S•••••••• L••Nov 1, 2022 · RIA to a state-registered adviser
- D••••• T••••• M••••• to W••••••••• S••••••••• C•••••••••Nov 23, 2020 · RIA to a state-registered adviser
- J••• D•••• P•••••••• to C••••• I••••••••• A••••••• L••Aug 5, 2020 · RIA to affiliated broker-dealer or bank
- J••• M•••••• E•••• to C•••••••• F••••••••• I•••Mar 25, 2020 · RIA to affiliated broker-dealer or bank
- A••••• L• D••••• to I•• W••••• M••••••••• I•••Dec 31, 2019 · RIA to affiliated broker-dealer or bank
- D••••••• B••• H•••••• to E••••• J••••Dec 12, 2019 · RIA to affiliated broker-dealer or bank
- E••• G••• G••••• to S•• B•••••• F•••••••• S•••••••• I•••Nov 11, 2019 · RIA to RIA
- V•••••• J• C•••••••• to F•••••• W••••• M••••••••• L••Sep 10, 2019 · RIA to a state-registered adviser
- J•• S•••• K••••• to M•••••• A••••• S••••••••• L••Dec 18, 2018 · Other
Joined, latest
- R•••••• A•••••••• G••••• from M••••••••• F•••••••• G••••• L••Dec 15, 2025 · Other
- M•• E••••• L••••• from F••••••• P••••••• A•• W•••••••• A•••••••Oct 4, 2024 · Affiliated broker-dealer or bank to independent RIA
- P••••• J••••• T••••••• from A•• F•••••••• S••••••• I•••Aug 23, 2023 · RIA to RIA
- M•••••• A• P•••••• from P••• A••••• S••••••••• L••Feb 4, 2022 · Affiliated broker-dealer or bank to independent RIA
- N••••••• R•• C•••••••• from A•• F•••••••• S••••••• I•••Jun 3, 2021 · RIA to RIA
- D•••• R••• H••• from C•••••••• G••••• M•••••• I•••Jun 8, 2020 · Affiliated broker-dealer or bank to independent RIA
- A••••• L• D••••• from S•••••••• F••••••••• I•••Jan 22, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- P•••••• J••• F••••••••• from S• A•••••••• L••Nov 19, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• A••••••• D•••••• · President/Chief Operating Officercontrolsince 03/2023 · owns less than 5%
- R••••• W••••••• J••••• · Chief Executive Officer/Chief Compliance Officercontrolsince 03/2010 · owns less than 5%
- R••••• W••••••• J••••• · President/Ceocontrolsince 03/1995 · owns 75% or more of R••••• W••••••• J•••••
Entity owners
- W•••••••• H••••••• I••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list W•••••••• W••••• M••••••••• I••• as a related person
- 38095 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| W••••••••, Ga · principal | 19 | 0 | 0 | ||
| Mountainside, Nj | 3 | 0 | 0 | ||
| Houston, Tx | 2 | 0 | 0 | ||
| West Palm Beach, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Mountainside, NJ2 employees
- Erie, PA1 employees
- Houston, TX1 employees
- Houston, TX1 employees
- Mountainside, NJ1 employees
- Parrish, FL1 employees
- Saratoga Springs, NY1 employees
- Shenandoah, TX1 employees
- Tequesta, FL1 employees
- West Palm Beach, FL1 employees
- Willis, TX1 employees
- Cape Coral, FL1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 2,834 to 2,995Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 25 to 26Mar 31, 2025 to Mar 31, 2026
- Corporate clients · 30 to 32Mar 31, 2025 to Mar 31, 2026
- HNW clients · 99 to 116Mar 31, 2025 to Mar 31, 2026
- Individual clients · 1,409 to 1,438Mar 31, 2025 to Mar 31, 2026
- Financial planning clients · 11-25 to 51-100Mar 31, 2025 to Mar 31, 2026
- State-registered IARs · 25 to 26Mar 31, 2025 to Mar 31, 2026
- Other offices · 24 to 25Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $630M to $727MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $299M to $318MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $321M to $345MMar 31, 2025 to Mar 31, 2026
- RAUM · $630M to $727MMar 31, 2025 to Mar 31, 2026
- Accounts · 2,412 to 2,834Oct 10, 2024 to Mar 31, 2025
- Advisory employees · 26 to 25Oct 10, 2024 to Mar 31, 2025
- Charity clients · 1.0 to unsetOct 10, 2024 to Mar 31, 2025
- Corporate clients · 32 to 30Oct 10, 2024 to Mar 31, 2025
- HNW clients · 85 to 99Oct 10, 2024 to Mar 31, 2025
- Individual clients · 1,332 to 1,409Oct 10, 2024 to Mar 31, 2025
- Employees · 28 to 26Oct 10, 2024 to Mar 31, 2025
- Financial planning clients · 11-25 to 11-25Oct 10, 2024 to Mar 31, 2025
- State-registered IARs · 26 to 25Oct 10, 2024 to Mar 31, 2025
- Other offices · 23 to 24Oct 10, 2024 to Mar 31, 2025
- Discretionary RAUM · $511M to $630MOct 10, 2024 to Mar 31, 2025
- HNW RAUM · $228M to $299MOct 10, 2024 to Mar 31, 2025
- Individual RAUM · $269M to $321MOct 10, 2024 to Mar 31, 2025
- RAUM · $511M to $630MOct 10, 2024 to Mar 31, 2025
- Other offices · 24 to 23Apr 5, 2024 to Oct 10, 2024
- Accounts · 2,239 to 2,412Aug 18, 2023 to Mar 29, 2024
- Corporate clients · 20 to 32Aug 18, 2023 to Mar 29, 2024
- HNW clients · 75 to 85Aug 18, 2023 to Mar 29, 2024
- Individual clients · 1,193 to 1,332Aug 18, 2023 to Mar 29, 2024
- Pension plan clients · 1 to 0Aug 18, 2023 to Mar 29, 2024
- Financial planning clients · 1-10 to 11-25Aug 18, 2023 to Mar 29, 2024
- Other offices · 21 to 24Aug 18, 2023 to Mar 29, 2024
- Discretionary RAUM · $419M to $511MAug 18, 2023 to Mar 29, 2024
- HNW RAUM · $196M to $228MAug 18, 2023 to Mar 29, 2024
- Individual RAUM · $215M to $269MAug 18, 2023 to Mar 29, 2024
- Pension RAUM · 2747.0 to unsetAug 18, 2023 to Mar 29, 2024
- RAUM · $419M to $511MAug 18, 2023 to Mar 29, 2024
- BD registered reps · 7 to 3Feb 22, 2023 to Mar 24, 2023
Signals
8 dated events
- J••••• S••••• S••••••• left W•••••••• W••••• M••••••••• I••• for B••••••••• W••••• A•••••••• L•• (registered 2025-04-09)Aug 6, 2024 · Advisor changed firm · fact
- Douglas Anthony Branca (President) appeared on Schedule A of W•••••••• W••••• M••••••••• I•••Mar 24, 2023 · Control person joined · fact
- R•••••• S•••• K••• left W•••••••• W••••• M••••••••• I••• for C•••••• W••••• S•••••••• L•• (registered 2022-10-14)Nov 1, 2022 · Advisor changed firm · fact
- W•••••••• W••••• M••••••••• I••• reported RAUM $391.4M, up 44% from $272.2M (2020-11-24 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- W•••••••• W••••• M••••••••• I••• reported 23 offices beyond its principal office, down from 30 (2020-01-11 to 2020-03-28)Mar 28, 2020 · Office count change · derived
- W•••••••• W••••• M••••••••• I••• reported 30 offices beyond its principal office, up from 1 (2019-01-17 to 2019-03-30)Mar 30, 2019 · Office count change · derived
- W•••••••• W••••• M••••••••• I••• reported 32 state-registered advisory representatives, up from 2 (2019-01-17 to 2019-03-30)Mar 30, 2019 · Advisor headcount change · derived
- W•••••••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Feb 17, 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
- Website
- CBGFIN.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-279-4468reportedpublic record, Form ADV, Apr 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
- $27.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026