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••••••••• A•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Nov 14, 2018 · 24 filings
SEC status approved since Dec 17, 2018
RAUM
$63.1M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$63.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$63.1M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$63.1M as of Mar 30, 2026
Apr 3, 2019$32.7M then
HNW client RAUM$50.3M as of Mar 30, 2026
Apr 3, 2019$14.7M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Apr 3, 20193 then
Employees (5.A)1 as of Mar 30, 2026
Apr 3, 20194 then
Private funds: no history
RAUM +12% over the last fiscal year+16% a year over threeIARs 1 to 1offices 2 to 1
Practice profile
derived from the filing of Mar 30, 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
- $63.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$50.3M80%
- Individuals$12.8M20%
- Individual clients
- 12reported
- HNW clients
- 36reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 48reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• D••••••• | New York, Ny | Oct 1, 2019 | 13 y | 2 |
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
- E••• D••••••• from B•••• A••••••• U••• I•••Jan 5, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• E••• · Managing Member & Chief Compliance Officercontrolsince 10/2016 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 30, 2026discretionary share of RAUM of 0% against a peer median of 100% (310 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, under $100M (310) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 64 to 48Mar 27, 2025 to Mar 30, 2026
- HNW clients · 31 to 36Mar 27, 2025 to Mar 30, 2026
- Individual clients · 18 to 12Mar 27, 2025 to Mar 30, 2026
- HQ city · NEW YORK to MANHASSETMar 27, 2025 to Mar 30, 2026
- Other offices · 2 to 1Mar 27, 2025 to Mar 30, 2026
- HNW RAUM · $46.0M to $50.3MMar 27, 2025 to Mar 30, 2026
- Individual RAUM · $10.6M to $12.8MMar 27, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $56.5M to $63.1MMar 27, 2025 to Mar 30, 2026
- RAUM · $56.5M to $63.1MMar 27, 2025 to Mar 30, 2026
- Accounts · 59 to 64Aug 29, 2024 to Mar 27, 2025
- HNW clients · 32 to 31Aug 29, 2024 to Mar 27, 2025
- Individual clients · 15 to 18Aug 29, 2024 to Mar 27, 2025
- Financial planning clients · 1-10 to 1-10Aug 29, 2024 to Mar 27, 2025
- Other offices · 1 to 2Aug 29, 2024 to Mar 27, 2025
- HNW RAUM · $39.1M to $46.0MAug 29, 2024 to Mar 27, 2025
- Individual RAUM · $8.4M to $10.6MAug 29, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $47.4M to $56.5MAug 29, 2024 to Mar 27, 2025
- RAUM · $47.4M to $56.5MAug 29, 2024 to Mar 27, 2025
- Accounts · 60 to 59Mar 23, 2023 to Mar 21, 2024
- HNW RAUM · $31.5M to $39.1MMar 23, 2023 to Mar 21, 2024
- Individual RAUM · $9.4M to $8.4MMar 23, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $40.9M to $47.4MMar 23, 2023 to Mar 21, 2024
- RAUM · $40.9M to $47.4MMar 23, 2023 to Mar 21, 2024
- Accounts · 57 to 60Dec 15, 2022 to Mar 22, 2023
- Individual clients · 16 to 15Dec 15, 2022 to Mar 22, 2023
- HNW RAUM · $37.2M to $31.5MDec 15, 2022 to Mar 22, 2023
- Individual RAUM · $10.1M to $9.4MDec 15, 2022 to Mar 22, 2023
- Non-discretionary RAUM · $47.3M to $40.9MDec 15, 2022 to Mar 22, 2023
- RAUM · $47.3M to $40.9MDec 15, 2022 to Mar 22, 2023
- Accounts · 54 to 57Oct 5, 2021 to Feb 8, 2022
- HNW clients · 29 to 32Oct 5, 2021 to Feb 8, 2022
- Individual clients · 20 to 16Oct 5, 2021 to Feb 8, 2022
- Financial planning clients · 0 to 1-10Oct 5, 2021 to Feb 8, 2022
- HNW RAUM · $31.4M to $37.2MOct 5, 2021 to Feb 8, 2022
- Individual RAUM · $9.9M to $10.1MOct 5, 2021 to Feb 8, 2022
- Non-discretionary RAUM · $41.3M to $47.3MOct 5, 2021 to Feb 8, 2022
- RAUM · $41.3M to $47.3MOct 5, 2021 to Feb 8, 2022
- HQ city · unset to NEW YORKApr 1, 2021 to Oct 4, 2021
- HQ state · unset to NYApr 1, 2021 to Oct 4, 2021
- Legal name · H•••••••• C•••••• L•• to W••••••••• A•••••••• L••Mar 29, 2021 to Mar 31, 2021
Signals
2 dated events
- M•••••• A•••• C•••••• (Managing Member) no longer on Schedule A of W••••••••• A•••••••• L•• (listed 2019-11-07, absent 2020-01-03)Jan 3, 2020 · Control person left · inference
- H•••••••• C•••••• L•• filed its initial SEC registration (Form ADV)Nov 14, 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
- Business email
- info@wealthunite.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 516-805-2024reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/wealthunite-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- W•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (516) 805-2024reportedpublic record, Form ADV, Mar 30, 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
- $63.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026