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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Former SEC-registered adviser
W•••••••• F•••••••• P•••••••
Legal name P••••••• C•••••• S•••••••• I•••
Latest filing May 29, 2024
First filing on the tape Sep 20, 2017 · 35 filings
RAUM
$191M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
96%
$183M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$191M as of May 29, 2024
Mar 19, 2018$108M then
HNW client RAUM$145M as of May 29, 2024
Mar 19, 2018$75.7M then
State-registered IARs (5.B.3)2 as of May 29, 2024
Mar 19, 20182 then
Employees (5.A)5 as of May 29, 2024
Mar 19, 20185 then
Private funds: no history
RAUM +13% over the last fiscal year+7.1% a year over threeIARs 3 to 2
Practice profile
derived from the filing of May 29, 2024; every figure names its basis
- RAUM per advisor
- $95.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $272,972derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publications, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$145M76%
- Individuals$38.0M20%
- Charitable organizations$5.3M2.8%
- Pension and profit-sharing plans$2.8M1.5%
- Individual clients
- 98reported
- HNW clients
- 56reported
- Pension plan clients
- 5reported
- Charitable clients
- 2reported
- Accounts
- 699reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- D••••• M• S••• to M•••• F•••••••• A•••••••Aug 13, 2024 · RIA to RIA
- M••• F•••••••• S•••••• to M•••• F•••••••• A•••••••Aug 13, 2024 · RIA to RIA
- T•••••• H•••• to F•••••••• W••••• M••••••••• L••Mar 31, 2024 · RIA to a state-registered adviser
Joined, latest
- D••••• M• S••• from N••• C•••••••••Sep 11, 2018 · Affiliated broker-dealer or bank to independent RIA
- M••• F•••••••• S•••••• from K••••• A••••••• S•••••••• L••Nov 21, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M•••• F•••••••• A•••••••Aug 13, 2024 · W••••••••, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• M••• C••• · Ownercontrolsince 11/2017 · owns 25% to 50%
- S••••••• M•••• F•••••••• · Principal & Chief Compliance Officercontrolsince 12/2018 · owns 50% to 75%
- S•••• D•••••• M• · Partnersince 01/2022 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| W••••••••, Nj · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 552 to 699Sep 29, 2023 to Feb 29, 2024
- Advisory employees · 3 to 2Sep 29, 2023 to Feb 29, 2024
- HNW clients · 61 to 56Sep 29, 2023 to Feb 29, 2024
- Individual clients · 89 to 98Sep 29, 2023 to Feb 29, 2024
- Pension plan clients · 7 to 5Sep 29, 2023 to Feb 29, 2024
- Employees · 6 to 5Sep 29, 2023 to Feb 29, 2024
- State-registered IARs · 3 to 2Sep 29, 2023 to Feb 29, 2024
- Discretionary RAUM · $168M to $179MSep 29, 2023 to Feb 29, 2024
- HNW RAUM · $134M to $145MSep 29, 2023 to Feb 29, 2024
- Individual RAUM · $26.5M to $38.0MSep 29, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $739,347 to $12.2MSep 29, 2023 to Feb 29, 2024
- Pension RAUM · $2.5M to $2.8MSep 29, 2023 to Feb 29, 2024
- RAUM · $168M to $191MSep 29, 2023 to Feb 29, 2024
- Accounts · 516 to 552Apr 11, 2022 to Mar 13, 2023
- HNW clients · 63 to 61Apr 11, 2022 to Mar 13, 2023
- Individual clients · 64 to 89Apr 11, 2022 to Mar 13, 2023
- Pension plan clients · 8 to 7Apr 11, 2022 to Mar 13, 2023
- Discretionary RAUM · $188M to $168MApr 11, 2022 to Mar 13, 2023
- HNW RAUM · $156M to $134MApr 11, 2022 to Mar 13, 2023
- Individual RAUM · $23.0M to $26.5MApr 11, 2022 to Mar 13, 2023
- Non-discretionary RAUM · $848,268 to $739,347Apr 11, 2022 to Mar 13, 2023
- Pension RAUM · $4.0M to $2.5MApr 11, 2022 to Mar 13, 2023
- RAUM · $189M to $168MApr 11, 2022 to Mar 13, 2023
- Accounts · 485 to 516Sep 14, 2021 to Mar 28, 2022
- Charity clients · 1 to 2Sep 14, 2021 to Mar 28, 2022
- HNW clients · 56 to 63Sep 14, 2021 to Mar 28, 2022
- Individual clients · 60 to 64Sep 14, 2021 to Mar 28, 2022
- Pension plan clients · 7 to 8Sep 14, 2021 to Mar 28, 2022
- Discretionary RAUM · $155M to $188MSep 14, 2021 to Mar 28, 2022
- HNW RAUM · $117M to $156MSep 14, 2021 to Mar 28, 2022
- Individual RAUM · $24.3M to $23.0MSep 14, 2021 to Mar 28, 2022
- Non-discretionary RAUM · $198,775 to $848,268Sep 14, 2021 to Mar 28, 2022
- Pension RAUM · $8.3M to $4.0MSep 14, 2021 to Mar 28, 2022
- RAUM · $155M to $189MSep 14, 2021 to Mar 28, 2022
- Accounts · 429 to 485Jun 24, 2020 to Mar 24, 2021
- Corporate clients · unset to 0.0Jun 24, 2020 to Mar 24, 2021
- HNW clients · 47 to 56Jun 24, 2020 to Mar 24, 2021
- Individual clients · 53 to 60Jun 24, 2020 to Mar 24, 2021
- Pension plan clients · 4 to 7Jun 24, 2020 to Mar 24, 2021
- Pooled vehicle clients · unset to 0.0Jun 24, 2020 to Mar 24, 2021
Signals
6 dated events
- M••• F•••••••• S•••••• left W•••••••• F•••••••• P••••••• for M•••• F•••••••• A••••••• (registered 2024-07-29)Aug 13, 2024 · Advisor changed firm · fact
- D••••• M• S••• left W•••••••• F•••••••• P••••••• for M•••• F•••••••• A••••••• (registered 2024-07-29)Aug 13, 2024 · Advisor changed firm · fact
- 2 advisors left W•••••••• F•••••••• P••••••• (W••••••••, NJ) for M•••• F•••••••• A••••••• on the same dayAug 13, 2024 · Team lift-out · derived
- T•••••• H•••• left W•••••••• F•••••••• P••••••• for F•••••••• W••••• M••••••••• L•• (registered 2024-06-17)Mar 31, 2024 · Advisor changed firm · fact
- John Gerald Ricciardo (Chief Compliance Officer) no longer on Schedule A of W•••••••• F•••••••• P••••••• (listed 2018-12-20, absent 2019-02-19)Feb 19, 2019 · Control person left · inference
- P••••••• C•••••• S•••••••• I••• filed its initial SEC registration (Form ADV)Sep 20, 2017 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026