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••••••• G••••
Legal name W•• A•••••••• L••
Latest filing Mar 28, 2026
First filing on the tape Aug 27, 2018 · 24 filings
SEC status approved since Sep 27, 2018
RAUM
$361M
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
77%
$279M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$90.2M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$361M as of Mar 28, 2026
May 1, 2019$110M then
HNW client RAUM$198M as of Mar 28, 2026
May 1, 2019$27.3M then
State-registered IARs (5.B.3)4 as of Mar 28, 2026
May 1, 20194 then
Employees (5.A)6 as of Mar 28, 2026
May 1, 20195 then
Private funds1 as of Mar 28, 2026
Mar 28, 20221 then
RAUM +1.3% over the last fiscal year+12% a year over threeIARs 6 to 4
Practice profile
derived from the filing of Mar 28, 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
- 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $90.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 95derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $282,597derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 79%derivedof RAUM
- Institutional
- 22%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $1,980, 1 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$198M55%
- Individuals$81.4M23%
- Pension and profit-sharing plans$76.8M21%
- Corporations and businesses$2.5M0.7%
- Charitable organizations$2.3M0.6%
- Individual clients
- 300reported
- HNW clients
- 80reported
- Pension plan clients
- 19reported
- Charitable clients
- n/areported
- Accounts
- 1,277reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $83.6M managedreported
- Custody of client assets
- $1,980 for 1 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.22 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••••• P••• R•••• | Baltimore, Md | Dec 20, 2021 | 11 y | 0 |
| S••••• J••••• G••••••Certified Financial Planner | Baltimore, Md | Dec 3, 2024 | 26 y | 4 |
| P•••••• B•••••••• | Baltimore, Md | Jan 1, 2026 | 14 y | 0 |
| T••• F••••• P•••••••Certified Financial Planner | Baltimore, Md | Jan 21, 2026 | 26 y | 3 |
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount2 left over 36 months
Left, latest
- M•••••• B•••• B••••••• to I••••••••• S••••• H•••••••• L••Dec 31, 2025 · RIA to RIA
- D••• B•••• F•••• to I••••••••• S••••• H•••••••• L••Dec 31, 2025 · RIA to RIA
- M••• C•••• C••••••••• to B••••••• L••Sep 8, 2021 · Other
Joined, latest
- T••• F••••• P••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jan 21, 2026 · Affiliated broker-dealer or bank to independent RIA
- S••••• J••••• G•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 3, 2024 · Affiliated broker-dealer or bank to independent RIA
- M••• C•••• C••••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Oct 24, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for I••••••••• S••••• H•••••••• L••Dec 31, 2025 · Baltimore, Md
- 3 joined from C•••••••• I••••••••• R••••••• A•••••••• I•••Nov 5, 2018 · Baltimore, Md
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Z•••• M•••••••• B••• A•••••••• F•••• L• | Private Equity Fund | $2.4M | 14 | Sep 8, 2021 |
Owners and control persons
Schedule A and B, latest filing
- G••••••• S•••••• J••••• · Membercontrolsince 09/2018 · owns 50% to 75%
- P•••••••• T•••• F••••• · Managing Membercontrolsince 09/2018 · owns 50% to 75%
- R••••• N•••••• M•••• · Chief Compliance Officercontrolsince 11/2019 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Baltimore, Md · principal | 4 | 2 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- advisor count dropChange between filings · filing Mar 28, 2026advisory representatives (Item 5.B.3) moved from 6.0 to 4.0 (-33.0%) between the annual amendments of 2025-03-29 and 2026-03-28; the peer median change was 0.0% (965 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 4.1% percentile
- institutional asset share shiftChange between filings · filing Mar 28, 2026institutional share of RAUM moved from 2.0% to 23.0% between the annual amendments of 2025-03-29 and 2026-03-28peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,332 to 1,277Mar 29, 2025 to Mar 28, 2026
- Advisory employees · 6 to 4Mar 29, 2025 to Mar 28, 2026
- Business name · W•• F•••••••• G••••• L•• to W••••• P••••••• G••••Mar 29, 2025 to Mar 28, 2026
- HNW clients · 72 to 80Mar 29, 2025 to Mar 28, 2026
- Individual clients · 296 to 300Mar 29, 2025 to Mar 28, 2026
- Pension plan clients · unset to 19.0Mar 29, 2025 to Mar 28, 2026
- Assets in custody · $2.1M to $1,980Mar 29, 2025 to Mar 28, 2026
- Employees · 8 to 6Mar 29, 2025 to Mar 28, 2026
- State-registered IARs · 6 to 4Mar 29, 2025 to Mar 28, 2026
- Discretionary RAUM · $295M to $285MMar 29, 2025 to Mar 28, 2026
- HNW RAUM · $213M to $198MMar 29, 2025 to Mar 28, 2026
- Individual RAUM · $77.2M to $81.4MMar 29, 2025 to Mar 28, 2026
- Non-discretionary RAUM · $61.1M to $75.9MMar 29, 2025 to Mar 28, 2026
- Pension RAUM · $3.5M to $76.8MMar 29, 2025 to Mar 28, 2026
- RAUM · $356M to $361MMar 29, 2025 to Mar 28, 2026
- Wrap assets (manager) · $83.9M to $83.6MMar 29, 2025 to Mar 28, 2026
- Accounts · 1,008 to 1,332Dec 3, 2024 to Mar 29, 2025
- Corporate clients · 5.0 to unsetDec 3, 2024 to Mar 29, 2025
- HNW clients · 62 to 72Dec 3, 2024 to Mar 29, 2025
- Individual clients · 303 to 296Dec 3, 2024 to Mar 29, 2025
- Pension plan clients · 20.0 to unsetDec 3, 2024 to Mar 29, 2025
- Pooled vehicle clients · 0.0 to unsetDec 3, 2024 to Mar 29, 2025
- Assets in custody · $2.4M to $2.1MDec 3, 2024 to Mar 29, 2025
- Employees · 6 to 8Dec 3, 2024 to Mar 29, 2025
- Financial planning clients · 101-250 to 1-10Dec 3, 2024 to Mar 29, 2025
- Discretionary RAUM · $243M to $295MDec 3, 2024 to Mar 29, 2025
- HNW RAUM · $174M to $213MDec 3, 2024 to Mar 29, 2025
- Individual RAUM · $65.2M to $77.2MDec 3, 2024 to Mar 29, 2025
- Non-discretionary RAUM · $58.6M to $61.1MDec 3, 2024 to Mar 29, 2025
- Pension RAUM · $55.3M to $3.5MDec 3, 2024 to Mar 29, 2025
- RAUM · $301M to $356MDec 3, 2024 to Mar 29, 2025
- Wrap assets (manager) · $92.6M to $83.9MDec 3, 2024 to Mar 29, 2025
- Accounts · 933 to 1,008Oct 13, 2023 to Mar 26, 2024
- Corporate clients · unset to 5.0Oct 13, 2023 to Mar 26, 2024
- HNW clients · 58 to 62Oct 13, 2023 to Mar 26, 2024
- Individual clients · 309 to 303Oct 13, 2023 to Mar 26, 2024
- Pension plan clients · 19 to 20Oct 13, 2023 to Mar 26, 2024
- Pooled vehicle clients · unset to 0.0Oct 13, 2023 to Mar 26, 2024
- Assets in custody · $2.6M to $2.4MOct 13, 2023 to Mar 26, 2024
- Employees · 8 to 6Oct 13, 2023 to Mar 26, 2024
Signals
6 dated events
- D••• B•••• F•••• left W••••• P••••••• G•••• for I••••••••• S••••• H•••••••• L•• (registered 2025-12-23)Dec 31, 2025 · Advisor changed firm · fact
- M•••••• B•••• B••••••• left W••••• P••••••• G•••• for I••••••••• S••••• H•••••••• L•• (registered 2025-12-18)Dec 31, 2025 · Advisor changed firm · fact
- 2 advisors left W••••• P••••••• G•••• (Baltimore, MD) for I••••••••• S••••• H•••••••• L•• on the same dayDec 31, 2025 · Team lift-out · derived
- Carol Mary Ceselsky (Chief Compliance Officer) no longer on Schedule A of W••••• P••••••• G•••• (listed 2019-05-01, absent 2020-02-20)Feb 20, 2020 · Control person left · inference
- Marie Nicole Reese (Chief Compliance Officer) appeared on Schedule A of W••••• P••••••• G••••Feb 20, 2020 · Control person joined · fact
- B•••• D•••••••• L•• filed its initial SEC registration (Form ADV)Aug 27, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- W••••• P••••••• G•••• · Independent Sponsorsshared crd · capital_provider
- W•• F•••••••• G••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- team@wpgfinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 410-522-2030reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/wpg-financial-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- wpgfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 410-522-2030reportedpublic record, Form ADV, Mar 28, 2026
- Contact form
- wealthplanninggroup.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- wealthplanninggroup.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $90.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026