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.
SEC-registered adviser
Win Advisors, Inc
Latest filing Mar 22, 2026
First filing on the tape Apr 18, 2019 · 12 filings
SEC status approved since May 24, 2019
RAUM
$267M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$259M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$66.7M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$267M as of Mar 22, 2026
Feb 25, 2020$63.7M then
HNW client RAUM$19.4M as of Mar 22, 2026
Feb 25, 2020$0 then
State-registered IARs (5.B.3)0 as of Mar 22, 2026
Feb 25, 202012 then
Employees (5.A)4 as of Mar 22, 2026
Feb 25, 202013 then
Private funds: no history
RAUM +12% over the last fiscal year-3.8% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $66.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 476derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $137,476derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -55%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 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
- 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
- Individuals$240M90%
- High-net-worth individuals$19.4M7.3%
- Pension and profit-sharing plans$4.4M1.7%
- Corporations and businesses$2.7M1.0%
- Charitable organizations$788,8510.3%
- Individual clients
- 1,893reported
- HNW clients
- 12reported
- Pension plan clients
- 23reported
- Charitable clients
- 6reported
- Accounts
- 1,941reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=false bd_reps=4.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Stephen Denis Walsh · Director And Presidentcontrolsince 12/2018 · owns less than 5%
- Richard Barry Rittman · Treasurersince 12/2018 · owns less than 5%
- Therese Mary Walsh · Secretary And Chief Compliance Officersince 12/2018 · owns less than 5%
Entity owners
- World Investment Network, Inc. · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- Abacus Investments, Inc.broker-dealern
- Gwn Securities Inc.broker-dealerinvestment advisernRAUM $4.8B
- Money Concepts Advisory Servicebroker-dealerinvestment advisernRAUM $4.1B
- Money Concepts Internationalreal estaten
Advisers that list Win Advisors, Inc as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Palm Beach Gardens, Fl · principal | 4 | 0 | 0 | ||
| Williamsburg, Va | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Williamsburg, VA2 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 22, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $238,523,895 to $266,840,858, advisors 0 to 0, private clients 4250 to 1905, offices 1 to 0 (2025-03-20 to 2026-03-22)peers: independent wealth managers, $100M to $500M (5,676)
- unusually high clients per advisorStatic outlier · filing Mar 22, 2026private clients per advisor of 476.2 against a peer median of 57.3 (3075 comparable advisers, 100.0th percentile, 11.9 robust deviations)peers: independent wealth managers, $100M to $500M (3,075) · 100% percentile
- account count collapseChange between filings · filing Mar 22, 2026accounts (Item 5.F.2.f) moved from 4,311.0 to 1,941.0 (-55.0%) between the annual amendments of 2025-03-20 and 2026-03-22; the peer median change was +5.0% (3688 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,688) · 2.6% percentile
- client count collapseChange between filings · filing Mar 22, 2026individual and HNW clients (Item 5.D) moved from 4,250.0 to 1,905.0 (-55.0%) between the annual amendments of 2025-03-20 and 2026-03-22; the peer median change was +3.0% (3310 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,310) · 1.3% percentile
What changed
consecutive filings, newest first
- Accounts · 4,311 to 1,941Mar 20, 2025 to Mar 22, 2026
- Charity clients · 7 to 6Mar 20, 2025 to Mar 22, 2026
- Corporate clients · 10 to 7Mar 20, 2025 to Mar 22, 2026
- HNW clients · 8 to 12Mar 20, 2025 to Mar 22, 2026
- Individual clients · 4,242 to 1,893Mar 20, 2025 to Mar 22, 2026
- Pension plan clients · 44 to 23Mar 20, 2025 to Mar 22, 2026
- Other offices · 1 to 0Mar 20, 2025 to Mar 22, 2026
- Discretionary RAUM · $239M to $267MMar 20, 2025 to Mar 22, 2026
- HNW RAUM · $11.6M to $19.4MMar 20, 2025 to Mar 22, 2026
- Individual RAUM · $221M to $240MMar 20, 2025 to Mar 22, 2026
- Pension RAUM · $4.5M to $4.4MMar 20, 2025 to Mar 22, 2026
- RAUM · $239M to $267MMar 20, 2025 to Mar 22, 2026
- Accounts · 2,412 to 4,311Apr 30, 2024 to Mar 20, 2025
- Charity clients · 6 to 7Apr 30, 2024 to Mar 20, 2025
- Corporate clients · 5 to 10Apr 30, 2024 to Mar 20, 2025
- HNW clients · 0 to 8Apr 30, 2024 to Mar 20, 2025
- Individual clients · 2,375 to 4,242Apr 30, 2024 to Mar 20, 2025
- Pension plan clients · 26 to 44Apr 30, 2024 to Mar 20, 2025
- Financial planning clients · 0 to 0Apr 30, 2024 to Mar 20, 2025
- Discretionary RAUM · $246M to $239MApr 30, 2024 to Mar 20, 2025
- HNW RAUM · $0 to $11.6MApr 30, 2024 to Mar 20, 2025
- Individual RAUM · $241M to $221MApr 30, 2024 to Mar 20, 2025
- Pension RAUM · $3.6M to $4.5MApr 30, 2024 to Mar 20, 2025
- RAUM · $246M to $239MApr 30, 2024 to Mar 20, 2025
- Accounts · 3,181 to 2,412May 11, 2023 to Mar 11, 2024
- Corporate clients · 7 to 5May 11, 2023 to Mar 11, 2024
- HNW clients · 6 to 0May 11, 2023 to Mar 11, 2024
- Individual clients · 3,131 to 2,375May 11, 2023 to Mar 11, 2024
- Pension plan clients · 31 to 26May 11, 2023 to Mar 11, 2024
- Discretionary RAUM · $300M to $246MMay 11, 2023 to Mar 11, 2024
- HNW RAUM · $8.4M to $0May 11, 2023 to Mar 11, 2024
- Individual RAUM · $286M to $241MMay 11, 2023 to Mar 11, 2024
- Pension RAUM · $3.9M to $3.6MMay 11, 2023 to Mar 11, 2024
- RAUM · $300M to $246MMay 11, 2023 to Mar 11, 2024
- Accounts · 3,453 to 3,181Mar 28, 2022 to Mar 17, 2023
- BD registered reps · 2 to 4Mar 28, 2022 to Mar 17, 2023
- Charity clients · 7 to 6Mar 28, 2022 to Mar 17, 2023
- Corporate clients · 0 to 7Mar 28, 2022 to Mar 17, 2023
- HNW clients · 0 to 6Mar 28, 2022 to Mar 17, 2023
- Individual clients · 3,414 to 3,131Mar 28, 2022 to Mar 17, 2023
Signals
4 dated events
- Win Advisors, Inc reported RAUM $300.1M, down 37% from $479.3M (2022-03-28 to 2023-03-17)Mar 17, 2023 · RAUM change · derived
- Win Advisors, Inc reported RAUM $479.3M, up 130% from $208.1M (2021-03-25 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- Win Advisors, Inc reported RAUM $208.1M, up 227% from $63.7M (2020-06-22 to 2021-03-25)Mar 25, 2021 · RAUM change · derived
- Win Advisors, Inc filed its initial SEC registration (Form ADV)Apr 18, 2019 · 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
- Principal office phone
- 561-472-2000reportedpublic record, Form ADV, Mar 22, 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
- $66.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026