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•••••• M•••••••• I••••••••• A••••••• I••
Legal name W•••••• M•••••••• I••••••••• A••••••• I•••
Latest filing Apr 30, 2026
First filing on the tape Apr 23, 2019 · 11 filings
SEC status approved since May 24, 2019
RAUM
$231M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
97%
$225M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$116M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$231M as of Apr 30, 2026
Mar 31, 2020$135M then
HNW client RAUM$224M as of Apr 30, 2026
Mar 31, 2020$135M then
State-registered IARs (5.B.3)2 as of Apr 30, 2026
Mar 31, 20202 then
Employees (5.A)2 as of Apr 30, 2026
Mar 31, 20202 then
Private funds: no history
RAUM +4.0% over the last fiscal year+22% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 30, 2026; every figure names its basis
- RAUM per advisor
- $116MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $4.9MderivedRAUM 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
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.5%derived
- Compensation
- percentage of assets, hourlyreportedItem 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$224M97%
- Corporations and businesses$6.5M2.8%
- Individuals$906,1140.4%
- Individual clients
- 1reported
- HNW clients
- 42reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 47reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• H••••••• | Woodbridge, Ct | Jan 12, 2021 | 25 y | 1 |
| D•••••• P••• H••••••• | Milford, Ct | Jan 12, 2021 | 32 y | 5 |
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
- D•••••• P••• H••••••• from C••••• A•••••• N••••••• L••Nov 19, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• P••• · Shareholder, President, Ccocontrolsince 02/2019 · owns 75% or more
Related persons
Schedule D 7.A
- W•••••• M•••••••• S••••••••• I•••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Apr 30, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 52 to 47Feb 10, 2025 to Apr 30, 2026
- HNW clients · 46 to 42Feb 10, 2025 to Apr 30, 2026
- HNW RAUM · $215M to $224MFeb 10, 2025 to Apr 30, 2026
- Individual RAUM · $893,008 to $906,114Feb 10, 2025 to Apr 30, 2026
- Non-discretionary RAUM · $222M to $231MFeb 10, 2025 to Apr 30, 2026
- RAUM · $222M to $231MFeb 10, 2025 to Apr 30, 2026
- Accounts · 35 to 52Feb 21, 2024 to Feb 10, 2025
- Corporate clients · 2 to 4Feb 21, 2024 to Feb 10, 2025
- HNW clients · 29 to 46Feb 21, 2024 to Feb 10, 2025
- Individual clients · 4 to 1Feb 21, 2024 to Feb 10, 2025
- Financial planning clients · 0 to 0Feb 21, 2024 to Feb 10, 2025
- Other offices · 0 to 1Feb 21, 2024 to Feb 10, 2025
- HNW RAUM · $139M to $215MFeb 21, 2024 to Feb 10, 2025
- Individual RAUM · $20,736 to $893,008Feb 21, 2024 to Feb 10, 2025
- Non-discretionary RAUM · $141M to $222MFeb 21, 2024 to Feb 10, 2025
- RAUM · $141M to $222MFeb 21, 2024 to Feb 10, 2025
- Accounts · 29 to 35Mar 7, 2023 to Feb 21, 2024
- Corporate clients · 3 to 2Mar 7, 2023 to Feb 21, 2024
- HNW clients · 23 to 29Mar 7, 2023 to Feb 21, 2024
- Individual clients · 3 to 4Mar 7, 2023 to Feb 21, 2024
- HNW RAUM · $126M to $139MMar 7, 2023 to Feb 21, 2024
- Individual RAUM · $15,132 to $20,736Mar 7, 2023 to Feb 21, 2024
- Non-discretionary RAUM · $126M to $141MMar 7, 2023 to Feb 21, 2024
- RAUM · $126M to $141MMar 7, 2023 to Feb 21, 2024
- Accounts · 21 to 29Mar 18, 2022 to Mar 7, 2023
- Charity clients · unset to 0.0Mar 18, 2022 to Mar 7, 2023
- Corporate clients · 7 to 3Mar 18, 2022 to Mar 7, 2023
- HNW clients · 14 to 23Mar 18, 2022 to Mar 7, 2023
- Individual clients · unset to 3.0Mar 18, 2022 to Mar 7, 2023
- Pension plan clients · unset to 0.0Mar 18, 2022 to Mar 7, 2023
- Pooled vehicle clients · unset to 0.0Mar 18, 2022 to Mar 7, 2023
- HNW RAUM · $84.0M to $126MMar 18, 2022 to Mar 7, 2023
- Individual RAUM · unset to 15132.0Mar 18, 2022 to Mar 7, 2023
- Non-discretionary RAUM · $140M to $126MMar 18, 2022 to Mar 7, 2023
- Pension RAUM · unset to 0.0Mar 18, 2022 to Mar 7, 2023
- Pooled vehicle RAUM · unset to 0.0Mar 18, 2022 to Mar 7, 2023
- RAUM · $140M to $126MMar 18, 2022 to Mar 7, 2023
- HNW RAUM · $77.5M to $84.0MMar 28, 2021 to Mar 18, 2022
- Non-discretionary RAUM · $137M to $140MMar 28, 2021 to Mar 18, 2022
- RAUM · $137M to $140MMar 28, 2021 to Mar 18, 2022
Signals
1 dated events
- W•••••• M•••••••• I••••••••• A••••••• I•• filed its initial SEC registration (Form ADV)Apr 23, 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
- 2036069696reportedpublic record, Form ADV, Apr 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
- $116Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026