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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Latest filing Mar 31, 2026
First filing on the tape Apr 12, 2019 · 27 filings
SEC status approved since May 13, 2019
RAUM
$1.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.6M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.6M
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
27 filings and snapshots on the tape
RAUM$1.6M as of Mar 31, 2026
Mar 18, 2020$2.7M then
HNW client RAUM$687,000 as of Mar 31, 2026
Mar 18, 2020$2.1M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 18, 20201 then
Employees (5.A)1 as of Mar 31, 2026
Mar 18, 20201 then
Private funds: no history
RAUM n/a over the last fiscal year-50% a year over three
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $1.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $121,538derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- 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)
- 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$893,00057%
- High-net-worth individuals$687,00043%
- Individual clients
- 10reported
- HNW clients
- n/areported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 13reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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 |
|---|---|---|---|---|
| V••••• H••••• M••••••Chartered Financial Analyst | Sheridan, Wy | Mar 10, 2021 | 10 y | 0 |
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
- M••••• D••••• K••• to T•••• W•••••Aug 18, 2022 · RIA to a state-registered adviser
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• V•••••• H••••• · President & Chief Compliance Officercontrolsince 02/2019 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Sheridan, WY
What changed
consecutive filings, newest first
- Accounts · 17 to 13Nov 21, 2025 to Mar 31, 2026
- HNW clients · 3.0 to unsetNov 21, 2025 to Mar 31, 2026
- Individual clients · 11 to 10Nov 21, 2025 to Mar 31, 2026
- Financial planning clients · to 0Nov 21, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.4M to $1.6MNov 21, 2025 to Mar 31, 2026
- HNW RAUM · $688,262 to $687,000Nov 21, 2025 to Mar 31, 2026
- Individual RAUM · $758,986 to $893,000Nov 21, 2025 to Mar 31, 2026
- RAUM · $1.4M to $1.6MNov 21, 2025 to Mar 31, 2026
- HQ city · TOKYO to May 7, 2025 to Nov 21, 2025
- Legal name · T•••• W••••• to N••• C••••••May 7, 2025 to Nov 21, 2025
- Accounts · 54 to 17Jan 19, 2024 to May 7, 2025
- Business name · T•••• W••••• to N••• C••••••Jan 19, 2024 to May 7, 2025
- HNW clients · 7 to 3Jan 19, 2024 to May 7, 2025
- Individual clients · 45 to 11Jan 19, 2024 to May 7, 2025
- Financial planning clients · unset to Jan 19, 2024 to May 7, 2025
- HQ state · unset to Jan 19, 2024 to May 7, 2025
- Discretionary RAUM · $15.8M to $1.4MJan 19, 2024 to May 7, 2025
- HNW RAUM · $6.7M to $688,262Jan 19, 2024 to May 7, 2025
- Individual RAUM · $9.8M to $758,986Jan 19, 2024 to May 7, 2025
- Non-discretionary RAUM · $792,651 to $0Jan 19, 2024 to May 7, 2025
- RAUM · $16.5M to $1.4MJan 19, 2024 to May 7, 2025
- Accounts · 52 to 54May 4, 2023 to Jan 19, 2024
- Discretionary RAUM · $11.9M to $15.8MMay 4, 2023 to Jan 19, 2024
- HNW RAUM · $5.5M to $6.7MMay 4, 2023 to Jan 19, 2024
- Individual RAUM · $6.9M to $9.8MMay 4, 2023 to Jan 19, 2024
- Non-discretionary RAUM · $493,269 to $792,651May 4, 2023 to Jan 19, 2024
- RAUM · $12.4M to $16.5MMay 4, 2023 to Jan 19, 2024
- Accounts · 39 to 52Aug 19, 2022 to Mar 10, 2023
- HNW clients · 8 to 7Aug 19, 2022 to Mar 10, 2023
- Individual clients · 31 to 45Aug 19, 2022 to Mar 10, 2023
- Discretionary RAUM · $9.7M to $11.9MAug 19, 2022 to Mar 10, 2023
- HNW RAUM · $3.9M to $5.5MAug 19, 2022 to Mar 10, 2023
- Individual RAUM · $6.3M to $6.9MAug 19, 2022 to Mar 10, 2023
- Non-discretionary RAUM · $472,708 to $493,269Aug 19, 2022 to Mar 10, 2023
- RAUM · $10.1M to $12.4MAug 19, 2022 to Mar 10, 2023
- Advisory employees · 2 to 1May 26, 2022 to Aug 19, 2022
- Employees · 2 to 1May 26, 2022 to Aug 19, 2022
- State-registered IARs · 2 to 1May 26, 2022 to Aug 19, 2022
- Accounts · 21 to 39Oct 21, 2021 to Feb 24, 2022
- HNW clients · 6 to 8Oct 21, 2021 to Feb 24, 2022
Signals
2 dated events
- M••••• D••••• K••• left N••• C•••••• for T•••• W••••• (registered 2024-03-27)Aug 18, 2022 · Advisor changed firm · fact
- T•••• W••••• filed its initial SEC registration (Form ADV)Apr 12, 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
- Website
- n•••••••••.netreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- +1307-269-0914reportedpublic record, Form ADV, Mar 31, 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
- $1.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026