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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
W•••• K••••• S•••••••• W••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape May 16, 2019 · 16 filings
SEC status approved since Jun 13, 2019
RAUM
$207M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$207M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$29.6M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$207M as of Mar 31, 2026
Mar 27, 2020$98.1M then
HNW client RAUM$178M as of Mar 31, 2026
Mar 27, 2020$73.1M then
State-registered IARs (5.B.3)5 as of Mar 31, 2026
Mar 27, 20207 then
Employees (5.A)7 as of Mar 31, 2026
Mar 27, 20207 then
Private funds: no history
RAUM +16% over the last fiscal year+20% a year over threeIARs 7 to 5
Practice profile
derived from the filing of Mar 31, 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
- RAUM per advisor
- $29.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $409,817derivedRAUM 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
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- -29%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$178M86%
- Individuals$29.0M14%
- Individual clients
- 148reported
- HNW clients
- 48reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 506reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• T••••• B•••••• | Lawrenceville, Nj | Jul 22, 2019 | 29 y | 1 |
| H••••••• S•••• M•••••Certified Financial Planner | Lawrenceville, Nj | Jul 22, 2019 | 25 y | 1 |
| H•••• N•••• A••• | Lawrenceville, Nj | Aug 8, 2019 | 21 y | 1 |
| E••••• R•••••• C•••••• | Lawrenceville, Nj | Jan 1, 2026 | 27 y | 1 |
| D••••• W•••••• C••••••• | Lawrenceville, Nj | Jan 1, 2026 | 14 y | 2 |
| S•••••••• K••• B•••• | Lawrenceville, Nj | Jan 1, 2026 | 28 y | 1 |
| K•••••••• S•••• M•••••Certified Financial Planner | Lawrenceville, Nj | Jan 1, 2026 | 43 y | 1 |
Advisor movement
0 left, 4 joined in 12 months
net +4 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
- S•••••••• K••• B•••• from A••••••••• F•••••••• S•••••••• L••Jan 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- D••••• W•••••• C••••••• from A••••••••• F•••••••• S•••••••• L••Jan 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- K•••••••• S•••• M••••• from A••••••••• F•••••••• S•••••••• L••Jan 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- E••••• R•••••• C•••••• from A••••••••• F•••••••• S•••••••• L••Jan 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- H•••• N•••• A••• from A••••••••• F•••••••• S•••••••• L••Aug 8, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- H••••••• S•••• M••••• from A••••••••• F•••••••• S•••••••• L••Jul 22, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- P••• T••••• B•••••• from A••••••••• F•••••••• S•••••••• L••Jul 22, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 6 joined from A••••••••• F•••••••• S•••••••• L••Jul 23, 2019 · Princeton, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• H•••••••• S•••• · Managing Member, Ccocontrolsince 07/2019 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Lawrenceville, Nj · principal | 7 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 573 to 506Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 7 to 5Mar 31, 2025 to Mar 31, 2026
- HNW clients · 45 to 48Mar 31, 2025 to Mar 31, 2026
- Individual clients · 122 to 148Mar 31, 2025 to Mar 31, 2026
- HQ city · PRINCETON to LAWRENCEVILLEMar 31, 2025 to Mar 31, 2026
- State-registered IARs · 7 to 5Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $179M to $207MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $155M to $178MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $22.4M to $29.0MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · 1408842.0 to unsetMar 31, 2025 to Mar 31, 2026
- RAUM · $179M to $207MMar 31, 2025 to Mar 31, 2026
- Accounts · 524 to 573Mar 29, 2024 to Mar 31, 2025
- HNW clients · 44 to 45Mar 29, 2024 to Mar 31, 2025
- Individual clients · 127 to 122Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 51-100 to 51-100Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $153M to $179MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $118M to $155MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $34.4M to $22.4MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $244,104 to $0Mar 29, 2024 to Mar 31, 2025
- Pension RAUM · $886,647 to $1.4MMar 29, 2024 to Mar 31, 2025
- RAUM · $154M to $179MMar 29, 2024 to Mar 31, 2025
- Accounts · 352 to 524May 16, 2023 to Mar 29, 2024
- HNW clients · 46 to 44May 16, 2023 to Mar 29, 2024
- Individual clients · 107 to 127May 16, 2023 to Mar 29, 2024
- Discretionary RAUM · $117M to $153MMay 16, 2023 to Mar 29, 2024
- HNW RAUM · $94.7M to $118MMay 16, 2023 to Mar 29, 2024
- Individual RAUM · $24.2M to $34.4MMay 16, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $2.2M to $244,104May 16, 2023 to Mar 29, 2024
- Pension RAUM · $579,706 to $886,647May 16, 2023 to Mar 29, 2024
- RAUM · $120M to $154MMay 16, 2023 to Mar 29, 2024
- Accounts · 344 to 352Mar 30, 2022 to Mar 27, 2023
- HNW clients · 44 to 46Mar 30, 2022 to Mar 27, 2023
- Individual clients · 108 to 107Mar 30, 2022 to Mar 27, 2023
- Discretionary RAUM · $130M to $117MMar 30, 2022 to Mar 27, 2023
- HNW RAUM · $103M to $94.7MMar 30, 2022 to Mar 27, 2023
- Individual RAUM · $28.4M to $24.2MMar 30, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $2.4M to $2.2MMar 30, 2022 to Mar 27, 2023
- Pension RAUM · $512,755 to $579,706Mar 30, 2022 to Mar 27, 2023
- RAUM · $132M to $120MMar 30, 2022 to Mar 27, 2023
- Accounts · 475 to 344Mar 30, 2021 to Mar 30, 2022
Signals
3 dated events
- J•••••• J••••• G•••• (Chief Compliance Officer, Managing Member) no longer on Schedule A of W•••• K••••• S•••••••• W••••• A•••••••• L•• (listed 2019-05-16, absent 2019-07-19)Jul 19, 2019 · Control person left · inference
- Singh Harpreet Mangat (Managing Member, Cco) appeared on Schedule A of W•••• K••••• S•••••••• W••••• A•••••••• L••Jul 19, 2019 · Control person joined · fact
- H••• • A••••••••• L•• filed its initial SEC registration (Form ADV)May 16, 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
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
- $29.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026