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•••••• S•••••••• A••••••• L••
Latest filing May 11, 2026
First filing on the tape Sep 18, 2019 · 13 filings
SEC status approved since Oct 18, 2019
RAUM
$695M
reported, Item 5.F
Discretionary
59%
of RAUM
Private clients
98%
$682M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$695M as of May 11, 2026
Mar 10, 2020$226M then
HNW client RAUM$682M as of May 11, 2026
Mar 10, 2020$226M then
State-registered IARs (5.B.3)0 as of May 11, 2026
Mar 10, 20200 then
Employees (5.A)2 as of May 11, 2026
Mar 10, 20201 then
Private funds6 as of May 11, 2026
Mar 28, 20222 then
RAUM +4.9% over the last fiscal year+25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Multi-family-office-like · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, average HNW client assets at least $25M, fewer than 200 HNW clients, and business name contains 'family office' or private funds are reported
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- 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)
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $136MderivedHNW RAUM over HNW clients
- Average account
- $19.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 59%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.9%derivedbetween 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, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Custody
- $12.8M, 6 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$682M98%
- Pooled investment vehicles$12.8M1.8%
- Individual clients
- n/areported
- HNW clients
- 5reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 35reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12.8M for 6 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.98 fund_share=0.02 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•• V•••••••• S•• L••no longer reported | Other Private Fund | $6.0M | 40 | Mar 28, 2022 |
| W•• L•••• G•••• S•• I• L•• | Other Private Fund | $4.3M | 14 | Mar 28, 2022 |
| W•• L•••• G•••• S•• 3• L•• | Other Private Fund | $860,000 | 6 | Mar 30, 2023 |
| W•• L•••• G•••• S•• 4• L•• | Other Private Fund | $841,000 | 5 | Mar 29, 2024 |
| W•• L•••• G•••• S•• 2• L•• | Other Private Fund | $602,500 | 14 | Mar 30, 2023 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• S•• · Chief Compliance Officer & Managing Membercontrolsince 09/2019 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $444M to $409MMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $650M to $682MMar 31, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $219M to $287MMar 31, 2025 to Mar 30, 2026
- RAUM · $663M to $695MMar 31, 2025 to Mar 30, 2026
- Advisory employees · 1 to 2Mar 29, 2024 to Mar 31, 2025
- HNW clients · unset to 5.0Mar 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · 4 to 6Mar 29, 2024 to Mar 31, 2025
- Assets in custody · $6.6M to $12.8MMar 29, 2024 to Mar 31, 2025
- Employees · 1 to 2Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 29, 2024 to Mar 31, 2025
- Private funds · 4 to 6Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $223M to $444MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $653M to $650MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $437M to $219MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $6.6M to $12.8MMar 29, 2024 to Mar 31, 2025
- RAUM · $660M to $663MMar 29, 2024 to Mar 31, 2025
- Accounts · 19 to 35Mar 30, 2023 to Mar 29, 2024
- Pooled vehicle clients · unset to 4.0Mar 30, 2023 to Mar 29, 2024
- Assets in custody · $5.7M to $6.6MMar 30, 2023 to Mar 29, 2024
- Private funds · 3 to 4Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $237M to $223MMar 30, 2023 to Mar 29, 2024
- HNW RAUM · $348M to $653MMar 30, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $117M to $437MMar 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · unset to 6554500.0Mar 30, 2023 to Mar 29, 2024
- RAUM · $354M to $660MMar 30, 2023 to Mar 29, 2024
- Accounts · 20 to 19Mar 28, 2022 to Mar 30, 2023
- Advisory activities · 3 to 4Mar 28, 2022 to Mar 30, 2023
- Assets in custody · unset to 5713500.0Mar 28, 2022 to Mar 30, 2023
- Custody of client assets · false to trueMar 28, 2022 to Mar 30, 2023
- Private funds · 2 to 3Mar 28, 2022 to Mar 30, 2023
- Discretionary RAUM · $324M to $237MMar 28, 2022 to Mar 30, 2023
- HNW RAUM · $423M to $348MMar 28, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $110M to $117MMar 28, 2022 to Mar 30, 2023
- RAUM · $434M to $354MMar 28, 2022 to Mar 30, 2023
- Accounts · 7 to 20Mar 23, 2021 to Mar 28, 2022
- Private funds · unset to 2Mar 23, 2021 to Mar 28, 2022
- Discretionary RAUM · $199M to $324MMar 23, 2021 to Mar 28, 2022
- HNW RAUM · $218M to $423MMar 23, 2021 to Mar 28, 2022
- Non-discretionary RAUM · $19.4M to $110MMar 23, 2021 to Mar 28, 2022
Signals
3 dated events
- W•••••• S•••••••• A••••••• L•• reported RAUM $660.0M, up 87% from $353.8M (2023-03-30 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- W•••••• S•••••••• A••••••• L•• reported RAUM $433.7M, up 99% from $218.1M (2021-03-23 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- W•••••• S•••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Sep 18, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- W•••••• S•••••••• A••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Principal office phone
- +1 212 495 9806reportedpublic record, Form ADV, May 11, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026