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
T•• W••••••••• L••
Latest filing Aug 24, 2026
First filing on the tape Dec 9, 2019 · 24 filings
SEC status approved since May 9, 2024
RAUM
$87.5M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$87.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$87.5M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$87.5M as of Aug 24, 2026
Mar 30, 2020$0 then
HNW client RAUM$58.2M as of Aug 24, 2026
Mar 22, 2021$36.9M then
State-registered IARs (5.B.3)1 as of Aug 24, 2026
Mar 30, 20201 then
Employees (5.A)1 as of Aug 24, 2026
Mar 30, 20201 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Aug 24, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $87.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 132derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $245,721derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$58.2M67%
- Individuals$29.3M33%
- Individual clients
- 95reported
- HNW clients
- 37reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 356reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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 |
|---|---|---|---|---|
| D•••• E•••• W••••••Certified Financial Planner, Chartered Financial Consultant | Great Neck, Ny | Dec 7, 2020 | 22 y | 2 |
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•••• E•••• W•••••• from B•••••••• W••••• A•••••••• L••Dec 7, 2020 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• D••••• E•••• · Managing Member/Ccocontrolsince 03/2016 · 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
- Accounts · 365 to 356Sep 3, 2025 to Mar 23, 2026
- HNW clients · 30 to 37Sep 3, 2025 to Mar 23, 2026
- Individual clients · 103 to 95Sep 3, 2025 to Mar 23, 2026
- Discretionary RAUM · $73.8M to $84.1MSep 3, 2025 to Mar 23, 2026
- HNW RAUM · $42.9M to $58.2MSep 3, 2025 to Mar 23, 2026
- Individual RAUM · $31.0M to $29.3MSep 3, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $0 to $3.4MSep 3, 2025 to Mar 23, 2026
- RAUM · $73.8M to $87.5MSep 3, 2025 to Mar 23, 2026
- Financial planning clients · 26-50 to 26-50Feb 12, 2025 to Jun 5, 2025
- Accounts · 350 to 365May 21, 2024 to Feb 12, 2025
- Advisory activities · 4 to 3May 21, 2024 to Feb 12, 2025
- HNW clients · 97 to 30May 21, 2024 to Feb 12, 2025
- Individual clients · 110 to 103May 21, 2024 to Feb 12, 2025
- Legal name · THE W••••••••• FL LLC to T•• W••••••••• L••May 21, 2024 to Feb 12, 2025
- Discretionary RAUM · $62.8M to $73.8MMay 21, 2024 to Feb 12, 2025
- HNW RAUM · $29.5M to $42.9MMay 21, 2024 to Feb 12, 2025
- Individual RAUM · $33.3M to $31.0MMay 21, 2024 to Feb 12, 2025
- RAUM · $62.8M to $73.8MMay 21, 2024 to Feb 12, 2025
- Accounts · 303 to 350Feb 9, 2022 to Apr 9, 2024
- HNW clients · 26 to 97Feb 9, 2022 to Apr 9, 2024
- Individual clients · 81 to 110Feb 9, 2022 to Apr 9, 2024
- Assets in custody · 63688831.0 to unsetFeb 9, 2022 to Apr 9, 2024
- Custody of client assets · true to falseFeb 9, 2022 to Apr 9, 2024
- HQ city · MIAMI to GREAT NECKFeb 9, 2022 to Apr 9, 2024
- HQ state · FL to NYFeb 9, 2022 to Apr 9, 2024
- Discretionary RAUM · $63.7M to $62.8MFeb 9, 2022 to Apr 9, 2024
- HNW RAUM · $43.5M to $29.5MFeb 9, 2022 to Apr 9, 2024
- Individual RAUM · $20.2M to $33.3MFeb 9, 2022 to Apr 9, 2024
- RAUM · $63.7M to $62.8MFeb 9, 2022 to Apr 9, 2024
- Legal name · T•• W••••••••• L•• to THE W••••••••• FL LLCFeb 3, 2022 to Feb 9, 2022
- Accounts · 372 to 303Dec 9, 2021 to Feb 1, 2022
- HNW clients · 18 to 26Dec 9, 2021 to Feb 1, 2022
- Individual clients · 43 to 81Dec 9, 2021 to Feb 1, 2022
- Assets in custody · $55.5M to $63.7MDec 9, 2021 to Feb 1, 2022
- Discretionary RAUM · $55.5M to $63.7MDec 9, 2021 to Feb 1, 2022
- HNW RAUM · $36.9M to $43.5MDec 9, 2021 to Feb 1, 2022
- Individual RAUM · $18.7M to $20.2MDec 9, 2021 to Feb 1, 2022
- RAUM · $55.5M to $63.7MDec 9, 2021 to Feb 1, 2022
- Assets in custody · unset to 55514996.0Jun 4, 2021 to Aug 11, 2021
- Custody of client assets · false to trueJun 4, 2021 to Aug 11, 2021
Signals
1 dated events
- T•• W••••••••• L•• filed its initial SEC registration (Form ADV)Dec 9, 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
- Business phone
- 516-400-7111reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- t•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 516-400-7111reportedpublic record, Form ADV, Aug 24, 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
- $87.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026