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••••••••
Legal name W••••• F•••••••• A•••• M•••••••••
Latest filing Jun 17, 2026
First filing on the tape Sep 16, 2020 · 18 filings
SEC status approved since Oct 16, 2020
RAUM
$76.1M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
89%
$67.7M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$38.1M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$76.1M as of Jun 17, 2026
May 5, 2021$65.5M then
HNW client RAUM$57.3M as of Jun 17, 2026
May 5, 2021$54.5M then
State-registered IARs (5.B.3)2 as of Jun 17, 2026
May 5, 20211 then
Employees (5.A)2 as of Jun 17, 2026
May 5, 20213 then
Private funds: no history
RAUM +36% over the last fiscal year+2.4% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Jun 17, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $38.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $440,053derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 5.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $38,400, 1 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$57.3M75%
- Individuals$10.5M14%
- Pension and profit-sharing plans$4.3M5.7%
- Corporations and businesses$4.0M5.3%
- Individual clients
- 43reported
- HNW clients
- 46reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 173reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $38,400 for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.06 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•••• W•••••• W•••••Certified Financial Planner | New York, Ny | Jul 12, 2021 | 31 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•••• W•••••• W••••• from R•• C•••••• M••••••• L••Jul 12, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••• D••••• W•••••• · Principal And Chief Compliance Officercontrolsince 09/2020 · 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 |
|---|---|---|---|---|---|
| New York, Ny | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Jun 17, 2026hourly charges (Item 5.E.2): yes on the filing of 2026-05-13, no on the filing of 2026-06-17peers: independent wealth managers, under $100M (704)
- custody status changedChange between filings · filing Jun 17, 2026custody of client assets (Item 9.A): no on the filing of 2026-05-13, yes on the filing of 2026-06-17peers: independent wealth managers, under $100M (704)
What changed
consecutive filings, newest first
- Accounts · 174 to 173May 13, 2026 to Jun 17, 2026
- Advisory employees · 1 to 2May 13, 2026 to Jun 17, 2026
- HNW clients · 50 to 46May 13, 2026 to Jun 17, 2026
- Individual clients · 30 to 43May 13, 2026 to Jun 17, 2026
- Assets in custody · unset to 38400.0May 13, 2026 to Jun 17, 2026
- Custody of client assets · false to trueMay 13, 2026 to Jun 17, 2026
- Employees · 1 to 2May 13, 2026 to Jun 17, 2026
- State-registered IARs · 1 to 2May 13, 2026 to Jun 17, 2026
- Discretionary RAUM · $64.2M to $75.5MMay 13, 2026 to Jun 17, 2026
- HNW RAUM · $55.9M to $57.3MMay 13, 2026 to Jun 17, 2026
- Individual RAUM · $5.7M to $10.5MMay 13, 2026 to Jun 17, 2026
- Non-discretionary RAUM · $108,248 to $616,700May 13, 2026 to Jun 17, 2026
- Pension RAUM · $0 to $4.3MMay 13, 2026 to Jun 17, 2026
- RAUM · $64.3M to $76.1MMay 13, 2026 to Jun 17, 2026
- Accounts · 157 to 174Jun 6, 2024 to Mar 28, 2025
- HNW clients · 46 to 50Jun 6, 2024 to Mar 28, 2025
- Individual clients · 39 to 30Jun 6, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Jun 6, 2024 to Mar 28, 2025
- HQ city · unset to Jun 6, 2024 to Mar 28, 2025
- HQ state · unset to Jun 6, 2024 to Mar 28, 2025
- Discretionary RAUM · $56.0M to $64.2MJun 6, 2024 to Mar 28, 2025
- HNW RAUM · $49.2M to $55.9MJun 6, 2024 to Mar 28, 2025
- Individual RAUM · $6.8M to $5.7MJun 6, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $49,076 to $108,248Jun 6, 2024 to Mar 28, 2025
- RAUM · $56.0M to $64.3MJun 6, 2024 to Mar 28, 2025
- Business name · W••••• F•••••••• A•••• M••••••••• to W••••••••Mar 26, 2024 to Apr 10, 2024
- Accounts · 172 to 157Jul 18, 2023 to Mar 26, 2024
- HNW clients · 43 to 46Jul 18, 2023 to Mar 26, 2024
- Individual clients · 40 to 39Jul 18, 2023 to Mar 26, 2024
- Organization form · Corporation to Limited Liability CompanyJul 18, 2023 to Mar 26, 2024
- Discretionary RAUM · $47.3M to $56.0MJul 18, 2023 to Mar 26, 2024
- HNW RAUM · $41.1M to $49.2MJul 18, 2023 to Mar 26, 2024
- Individual RAUM · $6.2M to $6.8MJul 18, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $0 to $49,076Jul 18, 2023 to Mar 26, 2024
- RAUM · $47.3M to $56.0MJul 18, 2023 to Mar 26, 2024
- Accounts · 200 to 172Mar 30, 2022 to Mar 29, 2023
- Charity clients · unset to 0.0Mar 30, 2022 to Mar 29, 2023
- Corporate clients · unset to 0.0Mar 30, 2022 to Mar 29, 2023
- HNW clients · 48 to 43Mar 30, 2022 to Mar 29, 2023
- Individual clients · 46 to 40Mar 30, 2022 to Mar 29, 2023
Signals
1 dated events
- W••••• F•••••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)Sep 16, 2020 · 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
- 646-872-0632reportedpublic record, Form ADV, Jun 17, 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
- $38.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026