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
A•••••• W••••••• • A••••••••• W••••• M••••••••• L••
Latest filing Jun 23, 2026
First filing on the tape Jan 19, 2021 · 21 filings
SEC status approved since Feb 18, 2021
RAUM
$319M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$319M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$159M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$319M as of Jun 23, 2026
Mar 4, 2022$180M then
HNW client RAUM$222M as of Jun 23, 2026
Mar 4, 2022$78.4M then
State-registered IARs (5.B.3)2 as of Jun 23, 2026
Mar 4, 20221 then
Employees (5.A)3 as of Jun 23, 2026
Mar 4, 20222 then
Private funds: no history
RAUM +39% over the last fiscal year+23% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 23, 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
- $159MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 162derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $321,147derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$222M69%
- Individuals$97.4M31%
- Individual clients
- 233reported
- HNW clients
- 91reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 993reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••• T••• W••••••• | Shelburne, Vt | Mar 24, 2021 | 27 y | 2 |
| T••• M• L••••• | Shelburne, Vt | Apr 26, 2023 | 20 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
none on the tape
Joined, latest
- A•••••• T••• W••••••• from P•••••• A•••••• G••••• L••Mar 24, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••••• A••••••• T••• · Managing Member & Chief Compliance Officercontrolsince 01/2021 · 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 |
|---|---|---|---|---|---|
| Shelburne, Vt · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 970 to 993Feb 13, 2026 to Jun 23, 2026
- HNW clients · 66 to 91Feb 13, 2026 to Jun 23, 2026
- Individual clients · 283 to 233Feb 13, 2026 to Jun 23, 2026
- Pension plan clients · 7 to 0Feb 13, 2026 to Jun 23, 2026
- Discretionary RAUM · $295M to $319MFeb 13, 2026 to Jun 23, 2026
- HNW RAUM · $146M to $222MFeb 13, 2026 to Jun 23, 2026
- Individual RAUM · $149M to $97.4MFeb 13, 2026 to Jun 23, 2026
- RAUM · $295M to $319MFeb 13, 2026 to Jun 23, 2026
- Accounts · 898 to 970Jan 22, 2025 to Feb 13, 2026
- HNW clients · 63 to 66Jan 22, 2025 to Feb 13, 2026
- Individual clients · 265 to 283Jan 22, 2025 to Feb 13, 2026
- Discretionary RAUM · $229M to $295MJan 22, 2025 to Feb 13, 2026
- HNW RAUM · $141M to $146MJan 22, 2025 to Feb 13, 2026
- Individual RAUM · $88.4M to $149MJan 22, 2025 to Feb 13, 2026
- RAUM · $229M to $295MJan 22, 2025 to Feb 13, 2026
- Accounts · 855 to 898Jan 8, 2024 to Jan 22, 2025
- HNW clients · 60 to 63Jan 8, 2024 to Jan 22, 2025
- Individual clients · 266 to 265Jan 8, 2024 to Jan 22, 2025
- Financial planning clients · 251-500 to 251-500Jan 8, 2024 to Jan 22, 2025
- Discretionary RAUM · $198M to $229MJan 8, 2024 to Jan 22, 2025
- HNW RAUM · $113M to $141MJan 8, 2024 to Jan 22, 2025
- Individual RAUM · $85.0M to $88.4MJan 8, 2024 to Jan 22, 2025
- RAUM · $198M to $229MJan 8, 2024 to Jan 22, 2025
- Accounts · 818 to 855Nov 29, 2023 to Jan 8, 2024
- HNW clients · 53 to 60Nov 29, 2023 to Jan 8, 2024
- Individual clients · 253 to 266Nov 29, 2023 to Jan 8, 2024
- Pension plan clients · 5 to 7Nov 29, 2023 to Jan 8, 2024
- State-registered IARs · 1 to 2Nov 29, 2023 to Jan 8, 2024
- Discretionary RAUM · $173M to $198MNov 29, 2023 to Jan 8, 2024
- HNW RAUM · $96.8M to $113MNov 29, 2023 to Jan 8, 2024
- Individual RAUM · $76.3M to $85.0MNov 29, 2023 to Jan 8, 2024
- RAUM · $173M to $198MNov 29, 2023 to Jan 8, 2024
- Advisory activities · 3 to 4Mar 29, 2023 to Apr 17, 2023
- Pension plan clients · 0 to 5Mar 29, 2023 to Apr 17, 2023
- Employees · 2 to 3Mar 29, 2023 to Apr 17, 2023
- Accounts · 806 to 818Mar 4, 2022 to Jan 19, 2023
- Corporate clients · 1 to 0Mar 4, 2022 to Jan 19, 2023
- HNW clients · 259 to 53Mar 4, 2022 to Jan 19, 2023
- Individual clients · 50 to 253Mar 4, 2022 to Jan 19, 2023
- Discretionary RAUM · $180M to $173MMar 4, 2022 to Jan 19, 2023
Signals
1 dated events
- A•••••• W••••••• • A••••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 19, 2021 · 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
- 866-985-8808reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 802-985-8808reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 802-985-8850reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- antoinewilliamsandassoc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 802-985-8808reportedpublic record, Form ADV, Jun 23, 2026
- Contact form
- antoinewilliamsandassoc.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- antoinewilliamsandassoc.com/meet-the-teamreportedpublished by the firm, firm site, Sep 15, 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
- $159Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026