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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Former SEC-registered adviser

W•••• S••••• F•••••••• L••

Former SEC-registered adviserWinchester, VirginiaCRD 314822SEC 801-121720IAPD

Latest filing Jul 17, 2023

First filing on the tape Jun 9, 2021 · 11 filings

RAUM

$147M

reported, Item 5.F

Discretionary

79%

of RAUM

Private clients

76%

$112M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

11 filings and snapshots on the tape

RAUM$147M as of Mar 1, 2023

Mar 4, 2022$209M then

HNW client RAUM$50.3M as of Mar 1, 2023

Mar 4, 2022$53.5M then

State-registered IARs (5.B.3)6 as of Mar 1, 2023

Mar 4, 20225 then

Employees (5.A)8 as of Mar 1, 2023

Mar 4, 20227 then

Private funds: no history

RAUM -30% over the last fiscal yearIARs 5 to 6

Practice profile

derived from the filing of Jul 17, 2023; every figure names its basis

RAUM per advisor: $24.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 52derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.8MderivedHNW RAUM over HNW clients
Average account: $271,720derivedRAUM over accounts (5.F.2.f)
Discretionary: 79%derivedof RAUM
Institutional: 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -30%derivedbetween the last two annual amendments
Advisor growth, one year: +20%derivedItem 5.B.3 between annual amendments
Client growth, one year: +5.1%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
Wrap fee program: $117MreportedItem 5.I
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$61.3M42%
High-net-worth individuals$50.3M34%
Pension and profit-sharing plans$32.4M22%
Corporations and businesses$1.8M1.2%
Charitable organizations$1.4M1.0%

Individual clients: 282reported
HNW clients: 28reported
Pension plan clients: 17reported
Charitable clients: 2reported
Accounts: 542reported
Financial planning clients: 26-50reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: absent from the latest SEC rosterderived

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

C••••••••• S•••••• C•••••••• to W••••••••• A••••••• P••••••• L••
Dec 31, 2023 · RIA to RIA
T••••• E••• S•••• to W••••••••• A••••••• P••••••• L••
Dec 31, 2023 · RIA to RIA
R••• C•••••• O•••• to W••••••••• A••••••• P••••••• L••
Dec 31, 2023 · RIA to RIA
A•••••• C••••• S••••• to P•••• S••••••••• L••
Aug 28, 2023 · RIA to affiliated broker-dealer or bank
C•••• J•••• F•• to M•••• I••••••••• A••••••• S••••••• I••
Aug 14, 2023 · RIA to RIA
J•••••• A••• R••• to T••••••••• C••••••• L••
Jul 5, 2023 · RIA to RIA

Joined, latest

C•••• J•••• F•• from V•••••• A•••••••• I•••
May 18, 2022 · Affiliated broker-dealer or bank to independent RIA
J•••••• A••• R••• from W••••••••• A••••••• P••••••• L••
Oct 1, 2021 · RIA to a newly registered adviser
C••••••••• S•••••• C•••••••• from W••••••••• A••••••• P••••••• L••
Oct 1, 2021 · RIA to a newly registered adviser
T••••• E••• S•••• from W••••••••• A••••••• P••••••• L••
Oct 1, 2021 · RIA to a newly registered adviser
A•••••• C••••• S••••• from W••••••••• A••••••• P••••••• L••
Oct 1, 2021 · RIA to a newly registered adviser
R••• C•••••• O•••• from W••••••••• A••••••• P••••••• L••
Oct 1, 2021 · RIA to a newly registered adviser

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

3 left for W••••••••• A••••••• P••••••• L••
Dec 31, 2023 · Winchester, Va · Firm absorbed

5 joined from W••••••••• A••••••• P••••••• L••
Sep 30, 2021 · Winchester, Va

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C••••••••• C••••••••• S•••••• · Managing Partnercontrol
since 06/2021 · owns 50% to 75%
O••••• R•••• C•••••• · Chief Compliance Officer And Managing Partnercontrol
since 06/2023 · owns 50% to 75%

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
Winchester, Va · principal	0	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 509 to 542
Oct 10, 2022 to Mar 1, 2023
HNW clients · 26 to 28
Oct 10, 2022 to Mar 1, 2023
Individual clients · 269 to 282
Oct 10, 2022 to Mar 1, 2023
Pension plan clients · 9 to 17
Oct 10, 2022 to Mar 1, 2023
Discretionary RAUM · $133M to $117M
Oct 10, 2022 to Mar 1, 2023
HNW RAUM · $53.5M to $50.3M
Oct 10, 2022 to Mar 1, 2023
Individual RAUM · $74.9M to $61.3M
Oct 10, 2022 to Mar 1, 2023
Non-discretionary RAUM · $75.7M to $30.6M
Oct 10, 2022 to Mar 1, 2023
Pension RAUM · $76.8M to $32.4M
Oct 10, 2022 to Mar 1, 2023
RAUM · $209M to $147M
Oct 10, 2022 to Mar 1, 2023
Advisory employees · 5 to 6
Jun 2, 2022 to Jun 22, 2022
BD registered reps · 4 to 5
Jun 2, 2022 to Jun 22, 2022
Employees · 7 to 8
Jun 2, 2022 to Jun 22, 2022
State-registered IARs · 5 to 6
Jun 2, 2022 to Jun 22, 2022
Accounts · 492 to 509
Dec 15, 2021 to Mar 4, 2022
Advisory activities · 6 to 4
Dec 15, 2021 to Mar 4, 2022
Charity clients · unset to 2.0
Dec 15, 2021 to Mar 4, 2022
Corporate clients · unset to 2.0
Dec 15, 2021 to Mar 4, 2022
HNW clients · 30 to 26
Dec 15, 2021 to Mar 4, 2022
Individual clients · 256 to 269
Dec 15, 2021 to Mar 4, 2022
Financial planning clients · 0 to 26-50
Dec 15, 2021 to Mar 4, 2022
Discretionary RAUM · $126M to $133M
Dec 15, 2021 to Mar 4, 2022
HNW RAUM · $53.7M to $53.5M
Dec 15, 2021 to Mar 4, 2022
Individual RAUM · $66.6M to $74.9M
Dec 15, 2021 to Mar 4, 2022
Non-discretionary RAUM · $72.7M to $75.7M
Dec 15, 2021 to Mar 4, 2022
Pension RAUM · $75.0M to $76.8M
Dec 15, 2021 to Mar 4, 2022
RAUM · $198M to $209M
Dec 15, 2021 to Mar 4, 2022
Accounts · 0 to 492
Oct 1, 2021 to Nov 5, 2021
HNW clients · unset to 30.0
Oct 1, 2021 to Nov 5, 2021
Individual clients · unset to 256.0
Oct 1, 2021 to Nov 5, 2021
Pension plan clients · unset to 9.0
Oct 1, 2021 to Nov 5, 2021
Discretionary RAUM · $0 to $126M
Oct 1, 2021 to Nov 5, 2021
HNW RAUM · unset to 53678585.0
Oct 1, 2021 to Nov 5, 2021
Individual RAUM · unset to 66596095.0
Oct 1, 2021 to Nov 5, 2021
Non-discretionary RAUM · $0 to $72.7M
Oct 1, 2021 to Nov 5, 2021
Pension RAUM · unset to 75026018.0
Oct 1, 2021 to Nov 5, 2021
RAUM · $0 to $198M
Oct 1, 2021 to Nov 5, 2021

Signals

9 dated events

C••••••••• S•••••• C•••••••• left W•••• S••••• F•••••••• L•• for W••••••••• A••••••• P••••••• L•• (registered 2024-01-02)
Dec 31, 2023 · Advisor changed firm · fact
T••••• E••• S•••• left W•••• S••••• F•••••••• L•• for W••••••••• A••••••• P••••••• L•• (registered 2024-01-02)
Dec 31, 2023 · Advisor changed firm · fact
R••• C•••••• O•••• left W•••• S••••• F•••••••• L•• for W••••••••• A••••••• P••••••• L•• (registered 2024-01-02)
Dec 31, 2023 · Advisor changed firm · fact
W•••• S••••• F•••••••• L••'s advisors moved to W••••••••• A••••••• P••••••• L•• (Winchester, VA): 3 of 3 registered, on the same day
Dec 31, 2023 · Firm absorbed (people side) · derived
A•••••• C••••• S••••• left W•••• S••••• F•••••••• L•• for P•••• S••••••••• L•• (registered 2023-08-29)
Aug 28, 2023 · Advisor changed firm · fact
C•••• J•••• F•• left W•••• S••••• F•••••••• L•• for M•••• I••••••••• A••••••• S••••••• I•• (registered 2023-08-29)
Aug 14, 2023 · Advisor changed firm · fact
A••• J•••••• R••• (Chief Compliance Officer) no longer on Schedule A of W•••• S••••• F•••••••• L•• (listed 2023-03-01, absent 2023-07-17)
Jul 17, 2023 · Control person left · inference
J•••••• A••• R••• left W•••• S••••• F•••••••• L•• for T••••••••• C••••••• L•• (registered 2023-07-20)
Jul 5, 2023 · Advisor changed firm · fact
W•••• S••••• F•••••••• L•• filed its initial SEC registration (Form ADV)
Jun 9, 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.

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: Former SEC-registered adviserderiveda 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