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
B•••• C•••• W••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape May 28, 2021 · 11 filings
SEC status approved since Jun 25, 2021
RAUM
$317M
reported, Item 5.F
Discretionary
8.3%
of RAUM
Private clients
8.3%
$26.2M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$317M
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
11 filings and snapshots on the tape
RAUM$317M as of Mar 31, 2026
Mar 22, 2022$231M then
HNW client RAUM$14.0M as of Mar 31, 2026
Mar 22, 2022$12.0M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 22, 20221 then
Employees (5.A)1 as of Mar 31, 2026
Mar 22, 20221 then
Private funds: no history
RAUM +17% over the last fiscal year+9.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $317MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 8.3%derivedof RAUM
- Institutional
- 92%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
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$291M92%
- High-net-worth individuals$14.0M4.4%
- Individuals$12.2M3.8%
- Individual clients
- 68reported
- HNW clients
- 8reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 159reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.08 fund_share=0.0 institutional_share=0.92 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 |
|---|---|---|---|---|
| J•••••• W•••• B•••• | Forest, Va | Feb 6, 2023 | 17 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
- J•••••• W•••• B•••• from P•••••• I••••••••• O•••••Feb 6, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J••••••• W•••• · Managing Member & Chief Compliance Officercontrolsince 01/2021 · 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 · 78 to 159Apr 30, 2025 to Mar 31, 2026
- Discretionary RAUM · $30.3M to $26.2MApr 30, 2025 to Mar 31, 2026
- HNW RAUM · $16.1M to $14.0MApr 30, 2025 to Mar 31, 2026
- Individual RAUM · $14.2M to $12.2MApr 30, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $241M to $291MApr 30, 2025 to Mar 31, 2026
- Pension RAUM · $241M to $291MApr 30, 2025 to Mar 31, 2026
- RAUM · $272M to $317MApr 30, 2025 to Mar 31, 2026
- Accounts · 163 to 78Mar 29, 2024 to Apr 30, 2025
- HNW clients · 7 to 8Mar 29, 2024 to Apr 30, 2025
- Individual clients · 64 to 68Mar 29, 2024 to Apr 30, 2025
- Financial planning clients · unset to 0Mar 29, 2024 to Apr 30, 2025
- HQ city · unset to Mar 29, 2024 to Apr 30, 2025
- HQ state · unset to Mar 29, 2024 to Apr 30, 2025
- Discretionary RAUM · $21.8M to $30.3MMar 29, 2024 to Apr 30, 2025
- HNW RAUM · $11.4M to $16.1MMar 29, 2024 to Apr 30, 2025
- Individual RAUM · $10.4M to $14.2MMar 29, 2024 to Apr 30, 2025
- Non-discretionary RAUM · $235M to $241MMar 29, 2024 to Apr 30, 2025
- Pension RAUM · $235M to $241MMar 29, 2024 to Apr 30, 2025
- RAUM · $257M to $272MMar 29, 2024 to Apr 30, 2025
- Accounts · 124 to 163Mar 23, 2023 to Mar 29, 2024
- HNW clients · 5 to 7Mar 23, 2023 to Mar 29, 2024
- Individual clients · 42 to 64Mar 23, 2023 to Mar 29, 2024
- Discretionary RAUM · $21.9M to $21.8MMar 23, 2023 to Mar 29, 2024
- HNW RAUM · $11.0M to $11.4MMar 23, 2023 to Mar 29, 2024
- Individual RAUM · $10.9M to $10.4MMar 23, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $221M to $235MMar 23, 2023 to Mar 29, 2024
- Pension RAUM · $221M to $235MMar 23, 2023 to Mar 29, 2024
- RAUM · $243M to $257MMar 23, 2023 to Mar 29, 2024
- Accounts · 40 to 124Mar 22, 2022 to Mar 23, 2023
- HNW clients · 8 to 5Mar 22, 2022 to Mar 23, 2023
- Individual clients · 97 to 42Mar 22, 2022 to Mar 23, 2023
- Pension plan clients · 1 to 2Mar 22, 2022 to Mar 23, 2023
- Discretionary RAUM · $23.6M to $21.9MMar 22, 2022 to Mar 23, 2023
- HNW RAUM · $12.0M to $11.0MMar 22, 2022 to Mar 23, 2023
- Individual RAUM · $11.6M to $10.9MMar 22, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $207M to $221MMar 22, 2022 to Mar 23, 2023
- Pension RAUM · $207M to $221MMar 22, 2022 to Mar 23, 2023
- RAUM · $231M to $243MMar 22, 2022 to Mar 23, 2023
- Accounts · 99 to 40Nov 9, 2021 to Mar 22, 2022
- HNW clients · 7 to 8Nov 9, 2021 to Mar 22, 2022
Signals
1 dated events
- B•••• C•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 28, 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 4348262029reportedpublic record, Form ADV, Mar 31, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $317Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026