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••• F•••••••• G••••
Legal name W••• F•••••••• G•••• L••
Latest filing Mar 17, 2026
First filing on the tape Aug 20, 2021 · 8 filings
SEC status approved since Sep 17, 2021
RAUM
$182M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$182M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$60.8M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$182M as of Mar 17, 2026
Jan 31, 2022$180M then
HNW client RAUM$162M as of Mar 17, 2026
Jan 31, 2022$150M then
State-registered IARs (5.B.3)3 as of Mar 17, 2026
Jan 31, 20223 then
Employees (5.A)3 as of Mar 17, 2026
Jan 31, 20223 then
Private funds: no history
RAUM +5.8% over the last fiscal year+3.6% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 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
- $60.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.2MderivedHNW RAUM over HNW clients
- Average account
- $557,978derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -21%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 5.G
- Custody
- $53.9M, 14 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$162M89%
- Individuals$20.7M11%
- Individual clients
- 41reported
- HNW clients
- 31reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 327reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $53.9M for 14 clientsreported
- Compensation
- % of AUMreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••••• A•• W••••• | Mendota Heights, Mn | Sep 17, 2021 | 17 y | 2 |
| B•••• W••••• W••• | Mendota Heights, Mn | Sep 20, 2021 | 35 y | 2 |
| R••• D•••• W••• | Mendota Heights, Mn | Sep 20, 2021 | 30 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
- B•••• W••••• W••• from A••••••••• W••••• P•••••••Sep 20, 2021 · RIA to a newly registered adviser
- R••• D•••• W••• from A••••••••• W••••• P•••••••Sep 20, 2021 · RIA to a newly registered adviser
- S•••••••• A•• W••••• from A••••••••• W••••• P•••••••Sep 17, 2021 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from A••••••••• W••••• P•••••••Dec 31, 2021 · Mendota Heights, Mn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••• R•••• D•••• · Managing Partnercontrolsince 08/2021 · owns 75% or more
- W•••••• S••••••••• A•• · Chief Compliance Officercontrolsince 08/2021 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Mendota Heights, Mn · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 311 to 327Mar 18, 2025 to Mar 17, 2026
- HNW clients · 32 to 31Mar 18, 2025 to Mar 17, 2026
- Individual clients · 59 to 41Mar 18, 2025 to Mar 17, 2026
- Pension plan clients · 1 to 0Mar 18, 2025 to Mar 17, 2026
- Assets in custody · $53.9M to $53.9MMar 18, 2025 to Mar 17, 2026
- Discretionary RAUM · $172M to $182MMar 18, 2025 to Mar 17, 2026
- HNW RAUM · $146M to $162MMar 18, 2025 to Mar 17, 2026
- Individual RAUM · $22.9M to $20.7MMar 18, 2025 to Mar 17, 2026
- Pension RAUM · $3.8M to $0Mar 18, 2025 to Mar 17, 2026
- RAUM · $172M to $182MMar 18, 2025 to Mar 17, 2026
- Accounts · 208 to 311Mar 7, 2024 to Mar 18, 2025
- HNW clients · 25 to 32Mar 7, 2024 to Mar 18, 2025
- Individual clients · 45 to 59Mar 7, 2024 to Mar 18, 2025
- Assets in custody · unset to 53928191.0Mar 7, 2024 to Mar 18, 2025
- Custody of client assets · false to trueMar 7, 2024 to Mar 18, 2025
- Financial planning clients · 0 to 0Mar 7, 2024 to Mar 18, 2025
- Discretionary RAUM · $166M to $172MMar 7, 2024 to Mar 18, 2025
- HNW RAUM · $123M to $146MMar 7, 2024 to Mar 18, 2025
- Individual RAUM · $38.8M to $22.9MMar 7, 2024 to Mar 18, 2025
- Pension RAUM · $3.5M to $3.8MMar 7, 2024 to Mar 18, 2025
- RAUM · $166M to $172MMar 7, 2024 to Mar 18, 2025
- Accounts · 309 to 208Mar 6, 2023 to Mar 7, 2024
- HNW clients · 24 to 25Mar 6, 2023 to Mar 7, 2024
- Individual clients · 47 to 45Mar 6, 2023 to Mar 7, 2024
- Pension plan clients · unset to 1.0Mar 6, 2023 to Mar 7, 2024
- Financial planning clients · unset to 0Mar 6, 2023 to Mar 7, 2024
- Discretionary RAUM · $163M to $166MMar 6, 2023 to Mar 7, 2024
- HNW RAUM · $111M to $123MMar 6, 2023 to Mar 7, 2024
- Individual RAUM · $53.0M to $38.8MMar 6, 2023 to Mar 7, 2024
- Non-discretionary RAUM · $752,000 to $0Mar 6, 2023 to Mar 7, 2024
- Pension RAUM · unset to 3548151.0Mar 6, 2023 to Mar 7, 2024
- RAUM · $164M to $166MMar 6, 2023 to Mar 7, 2024
- Accounts · 321 to 309Sep 19, 2022 to Mar 6, 2023
- HNW clients · 45 to 24Sep 19, 2022 to Mar 6, 2023
- Individual clients · 237 to 47Sep 19, 2022 to Mar 6, 2023
- Discretionary RAUM · $180M to $163MSep 19, 2022 to Mar 6, 2023
- HNW RAUM · $150M to $111MSep 19, 2022 to Mar 6, 2023
- Individual RAUM · $25.8M to $53.0MSep 19, 2022 to Mar 6, 2023
- Non-discretionary RAUM · $0 to $752,000Sep 19, 2022 to Mar 6, 2023
- Pension RAUM · 4270322.0 to unsetSep 19, 2022 to Mar 6, 2023
Signals
1 dated events
- W••• F•••••••• G•••• filed its initial SEC registration (Form ADV)Aug 20, 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
- 612-251-8995reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 612-347-7811reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 612-347-7825reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 612-347-7825reportedpublic record, Form ADV, Mar 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
- $60.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026