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•• W••••• A••••••• L••
Latest filing Feb 6, 2026
First filing on the tape Sep 7, 2021 · 16 filings
SEC status approved since Oct 7, 2021
RAUM
$72.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$72.4M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$24.1M
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
16 filings and snapshots on the tape
RAUM$72.4M as of Feb 6, 2026
Mar 7, 2022$49.4M then
HNW client RAUM$19.9M as of Feb 6, 2026
Mar 7, 2022$34.8M then
State-registered IARs (5.B.3)3 as of Feb 6, 2026
Mar 7, 20222 then
Employees (5.A)3 as of Feb 6, 2026
Mar 7, 20222 then
Private funds: no history
RAUM +12% over the last fiscal year+21% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $24.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 118derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $205,050derivedRAUM 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
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +109%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 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)
- 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
- Individuals$52.5M73%
- High-net-worth individuals$19.9M27%
- Individual clients
- 345reported
- HNW clients
- 8reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 353reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $72.4M managedreported
- Custody of client assets
- noreported
- 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 |
|---|---|---|---|---|
| M••••• N•• C•••Certified Financial Planner | Saratoga Springs, Ny | Oct 12, 2021 | 24 y | 3 |
| W•••••• P••• G•••••• | Saratoga Springs, Ny | Oct 13, 2021 | 39 y | 3 |
| S•••• S•• F•• M•• | Saratoga Springs, Ny | May 10, 2023 | 28 y | 1 |
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
- S•••• S•• F•• M•• from A•••••• A••••••• S•••••••May 10, 2023 · Affiliated broker-dealer or bank to independent RIA
- W•••••• P••• G•••••• from D•• A•••••••• L••Oct 13, 2021 · RIA to a newly registered adviser
- M••••• N•• C••• from D•• A•••••••• L••Oct 12, 2021 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• M•••••• N•• · Managing Partnercontrolsince 08/2021 · owns 50% to 75%
- G••••••• W••••••• P••• · Managing Partner & Chief Compliance Officercontrolsince 08/2021 · 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 |
|---|---|---|---|---|---|
| Saratoga Springs, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Feb 6, 2026financial planning (Item 5.G.1): no on the filing of 2025-10-20, yes on the filing of 2026-02-06peers: independent wealth managers, under $100M (704)
- client count surgeChange between filings · filing Feb 6, 2026individual and HNW clients (Item 5.D) moved from 169.0 to 353.0 (+109.0%) between the annual amendments of 2025-02-28 and 2026-02-06; the peer median change was 0.0% (120 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, under $100M (120) · 97% percentile
- HNW share shiftChange between filings · filing Feb 6, 2026HNW share of RAUM moved from 64.0% to 27.0% between the annual amendments of 2025-02-28 and 2026-02-06peers: independent wealth managers, under $100M (704)
What changed
consecutive filings, newest first
- Accounts · 328 to 353Oct 20, 2025 to Feb 6, 2026
- Advisory activities · 1 to 2Oct 20, 2025 to Feb 6, 2026
- HNW clients · 42 to 8Oct 20, 2025 to Feb 6, 2026
- Individual clients · 127 to 345Oct 20, 2025 to Feb 6, 2026
- Financial planning clients · to 1-10Oct 20, 2025 to Feb 6, 2026
- Discretionary RAUM · $64.4M to $72.4MOct 20, 2025 to Feb 6, 2026
- HNW RAUM · $41.0M to $19.9MOct 20, 2025 to Feb 6, 2026
- Individual RAUM · $23.4M to $52.5MOct 20, 2025 to Feb 6, 2026
- RAUM · $64.4M to $72.4MOct 20, 2025 to Feb 6, 2026
- Wrap assets (manager) · $64.4M to $72.4MOct 20, 2025 to Feb 6, 2026
- Financial planning clients · unset to Feb 28, 2025 to May 30, 2025
- Accounts · 309 to 328Mar 25, 2024 to Feb 28, 2025
- HNW clients · 39 to 42Mar 25, 2024 to Feb 28, 2025
- Individual clients · 118 to 127Mar 25, 2024 to Feb 28, 2025
- Other offices · 1 to 0Mar 25, 2024 to Feb 28, 2025
- Discretionary RAUM · $54.3M to $64.4MMar 25, 2024 to Feb 28, 2025
- HNW RAUM · $35.5M to $41.0MMar 25, 2024 to Feb 28, 2025
- Individual RAUM · $18.8M to $23.4MMar 25, 2024 to Feb 28, 2025
- RAUM · $54.3M to $64.4MMar 25, 2024 to Feb 28, 2025
- Related insurance company · false to trueMar 25, 2024 to Feb 28, 2025
- Wrap assets (manager) · $54.3M to $64.4MMar 25, 2024 to Feb 28, 2025
- Accounts · 239 to 309Dec 19, 2023 to Mar 25, 2024
- BD registered reps · 2 to 0Dec 19, 2023 to Mar 25, 2024
- HNW clients · 86 to 39Dec 19, 2023 to Mar 25, 2024
- Individual clients · 45 to 118Dec 19, 2023 to Mar 25, 2024
- Insurance-licensed employees · 2 to 0Dec 19, 2023 to Mar 25, 2024
- Discretionary RAUM · $40.8M to $54.3MDec 19, 2023 to Mar 25, 2024
- HNW RAUM · $34.3M to $35.5MDec 19, 2023 to Mar 25, 2024
- Individual RAUM · $6.5M to $18.8MDec 19, 2023 to Mar 25, 2024
- RAUM · $40.8M to $54.3MDec 19, 2023 to Mar 25, 2024
- Related broker-dealer · true to falseDec 19, 2023 to Mar 25, 2024
- Wrap assets (manager) · $0 to $54.3MDec 19, 2023 to Mar 25, 2024
- Advisory employees · 2 to 3Feb 15, 2023 to Jun 8, 2023
- Employees · 2 to 3Feb 15, 2023 to Jun 8, 2023
- State-registered IARs · 2 to 3Feb 15, 2023 to Jun 8, 2023
- Other offices · 0 to 1Feb 15, 2023 to Jun 8, 2023
- Related broker-dealer · false to trueFeb 14, 2023 to Feb 15, 2023
- Accounts · 226 to 239Dec 6, 2022 to Feb 14, 2023
- Business name · W•• W••••• A••••••• L•• to W•• W••••• A••••••• L••Dec 6, 2022 to Feb 14, 2023
- HNW clients · 81 to 86Dec 6, 2022 to Feb 14, 2023
Signals
1 dated events
- W•• W••••• A••••••• L•• filed its initial SEC registration (Form ADV)Sep 7, 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
- 212-625-1188reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 417-173-1920reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 518-339-2340reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- wpmwealthadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 518-369-5232reportedpublic record, Form ADV, Feb 6, 2026
- Contact form
- wpmwealthadvisors.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $24.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026