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
L•••••• W••••• M•••••••
Legal name L•••••• W••••• M••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jul 5, 2022 · 14 filings
SEC status approved since Dec 9, 2022
RAUM
$59.9M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$59.9M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$59.9M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$59.9M as of Mar 31, 2026
Mar 24, 2023$69.6M then
HNW client RAUM$28.5M as of Mar 31, 2026
Mar 24, 2023$48.9M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 24, 20231 then
Employees (5.A)2 as of Mar 31, 2026
Mar 24, 20232 then
Private funds: no history
RAUM -1.6% over the last fiscal year-4.9% 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $59.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 114derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $490,710derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.3%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$31.3M52%
- High-net-worth individuals$28.5M48%
- Individual clients
- 90reported
- HNW clients
- 24reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 122reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W••••• J•••• S•••• | Somerset | Mar 15, 2023 | 16 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
- W••••• J•••• S•••• from W••••••••• A•••••••• L••Mar 15, 2023 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V••••••••• L••••• C••••••••• · Ceo, Expat Client Director, And Chief Compliance Officercontrolsince 05/2022 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Somerset, United Kingdom1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 31, 2026discretionary share of RAUM of 0% against a peer median of 100% (310 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, under $100M (310) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 133 to 122Mar 31, 2025 to Mar 31, 2026
- HNW clients · 14 to 24Mar 31, 2025 to Mar 31, 2026
- Individual clients · 109 to 90Mar 31, 2025 to Mar 31, 2026
- HNW RAUM · $24.2M to $28.5MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $36.6M to $31.3MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $60.8M to $59.9MMar 31, 2025 to Mar 31, 2026
- RAUM · $60.8M to $59.9MMar 31, 2025 to Mar 31, 2026
- Accounts · 130 to 133Mar 29, 2024 to Mar 31, 2025
- HNW clients · 25 to 14Mar 29, 2024 to Mar 31, 2025
- Individual clients · 97 to 109Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- HNW RAUM · $32.3M to $24.2MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $26.0M to $36.6MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $58.3M to $60.8MMar 29, 2024 to Mar 31, 2025
- RAUM · $58.3M to $60.8MMar 29, 2024 to Mar 31, 2025
- Accounts · 171 to 130Dec 8, 2023 to Mar 29, 2024
- HNW clients · 52 to 25Dec 8, 2023 to Mar 29, 2024
- Individual clients · 119 to 97Dec 8, 2023 to Mar 29, 2024
- HNW RAUM · $48.9M to $32.3MDec 8, 2023 to Mar 29, 2024
- Individual RAUM · $20.7M to $26.0MDec 8, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $69.6M to $58.3MDec 8, 2023 to Mar 29, 2024
- RAUM · $69.6M to $58.3MDec 8, 2023 to Mar 29, 2024
- HQ city · PRINCETON to NEW YORKMay 23, 2023 to Dec 8, 2023
- HQ state · NJ to NYMay 23, 2023 to Dec 8, 2023
- Advisory employees · 2 to 1Dec 6, 2022 to Mar 24, 2023
- Accounts · unset to 171.0Aug 10, 2022 to Dec 5, 2022
- HNW clients · unset to 52.0Aug 10, 2022 to Dec 5, 2022
- Individual clients · unset to 119.0Aug 10, 2022 to Dec 5, 2022
- State-registered IARs · 2 to 1Aug 10, 2022 to Dec 5, 2022
- Discretionary RAUM · unset to 0.0Aug 10, 2022 to Dec 5, 2022
- HNW RAUM · unset to 48885960.0Aug 10, 2022 to Dec 5, 2022
- Individual RAUM · unset to 20723215.0Aug 10, 2022 to Dec 5, 2022
- Non-discretionary RAUM · unset to 69609175.0Aug 10, 2022 to Dec 5, 2022
- RAUM · unset to 69609175.0Aug 10, 2022 to Dec 5, 2022
Signals
1 dated events
- L•••••• W••••• M••••••• filed its initial SEC registration (Form ADV)Jul 5, 2022 · 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
- 267-864-8259reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- l•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 267-864-8259reportedpublic 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $59.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026