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••••• M••••••••• C••••
Latest filing Mar 23, 2026
First filing on the tape Jul 17, 2024 · 8 filings
SEC status approved since Aug 16, 2024
RAUM
$149M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
89%
$133M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$49.6M
derived; firm RAUM over IAPD count
Employees
5
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$149M as of Mar 23, 2026
Mar 5, 2025$101M then
HNW client RAUM$66.3M as of Mar 23, 2026
Mar 5, 2025$42.3M then
State-registered IARs (5.B.3)3 as of Mar 23, 2026
Mar 5, 20252 then
Employees (5.A)5 as of Mar 23, 2026
Mar 5, 20252 then
Private funds: no history
RAUM +42% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $49.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $174,924derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 9.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +42%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $23.3M, 133 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
- Individuals$66.4M45%
- High-net-worth individuals$66.3M45%
- Pension and profit-sharing plans$13.1M8.8%
- Corporations and businesses$2.1M1.4%
- Charitable organizations$737,9300.5%
- Individual clients
- 210reported
- HNW clients
- 36reported
- Pension plan clients
- 10reported
- Charitable clients
- 5reported
- Accounts
- 850reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $23.3M for 133 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.09 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 |
|---|---|---|---|---|
| K••• S•••• W•••••Certified Financial Planner | Conyngham, Pa | Sep 12, 2023 | 13 y | 2 |
| A•••• S•••• W••••• | Conyngham, Pa | Sep 12, 2023 | 33 y | 2 |
| J••••• C•••• W••••• | Conyngham, Pa | Jan 4, 2026 | 12 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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••••• C•••• W••••• from K••••• W•••••• L••Jan 4, 2026 · RIA to RIA
- K••• S•••• W••••• from W•••• F•••• A•••••••Sep 12, 2023 · Wirehouse to independent RIA
- A•••• S•••• W••••• from W•••• F•••• A•••••••Sep 12, 2023 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••• F•••• A•••••••Oct 19, 2023 · Sugarloaf, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••• A••••• S•••• · Presidentcontrolsince 02/2010 · owns 75% or more
- W•••••• K•••• S•••• · Chief Compliance Officersince 07/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Conyngham, Pa · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 23, 2026RAUM (Item 5.F) moved from $104,668,634 to $148,685,773 (+42.0%) between the annual amendments of 2025-03-06 and 2026-03-23; the peer median change was +15.0% (4550 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 94% percentile
- business activity changedChange between filings · filing Mar 23, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2025-12-01, no on the filing of 2026-03-23peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 727 to 850Dec 1, 2025 to Mar 23, 2026
- Advisory employees · 2 to 3Dec 1, 2025 to Mar 23, 2026
- Advisory activities · 4 to 3Dec 1, 2025 to Mar 23, 2026
- Charity clients · unset to 5.0Dec 1, 2025 to Mar 23, 2026
- HNW clients · 25 to 36Dec 1, 2025 to Mar 23, 2026
- Individual clients · 188 to 210Dec 1, 2025 to Mar 23, 2026
- Pension plan clients · unset to 10.0Dec 1, 2025 to Mar 23, 2026
- Assets in custody · $17.6M to $23.3MDec 1, 2025 to Mar 23, 2026
- Employees · 2 to 5Dec 1, 2025 to Mar 23, 2026
- Financial planning clients · 101-250 to 251-500Dec 1, 2025 to Mar 23, 2026
- State-registered IARs · 2 to 3Dec 1, 2025 to Mar 23, 2026
- Discretionary RAUM · $105M to $136MDec 1, 2025 to Mar 23, 2026
- HNW RAUM · $46.3M to $66.3MDec 1, 2025 to Mar 23, 2026
- Individual RAUM · $57.8M to $66.4MDec 1, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $0 to $13.1MDec 1, 2025 to Mar 23, 2026
- Pension RAUM · unset to 13145227.0Dec 1, 2025 to Mar 23, 2026
- RAUM · $105M to $149MDec 1, 2025 to Mar 23, 2026
- Accounts · 647 to 727Mar 5, 2025 to Mar 6, 2025
- Advisory activities · 3 to 4Mar 5, 2025 to Mar 6, 2025
- Charity clients · 3.0 to unsetMar 5, 2025 to Mar 6, 2025
- Individual clients · 171 to 188Mar 5, 2025 to Mar 6, 2025
- Pension plan clients · 9.0 to unsetMar 5, 2025 to Mar 6, 2025
- Assets in custody · unset to 17634407.0Mar 5, 2025 to Mar 6, 2025
- Custody of client assets · false to trueMar 5, 2025 to Mar 6, 2025
- Financial planning clients · 101-250 to 101-250Mar 5, 2025 to Mar 6, 2025
- Discretionary RAUM · $90.2M to $105MMar 5, 2025 to Mar 6, 2025
- HNW RAUM · $42.3M to $46.3MMar 5, 2025 to Mar 6, 2025
- Individual RAUM · $47.4M to $57.8MMar 5, 2025 to Mar 6, 2025
- Non-discretionary RAUM · $10.6M to $0Mar 5, 2025 to Mar 6, 2025
- Pension RAUM · 10623525.0 to unsetMar 5, 2025 to Mar 6, 2025
- RAUM · $101M to $105MMar 5, 2025 to Mar 6, 2025
- HQ city · SUGARLOAF to CONYNGHAMAug 22, 2024 to Mar 5, 2025
Signals
2 dated events
- W••••• W••••• M••••••••• C•••• filed its initial SEC registration (Form ADV)Jul 17, 2024 · First SEC registration · fact
- 2 advisors left W•••• F•••• A••••••• (Sugarloaf, PA) for W••••• W••••• M••••••••• C•••• on the same dayOct 19, 2023 · Team lift-out · derived
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
- 570-987-6244reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 570-987-6244reportedpublic record, Form ADV, Mar 23, 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
- $49.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026