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•••••••• A••••••• L••
Latest filing Jul 7, 2026
First filing on the tape Mar 20, 2023 · 20 filings
SEC status approved since Apr 20, 2023
RAUM
$262M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
96%
$251M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$87.5M
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
20 filings and snapshots on the tape
RAUM$262M as of Jul 7, 2026
Feb 21, 2024$181M then
HNW client RAUM$177M as of Jul 7, 2026
Feb 21, 2024$113M then
State-registered IARs (5.B.3)3 as of Jul 7, 2026
Feb 21, 20241 then
Employees (5.A)5 as of Jul 7, 2026
Feb 21, 20246 then
Private funds: no history
RAUM +16% over the last fiscal yearIARs 1 to 3
Practice profile
derived from the filing of Jul 7, 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
- $87.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 95derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $275,133derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.9%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
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +200%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
- High-net-worth individuals$177M68%
- Individuals$73.5M28%
- Corporations and businesses$9.2M3.5%
- Pension and profit-sharing plans$2.4M0.9%
- Individual clients
- 218reported
- HNW clients
- 67reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 954reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| J•••• S••••• G•••••••• | Fort Myers, Fl | May 19, 2023 | 17 y | 2 |
| A••• R•••••• D•••••• | Fort Myers, Fl | Jun 8, 2023 | 14 y | 1 |
| P•••••• T••••• M•••••• | Fort Myers, Fl | Oct 10, 2024 | 11 y | 0 |
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
- A••• R•••••• D•••••• from L•• F•••••••• L••Jun 8, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• S••••• G•••••••• from J• W• C••• A•••••••• I•••May 19, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• J••••• S••••• · Presidentcontrolsince 01/2023 · owns 75% or more
- M••••• K••••• A•• · Chief Compliance Officersince 01/2024 · 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 |
|---|---|---|---|---|---|
| Fort Myers, Fl · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 901 to 954Jul 15, 2025 to Jan 22, 2026
- Corporate clients · 6 to 5Jul 15, 2025 to Jan 22, 2026
- HNW clients · 58 to 67Jul 15, 2025 to Jan 22, 2026
- Individual clients · 223 to 218Jul 15, 2025 to Jan 22, 2026
- Financial planning clients · 26-50 to 51-100Jul 15, 2025 to Jan 22, 2026
- Discretionary RAUM · $223M to $260MJul 15, 2025 to Jan 22, 2026
- HNW RAUM · $153M to $177MJul 15, 2025 to Jan 22, 2026
- Individual RAUM · $62.1M to $73.5MJul 15, 2025 to Jan 22, 2026
- Non-discretionary RAUM · $2.7M to $2.4MJul 15, 2025 to Jan 22, 2026
- Pension RAUM · $2.0M to $2.4MJul 15, 2025 to Jan 22, 2026
- RAUM · $226M to $262MJul 15, 2025 to Jan 22, 2026
- Employees · 6 to 5Apr 21, 2025 to Jul 15, 2025
- Financial planning clients · 26-50 to 26-50Apr 21, 2025 to Jul 15, 2025
- State-registered IARs · 1 to 3Apr 21, 2025 to Jul 15, 2025
- Accounts · 821 to 901Dec 12, 2024 to Feb 24, 2025
- HNW clients · 45 to 58Dec 12, 2024 to Feb 24, 2025
- Individual clients · 186 to 223Dec 12, 2024 to Feb 24, 2025
- Financial planning clients · 0 to 26-50Dec 12, 2024 to Feb 24, 2025
- Discretionary RAUM · $174M to $223MDec 12, 2024 to Feb 24, 2025
- HNW RAUM · $113M to $153MDec 12, 2024 to Feb 24, 2025
- Individual RAUM · $59.3M to $62.1MDec 12, 2024 to Feb 24, 2025
- Non-discretionary RAUM · $7.3M to $2.7MDec 12, 2024 to Feb 24, 2025
- Pension RAUM · $1.7M to $2.0MDec 12, 2024 to Feb 24, 2025
- RAUM · $181M to $226MDec 12, 2024 to Feb 24, 2025
- Advisory employees · 4 to 3Nov 18, 2024 to Dec 12, 2024
- Employees · 7 to 6Nov 18, 2024 to Dec 12, 2024
- State-registered IARs · 2 to 1Nov 18, 2024 to Dec 12, 2024
- Advisory employees · 3 to 4Jun 17, 2024 to Nov 18, 2024
- Employees · 6 to 7Jun 17, 2024 to Nov 18, 2024
- State-registered IARs · 1 to 2Jun 17, 2024 to Nov 18, 2024
- Accounts · 860 to 821Jan 26, 2024 to Feb 21, 2024
- Corporate clients · 0 to 6Jan 26, 2024 to Feb 21, 2024
- HNW clients · 20 to 45Jan 26, 2024 to Feb 21, 2024
- Individual clients · 260 to 186Jan 26, 2024 to Feb 21, 2024
- Pension plan clients · 0 to 1Jan 26, 2024 to Feb 21, 2024
- Discretionary RAUM · $170M to $174MJan 26, 2024 to Feb 21, 2024
- HNW RAUM · $75.0M to $113MJan 26, 2024 to Feb 21, 2024
- Individual RAUM · $95.0M to $59.3MJan 26, 2024 to Feb 21, 2024
- Non-discretionary RAUM · $0 to $7.3MJan 26, 2024 to Feb 21, 2024
- Pension RAUM · $0 to $1.7MJan 26, 2024 to Feb 21, 2024
Signals
1 dated events
- W••••••••• F•••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Mar 20, 2023 · 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
- 239-288-0977reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/waterstonefs?trk=public_profile_topcardreportedpublic record, Form ADV, Sep 19, 2026
- Website
- w•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 239-288-0977reportedpublic record, Form ADV, Jul 7, 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
- $87.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026