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•••• A•••••• G••••
Legal name W•••• A•••••• G•••• L••
Latest filing Mar 25, 2026
First filing on the tape Apr 17, 2023 · 9 filings
SEC status approved since May 17, 2023
RAUM
$128M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$113M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$42.6M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$128M as of Mar 25, 2026
Mar 25, 2024$118M then
HNW client RAUM$107M as of Mar 25, 2026
Mar 25, 2024$85.0M then
State-registered IARs (5.B.3)3 as of Mar 25, 2026
Mar 25, 20242 then
Employees (5.A)3 as of Mar 25, 2026
Mar 25, 20242 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Mar 25, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $42.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $824,455derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +128%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $127MreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$107M83%
- Charitable organizations$8.9M7.0%
- Individuals$5.9M4.6%
- Pension and profit-sharing plans$5.9M4.6%
- Corporations and businesses$412,8960.3%
- Individual clients
- 33reported
- HNW clients
- 97reported
- Pension plan clients
- 11reported
- Charitable clients
- 9reported
- Accounts
- 155reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• L••••Certified Financial Planner | Phoenix, Az | May 19, 2023 | 21 y | 2 |
| Z•••••• E••• L•••• | Phoenix, Az | May 19, 2023 | 13 y | 1 |
| D••••• L••••••• | Phoenix, Az | Nov 24, 2025 | 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
- L•••• L•••• from R•• C•••••• M••••••• L••May 19, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- Z•••••• E••• L•••• from R•• C•••••• M••••••• L••May 19, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•• C•••••• M••••••• L••May 25, 2023 · Phoenix, Az
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• L•••• · Ceocontrolsince 04/2023 · owns 75% or more
- L••••• Z••••••• E••• · Ccocontrolsince 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 |
|---|---|---|---|---|---|
| Phoenix, Az | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 25, 2026accounts (Item 5.F.2.f) moved from 255.0 to 155.0 (-39.0%) between the annual amendments of 2025-01-23 and 2026-03-25; the peer median change was +5.0% (3687 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 4.0% percentile
What changed
consecutive filings, newest first
- Accounts · 255 to 155Dec 15, 2025 to Mar 25, 2026
- Advisory employees · 2 to 3Dec 15, 2025 to Mar 25, 2026
- Charity clients · 4 to 9Dec 15, 2025 to Mar 25, 2026
- Corporate clients · 2 to 4Dec 15, 2025 to Mar 25, 2026
- HNW clients · 22 to 97Dec 15, 2025 to Mar 25, 2026
- Individual clients · 35 to 33Dec 15, 2025 to Mar 25, 2026
- Pension plan clients · 3 to 11Dec 15, 2025 to Mar 25, 2026
- Employees · 2 to 3Dec 15, 2025 to Mar 25, 2026
- State-registered IARs · 2 to 3Dec 15, 2025 to Mar 25, 2026
- Discretionary RAUM · $114M to $127MDec 15, 2025 to Mar 25, 2026
- HNW RAUM · $90.9M to $107MDec 15, 2025 to Mar 25, 2026
- Individual RAUM · $11.1M to $5.9MDec 15, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $551,791 to $605,109Dec 15, 2025 to Mar 25, 2026
- Pension RAUM · $3.8M to $5.9MDec 15, 2025 to Mar 25, 2026
- RAUM · $115M to $128MDec 15, 2025 to Mar 25, 2026
- Wrap assets (manager) · $114M to $0Dec 15, 2025 to Mar 25, 2026
- Financial planning clients · 101-250 to 101-250Jan 23, 2025 to Jul 7, 2025
- Accounts · 240 to 255Sep 10, 2024 to Jan 23, 2025
- Charity clients · unset to 4.0Sep 10, 2024 to Jan 23, 2025
- Corporate clients · 5 to 2Sep 10, 2024 to Jan 23, 2025
- HNW clients · 13 to 22Sep 10, 2024 to Jan 23, 2025
- Individual clients · 31 to 35Sep 10, 2024 to Jan 23, 2025
- Pension plan clients · 7 to 3Sep 10, 2024 to Jan 23, 2025
- Financial planning clients · 51-100 to 101-250Sep 10, 2024 to Jan 23, 2025
- HQ city · unset to Sep 10, 2024 to Jan 23, 2025
- HQ state · unset to Sep 10, 2024 to Jan 23, 2025
- Discretionary RAUM · $109M to $114MSep 10, 2024 to Jan 23, 2025
- HNW RAUM · $85.0M to $90.9MSep 10, 2024 to Jan 23, 2025
- Individual RAUM · $9.9M to $11.1MSep 10, 2024 to Jan 23, 2025
- Non-discretionary RAUM · $9.0M to $551,791Sep 10, 2024 to Jan 23, 2025
- Pension RAUM · $9.2M to $3.8MSep 10, 2024 to Jan 23, 2025
- RAUM · $118M to $115MSep 10, 2024 to Jan 23, 2025
- Wrap assets (manager) · $109M to $114MSep 10, 2024 to Jan 23, 2025
- Accounts · 225 to 240Sep 1, 2023 to Mar 25, 2024
- Charity clients · 2.0 to unsetSep 1, 2023 to Mar 25, 2024
- Corporate clients · 1 to 5Sep 1, 2023 to Mar 25, 2024
- Individual clients · 28 to 31Sep 1, 2023 to Mar 25, 2024
- Pension plan clients · 2 to 7Sep 1, 2023 to Mar 25, 2024
- Pooled vehicle clients · 0.0 to unsetSep 1, 2023 to Mar 25, 2024
- Insurance-licensed employees · 2 to 0Sep 1, 2023 to Mar 25, 2024
Signals
3 dated events
- E••• Z•••••• L•••• (Cco) appeared on Schedule A of W•••• A•••••• G••••Mar 25, 2024 · Control person joined · fact
- 2 advisors left R•• C•••••• M••••••• L•• (Phoenix, AZ) for W•••• A•••••• G•••• on the same dayMay 25, 2023 · Team lift-out · derived
- W•••• A•••••• G•••• filed its initial SEC registration (Form ADV)Apr 17, 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 email
- info@wiser-advisor.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 480-309-1376reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 480-231-6660reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 480-500-9055reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/wiser-advisor-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- Wiser-Advisor.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 480-500-9055reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- wiser-advisor.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- wiser-advisor.com/meet-the-teamreportedpublished 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
- $42.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026