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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Former SEC-registered adviser

W••• P••• 4• L••

Former SEC-registered adviserNew York, New YorkCRD 326789SEC 801-128095IAPD
Latest filing Sep 15, 2023
First filing on the tape May 2, 2023 · 9 filings
RAUM
$13.8M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
94%
$13.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$13.8M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$13.8M as of Sep 15, 2023
May 2, 2023$0 then
HNW client RAUM: $12.0M
State-registered IARs (5.B.3)1 as of Sep 15, 2023
May 2, 20231 then
Employees (5.A)1 as of Sep 15, 2023
May 2, 20231 then
Private funds: no history
Practice profile
derived from the filing of Sep 15, 2023; every figure names its basis
RAUM per advisor
$13.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
40derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$998,000derivedHNW RAUM over HNW clients
Average account
$211,938derivedRAUM 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
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 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
  • High-net-worth individuals$12.0M87%
  • Individuals$1.0M7.3%
  • Corporations and businesses$800,0005.8%
Individual clients
28reported
HNW clients
12reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
65reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K•••• P•••••••••W••• Palm Beach, FlJun 6, 202314 y2
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • P••••••••• K•••• · Managing Member & Chief Compliance Officercontrol
      since 04/2023 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 0 to 65
      Sep 14, 2023 to Sep 15, 2023
    • Corporate clients · unset to 2.0
      Sep 14, 2023 to Sep 15, 2023
    • HNW clients · unset to 12.0
      Sep 14, 2023 to Sep 15, 2023
    • Individual clients · unset to 28.0
      Sep 14, 2023 to Sep 15, 2023
    • HNW RAUM · unset to 11976000.0
      Sep 14, 2023 to Sep 15, 2023
    • Individual RAUM · unset to 1000000.0
      Sep 14, 2023 to Sep 15, 2023
    • Non-discretionary RAUM · $0 to $13.8M
      Sep 14, 2023 to Sep 15, 2023
    • RAUM · $0 to $13.8M
      Sep 14, 2023 to Sep 15, 2023
    • HQ city · unset to NEW YORK
      Jun 30, 2023 to Jul 11, 2023
    • HQ state · unset to NY
      Jun 30, 2023 to Jul 11, 2023
    • Business name · W••• P••• 4•• L•• to W••• P••• 4• L••
      May 4, 2023 to Jun 8, 2023
    • Legal name · W••• P••• 4•• L•• to W••• P••• 4• L••
      May 4, 2023 to Jun 8, 2023
    • HQ city · NEW YORK to unset
      May 2, 2023 to May 4, 2023
    • HQ state · NY to unset
      May 2, 2023 to May 4, 2023
    Signals
    1 dated events
    • W••• P••• 4•• L•• filed its initial SEC registration (Form ADV)
      May 2, 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
    Website
    wpine43.comreportedpublic record, Form ADV, Sep 18, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $13.8Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026