DFX Intelligence
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Former SEC-registered adviser
W••••••••• P•••••• W••••• M••••••••• L••
Latest filing Jul 11, 2024
First filing on the tape Feb 13, 2024 · 14 filings
RAUM
$19.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$19.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$19.5M
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
14 filings and snapshots on the tape
RAUM$19.5M as of Jul 11, 2024
Feb 15, 2024$0 then
HNW client RAUM$18.7M as of Jul 11, 2024
Feb 13, 2024$0 then
State-registered IARs (5.B.3)1 as of Jul 11, 2024
Feb 13, 20240 then
Employees (5.A)1 as of Jul 11, 2024
Feb 13, 20241 then
Private funds: no history
Practice profile
derived from the filing of Jul 11, 2024; every figure names its basis
- RAUM per advisor
- $19.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $749,729derivedHNW RAUM over HNW clients
- Average account
- $229,696derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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 assets, hourly, fixed fees, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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$18.7M96%
- Individuals$780,9674.0%
- Individual clients
- 8reported
- HNW clients
- 25reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 85reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Z•••••• G••••••Certified Financial Planner | Scottsdale, Az | Mar 28, 2024 | 10 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
- Z•••••• G•••••• from M••••• S••••••Mar 28, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• Z•••••• · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- G••••••• Z•••••• · Ownercontrolsince 01/2024 · owns 75% or more of W••••••••• H••••••• L••
Entity owners
- W••••••••• H••••••• L•• · Holding Companydirect · 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
- State-registered IARs · 0 to 1Jun 21, 2024 to Jul 10, 2024
- Accounts · 0 to 85May 30, 2024 to Jun 21, 2024
- HNW clients · unset to 25.0May 30, 2024 to Jun 21, 2024
- Individual clients · unset to 8.0May 30, 2024 to Jun 21, 2024
- Discretionary RAUM · $0 to $19.5MMay 30, 2024 to Jun 21, 2024
- HNW RAUM · $0 to $18.7MMay 30, 2024 to Jun 21, 2024
- Individual RAUM · $0 to $780,967May 30, 2024 to Jun 21, 2024
- RAUM · $0 to $19.5MMay 30, 2024 to Jun 21, 2024
- Advisory activities · 3 to 4Apr 26, 2024 to May 30, 2024
- HQ city · unset to SCOTTSDALEApr 26, 2024 to May 30, 2024
- HQ state · unset to AZApr 26, 2024 to May 30, 2024
- Accounts · unset to 0.0Feb 13, 2024 to Feb 15, 2024
- Financial planning clients · unset to 0Feb 13, 2024 to Feb 15, 2024
- Discretionary RAUM · unset to 0.0Feb 13, 2024 to Feb 15, 2024
- Non-discretionary RAUM · unset to 0.0Feb 13, 2024 to Feb 15, 2024
- RAUM · unset to 0.0Feb 13, 2024 to Feb 15, 2024
Signals
3 dated events
- ••• LockedMar 15, 2024 · Control person left · inference
- ••• LockedMar 1, 2024 · Control person joined · fact
- ••• LockedFeb 13, 2024 · 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
- W•••••••••PWM.COMreportedpublic record, Form ADV, Apr 1, 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
- $19.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026