DFX Intelligence
RIA Intelligence
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SEC-registered adviser
W••••
Legal name B•••• W••••• I•••
Latest filing Aug 14, 2026
First filing on the tape Apr 23, 2024 · 16 filings
SEC status approved since May 24, 2024
RAUM
$2.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$2.5M as of Aug 14, 2026
Jan 31, 2025$229,407 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Aug 14, 2026
Jan 31, 20250 then
Employees (5.A)7 as of Aug 14, 2026
Jan 31, 20251 then
Private funds: no history
RAUM +903% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Aug 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $2.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 3,006derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $842derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +903%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1196%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $252,934, 232 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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$2.5M100%
- Individual clients
- 3,006reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3,006reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $252,934 for 232 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••••• A•••••• J•••• · Owner/Ceo/Ccocontrolsince 07/2023 · owns 25% to 50%
- B•••••••• S••••••• F•••• · Partnercontrolsince 02/2024 · owns 50% to 75% of 2••• V••••••• L••
- B••••••••• R••• · Partnercontrolsince 02/2024 · owns 25% to 50% of 2••• V••••••• L••
- C•••••••• M••• · Partnercontrolsince 02/2024 · owns F of 2••• V••••••• L••
- C•••••••• M••• · Managing Membercontrolsince 02/2024 · owns F of V•••• C•••••• L•• • S••••• C•
- K••••• C••••••••• · Partnercontrolsince 02/2024 · owns 25% to 50% of S••••••••• P•••••••• L••
- P•••• A••• · Partnercontrolsince 02/2024 · owns 25% to 50% of S••••••••• P•••••••• L••
Entity owners
- S••••••••• P•••••••• L•• · Shareholder (Preferred And Common Stock)direct · owns 25% to 50%
- ••••• Q• F• · Shareholder (Preferred And Common Stock)direct · owns 5% to 10%
- 2••• V••••••• L•• · Shareholder (Preferred And Common Stock)direct · owns 10% to 25%
- S••••••••• V•••••• F•••• L• · Shareholder (Preferred And Common Stock)direct · owns 25% to 50%
- V•••• C•••••• L•• • S••••• C• · Shareholder (Preferred And Common Stock)direct · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 30, 2026accounts (Item 5.F.2.f) moved from 232.0 to 3,006.0 (+1196.0%) between the annual amendments of 2025-02-27 and 2026-03-30; the peer median change was +2.0% (135 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, under $100M (135) · 100% percentile
- client count surgeChange between filings · filing Mar 30, 2026individual and HNW clients (Item 5.D) moved from 232.0 to 3,006.0 (+1196.0%) between the annual amendments of 2025-02-27 and 2026-03-30; the peer median change was 0.0% (119 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, under $100M (119) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 232 to 3,006Feb 11, 2026 to Mar 30, 2026
- Advisory employees · 3 to 2Feb 11, 2026 to Mar 30, 2026
- Individual clients · 232 to 3,006Feb 11, 2026 to Mar 30, 2026
- Employees · 6 to 7Feb 11, 2026 to Mar 30, 2026
- Discretionary RAUM · $252,394 to $2.5MFeb 11, 2026 to Mar 30, 2026
- Individual RAUM · $252,394 to $2.5MFeb 11, 2026 to Mar 30, 2026
- RAUM · $252,394 to $2.5MFeb 11, 2026 to Mar 30, 2026
- Financial planning clients · 0 to 0May 14, 2025 to Jul 2, 2025
- Accounts · 207 to 232Jan 31, 2025 to Feb 27, 2025
- Advisory employees · 1 to 3Jan 31, 2025 to Feb 27, 2025
- Individual clients · 207 to 232Jan 31, 2025 to Feb 27, 2025
- Assets in custody · $0 to $252,934Jan 31, 2025 to Feb 27, 2025
- Employees · 1 to 6Jan 31, 2025 to Feb 27, 2025
- State-registered IARs · 0 to 1Jan 31, 2025 to Feb 27, 2025
- Discretionary RAUM · $229,407 to $252,394Jan 31, 2025 to Feb 27, 2025
- Individual RAUM · $229,407 to $252,394Jan 31, 2025 to Feb 27, 2025
- RAUM · $229,407 to $252,394Jan 31, 2025 to Feb 27, 2025
- Accounts · unset to 207.0Jul 3, 2024 to Sep 16, 2024
- Individual clients · 0 to 207Jul 3, 2024 to Sep 16, 2024
- Discretionary RAUM · unset to 229407.0Jul 3, 2024 to Sep 16, 2024
- Individual RAUM · unset to 229407.0Jul 3, 2024 to Sep 16, 2024
- Non-discretionary RAUM · unset to 0.0Jul 3, 2024 to Sep 16, 2024
- RAUM · unset to 229407.0Jul 3, 2024 to Sep 16, 2024
- Advisory employees · 0 to 1Apr 24, 2024 to May 15, 2024
Signals
1 dated events
- Whale filed its initial SEC registration (Form ADV)Apr 23, 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
- g•••••••.coreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 8884887104reportedpublic record, Form ADV, Aug 14, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026