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.
SEC-registered adviser
Whitwell Advisors
Legal name Whitwell & Co, LLC
Latest filing Jul 6, 2026
First filing on the tape Aug 21, 2024 · 18 filings
SEC status approved since Nov 5, 2024
RAUM
$117M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$100M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$19.5M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$117M as of Jul 6, 2026
Jan 8, 2025$55.4M then
HNW client RAUM$52.0M as of Jul 6, 2026
Jan 8, 2025$34.5M then
State-registered IARs (5.B.3)6 as of Jul 6, 2026
Jan 8, 20253 then
Employees (5.A)9 as of Jul 6, 2026
Jan 8, 20257 then
Private funds: no history
RAUM +3.7% over the last fiscal yearIARs 5 to 6offices 6 to 5
Practice profile
derived from the filing of Jul 6, 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
- RAUM per advisor
- $19.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $927,764derivedHNW RAUM over HNW clients
- Average account
- $238,856derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$52.0M44%
- Individuals$48.2M41%
- Charitable organizations$9.2M7.9%
- Pension and profit-sharing plans$3.9M3.4%
- Corporations and businesses$3.4M2.9%
- Individual clients
- 256reported
- HNW clients
- 56reported
- Pension plan clients
- 6reported
- Charitable clients
- 2reported
- Accounts
- 489reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Rosemary Soto WrightCertified Financial Planner | Bee Cave, Tx | Jan 6, 2025 | 38 y | 5 |
| Stefan WhitwellChartered Financial Analyst | Bee Cave, Tx | Jan 6, 2025 | 29 y | 5 |
| Tracy Lee Dibble | Henderson, Nv | Sep 4, 2025 | 11 y | 0 |
| Paul Jay Reiferson | Bee Cave, Tx | Jan 1, 2026 | 29 y | 1 |
| Mary Susan Brockington Perry | Bee Cave, Tx | Jul 29, 2026 | 30 y | 4 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months1 left in 90 days1 joined in 90 daysdeparture rate 17% of current headcount1 left over 36 months
Left, latest
- Gavin Thomas Owen to Cambridge Investment Research Advisors, Inc.Jun 30, 2026 · RIA to affiliated broker-dealer or bank
Joined, latest
- Mary Susan Brockington Perry from Wells Fargo AdvisorsJul 29, 2026 · Wirehouse to independent RIA
- Paul Jay Reiferson from Compound Planning, Inc.Jan 1, 2026 · RIA to RIA
- Stefan Whitwell from Compound Planning, Inc.Jan 6, 2025 · RIA to RIA
- Rosemary Soto Wright from Compound Planning, Inc.Jan 6, 2025 · RIA to RIA
- Gavin Thomas Owen from Crg Wealth, LLCJan 2, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Andrew Jeffrey Smith · Chief Compliance Officercontrolsince 08/2024 · owns less than 5%
- Stefan Whitwell · Chief Executive Officercontrolsince 11/2020 · owns less than 5%
- Luzio Floriano Whitwell · Trustee Of 0123581321 Trustcontrolsince 08/2011 · owns F of 0123581321 Trust
- Stefan Whitwell · Indirect Ownercontrolsince 08/2011 · owns 75% or more of 0123581321 Trust
Entity owners
- 0123581321 Trust · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Compound Planning, Inc.investment adviseryRAUM $4.8B
- Capital Advisor Networkinvestment adviseryRAUM $124M
- Adaptive Investmentsinvestment adviseryRAUM $421M
- Elite Portfoliosinvestment adviseryRAUM $322,063
- Imprint Wealth LLCinvestment adviseryRAUM $132M
- New Way Advisers LLCinvestment advisery
- Thepartners Wealth Managementinvestment adviseryRAUM $1.2B
- Umb Private Wealth Management, LLCinvestment adviseryRAUM $125M
- Ux Wealth Partners LLCinvestment adviseryRAUM $1.9B
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bee Cave, Tx | 6 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Austrin, TX1 employees
- Bartonville, TX1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 460 to 489Jan 22, 2026 to Mar 23, 2026
- Corporate clients · 18 to 17Jan 22, 2026 to Mar 23, 2026
- HNW clients · 42 to 56Jan 22, 2026 to Mar 23, 2026
- Individual clients · 247 to 256Jan 22, 2026 to Mar 23, 2026
- Pension plan clients · 10 to 6Jan 22, 2026 to Mar 23, 2026
- Employees · 8 to 9Jan 22, 2026 to Mar 23, 2026
- State-registered IARs · 5 to 6Jan 22, 2026 to Mar 23, 2026
- Discretionary RAUM · $113M to $117MJan 22, 2026 to Mar 23, 2026
- HNW RAUM · $39.8M to $52.0MJan 22, 2026 to Mar 23, 2026
- Individual RAUM · $51.7M to $48.2MJan 22, 2026 to Mar 23, 2026
- Pension RAUM · $4.8M to $3.9MJan 22, 2026 to Mar 23, 2026
- RAUM · $113M to $117MJan 22, 2026 to Mar 23, 2026
- Other offices · 6 to 5Nov 11, 2025 to Jan 22, 2026
- Financial planning clients · 51-100 to 51-100Mar 25, 2025 to May 26, 2025
- Accounts · 184 to 460Jan 8, 2025 to Feb 28, 2025
- Advisory employees · 3 to 6Jan 8, 2025 to Feb 28, 2025
- Charity clients · unset to 2.0Jan 8, 2025 to Feb 28, 2025
- Corporate clients · 5 to 18Jan 8, 2025 to Feb 28, 2025
- HNW clients · 43 to 42Jan 8, 2025 to Feb 28, 2025
- Individual clients · 57 to 247Jan 8, 2025 to Feb 28, 2025
- Pension plan clients · 7 to 10Jan 8, 2025 to Feb 28, 2025
- Employees · 7 to 8Jan 8, 2025 to Feb 28, 2025
- Insurance-licensed employees · 0 to 1Jan 8, 2025 to Feb 28, 2025
- State-registered IARs · 3 to 5Jan 8, 2025 to Feb 28, 2025
- Other offices · 3 to 6Jan 8, 2025 to Feb 28, 2025
- Discretionary RAUM · $55.4M to $113MJan 8, 2025 to Feb 28, 2025
- HNW RAUM · $34.5M to $39.8MJan 8, 2025 to Feb 28, 2025
- Individual RAUM · $11.7M to $51.7MJan 8, 2025 to Feb 28, 2025
- Pension RAUM · $3.9M to $4.8MJan 8, 2025 to Feb 28, 2025
- RAUM · $55.4M to $113MJan 8, 2025 to Feb 28, 2025
- HQ city · unset to Dec 17, 2024 to Jan 8, 2025
- HQ state · unset to Dec 17, 2024 to Jan 8, 2025
- Advisory activities · 3 to 4Oct 29, 2024 to Nov 13, 2024
- Financial planning clients · 0 to 51-100Oct 29, 2024 to Nov 13, 2024
- Related adviser · false to trueOct 22, 2024 to Oct 29, 2024
Signals
2 dated events
- Gavin Thomas Owen left Whitwell Advisors for Cambridge Investment Research Advisors, Inc. (registered 2026-08-21)Jun 30, 2026 · Advisor changed firm · fact
- Whitwell Advisors filed its initial SEC registration (Form ADV)Aug 21, 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
- Business email
- info@whitwelladvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 512-766-7775reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/whitwell-advisorsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- whitwelladvisors.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 512-766-7775reportedpublic record, Form ADV, Jul 6, 2026
- Team page
- whitwelladvisors.com/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
- $19.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026