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••••• W•••••
Legal name W••••• G•••• L••
Latest filing Sep 15, 2026
First filing on the tape Apr 24, 2025 · 10 filings
SEC status approved since Apr 1, 2025
RAUM
$458M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$443M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$45.8M
derived; firm RAUM over IAPD count
Employees
20
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$458M as of Jul 8, 2026
Apr 24, 2025$0 then
HNW client RAUM$346M as of Jul 8, 2026
Aug 4, 2025$237M then
State-registered IARs (5.B.3)7 as of Jul 8, 2026
Apr 24, 20255 then
Employees (5.A)20 as of Jul 8, 2026
Apr 24, 202517 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 5 to 7offices 1 to 2
Practice profile
derived from the filing of Sep 15, 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
- $45.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $344,215derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$346M76%
- Individuals$97.1M21%
- Pension and profit-sharing plans$10.9M2.4%
- Corporations and businesses$3.2M0.7%
- Charitable organizations$995,5050.2%
- Individual clients
- 409reported
- HNW clients
- 330reported
- Pension plan clients
- 13reported
- Charitable clients
- n/areported
- Accounts
- 1,332reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=7.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• R••••• S••••••• | Madison, Ct | May 1, 2019 | 30 y | 6 |
| B•••• L••• P•••Certified Financial Planner, Chartered Financial Consultant | Madison, Ct | Apr 3, 2025 | 31 y | 2 |
| J•••• A••• W•••••Certified Financial Planner | Madison, Ct | Apr 3, 2025 | 26 y | 1 |
| R•••••• C••••• | Madison, Ct | Apr 3, 2025 | 10 y | 0 |
| R•••• M• W••••••Certified Financial Planner | Madison, Ct | Apr 3, 2025 | 26 y | 0 |
| B•••• P•••••• B••• | Madison, Ct | Apr 3, 2025 | 26 y | 0 |
| J••• A••••• K••••• | Madison, Ct | Apr 11, 2025 | 37 y | 3 |
| D••••• J••• G••••• | Shelton, Ct | Apr 21, 2026 | 15 y | 2 |
| S•••• J•••• L••••• | Madison, Ct | Jun 30, 2026 | 10 y | 0 |
| N•••• N•••• | Madison, Ct | Jul 23, 2026 | 24 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- N•••• N•••• from C••••• I••••••••• A••••••• L••Jul 23, 2026 · Affiliated broker-dealer or bank to independent RIA
- D••••• J••• G••••• from C•••••• G•••• • C• I••Apr 21, 2026 · Affiliated broker-dealer or bank to independent RIA
- J••• A••••• K••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Apr 11, 2025 · Other
- B•••• L••• P••• from S••Apr 3, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• A••• W••••• from N•••••••• W••••• P••••••• L••Apr 3, 2025 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• L•••• M•••• · Chief Compliance Officercontrolsince 07/2026 · owns less than 5%
- W•••••• J••••• A••• · Ownercontrolsince 02/2025 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Madison, Ct · principal | 10 | 4 | 0 | ||
| Shelton, Ct | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 251-500 to 251-500Jul 8, 2026 to Sep 8, 2026
- Succession · false to unsetJul 8, 2026 to Sep 8, 2026
- Accounts · 1,111 to 1,332Dec 1, 2025 to Mar 4, 2026
- Advisory employees · 5 to 7Dec 1, 2025 to Mar 4, 2026
- BD registered reps · 5 to 7Dec 1, 2025 to Mar 4, 2026
- Corporate clients · unset to 6.0Dec 1, 2025 to Mar 4, 2026
- HNW clients · 120 to 330Dec 1, 2025 to Mar 4, 2026
- Individual clients · 331 to 409Dec 1, 2025 to Mar 4, 2026
- Pension plan clients · unset to 13.0Dec 1, 2025 to Mar 4, 2026
- Employees · 17 to 20Dec 1, 2025 to Mar 4, 2026
- Financial planning clients · 0 to 251-500Dec 1, 2025 to Mar 4, 2026
- State-registered IARs · 5 to 7Dec 1, 2025 to Mar 4, 2026
- Discretionary RAUM · $363M to $458MDec 1, 2025 to Mar 4, 2026
- HNW RAUM · $237M to $346MDec 1, 2025 to Mar 4, 2026
- Individual RAUM · $116M to $97.1MDec 1, 2025 to Mar 4, 2026
- Pension RAUM · $8.9M to $10.9MDec 1, 2025 to Mar 4, 2026
- RAUM · $363M to $458MDec 1, 2025 to Mar 4, 2026
- Financial planning clients · 0 to 0Aug 4, 2025 to Nov 19, 2025
- Other offices · 1 to 2Aug 4, 2025 to Nov 19, 2025
- Accounts · 0 to 1,111Jun 6, 2025 to Aug 4, 2025
- HNW clients · unset to 120.0Jun 6, 2025 to Aug 4, 2025
- Individual clients · unset to 331.0Jun 6, 2025 to Aug 4, 2025
- Discretionary RAUM · $0 to $363MJun 6, 2025 to Aug 4, 2025
- HNW RAUM · unset to 237345506.0Jun 6, 2025 to Aug 4, 2025
- Individual RAUM · unset to 115899440.0Jun 6, 2025 to Aug 4, 2025
- Pension RAUM · unset to 8851498.0Jun 6, 2025 to Aug 4, 2025
- RAUM · $0 to $363MJun 6, 2025 to Aug 4, 2025
Signals
No event on the tape.
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
- sharon.see@warnerwm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- john.kulhawik@warnerwm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jordan.wentworth@warnerwm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- kdsullivan@warnerwm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- lisen.barter@warnerwm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- ryan.duques@warnerwm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- shannon.cushing@warnerwm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- alex.haghshenas@warnerwm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- angela.d.king@warnerwm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- carley.schmidt@warnerwm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- catherine.sherburne@warnerwm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- danielle.berlepsch@warnerwm.comreportedpublished by the firm, firm site, Sep 15, 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
- $45.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026