DFX Intelligence
RIA Intelligence
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SEC-registered adviser
W••••••• A•••• M•••••••••
Legal name W••••••• • A••••••••• I•••
Latest filing May 27, 2026
First filing on the tape Jan 30, 2026 · 3 filings
SEC status approved since Jan 8, 2026
RAUM
$661M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$661M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$110M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$661M as of May 27, 2026
Jan 30, 2026$0 then
HNW client RAUM: $661M
State-registered IARs (5.B.3)6 as of May 27, 2026
Jan 30, 20266 then
Employees (5.A)9 as of May 27, 2026
Jan 30, 20269 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $411,112derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- yesreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- 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
- High-net-worth individuals$661M100%
- Individual clients
- n/areported
- HNW clients
- 433reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,608reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••• T••••• W•••••Certified Financial Planner, Chartered Financial Analyst | Columbia, Md | Jan 30, 2026 | 13 y | 2 |
| K•••••• N••••• G••••• | Columbia, Md | Jan 30, 2026 | 14 y | 1 |
| B•••• S•••• M•••••••Certified Financial Planner | Columbia, Md | Jan 30, 2026 | 10 y | 1 |
| D••••• S•••• M•••••Certified Financial Planner | Columbia, Md | Jan 30, 2026 | 12 y | 1 |
| G•••• P••• W•••••Certified Financial Planner | Columbia, Md | Jan 30, 2026 | 10 y | 1 |
| G••• S••••• W•••••••Certified Financial Planner | Columbia, Md | Jan 30, 2026 | 32 y | 2 |
Advisor movement
0 left, 6 joined in 12 months
net +6 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
- G••• S••••• W••••••• from C••••••••• F•••••••• N••••••Jan 30, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- G••••• T••••• W••••• from C••••••••• F•••••••• N••••••Jan 30, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- K•••••• N••••• G••••• from C••••••••• F•••••••• N••••••Jan 30, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- G•••• P••• W••••• from C••••••••• F•••••••• N••••••Jan 30, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- B•••• S•••• M••••••• from C••••••••• F•••••••• N••••••Jan 30, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- D••••• S•••• M••••• from C••••••••• F•••••••• N••••••Jan 30, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 6 joined from C••••••••• F•••••••• N••••••Jan 30, 2026 · Columbia, Md
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••••• G•••• S••••• · Managing Member, Ceo, President, Chief Compliance Officercontrolsince 06/2002 · 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 |
|---|---|---|---|---|---|
| Columbia, Md · principal | 6 | 6 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 1,608Mar 23, 2026 to May 27, 2026
- HNW clients · unset to 433.0Mar 23, 2026 to May 27, 2026
- Discretionary RAUM · $0 to $654MMar 23, 2026 to May 27, 2026
- HNW RAUM · unset to 661067873.0Mar 23, 2026 to May 27, 2026
- Non-discretionary RAUM · $0 to $6.7MMar 23, 2026 to May 27, 2026
- RAUM · $0 to $661MMar 23, 2026 to May 27, 2026
Signals
1 dated events
- 6 advisors left C••••••••• F•••••••• N•••••• (Columbia, MD) for W••••••• A•••• M••••••••• on the same dayJan 30, 2026 · Team lift-out · derived
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•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 410-740-0220reportedpublic record, Form ADV, May 27, 2026
- Contact form
- w•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- w•••••••••.comreportedpublished 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
- $110Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026