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••••• I••••••••• N••••••••• L••
Latest filing Sep 15, 2026
First filing on the tape Mar 9, 2026 · 4 filings
SEC status 120-day approval since Mar 31, 2026
RAUM
$533M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$515M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$76.1M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$533M as of Jul 20, 2026
Mar 9, 2026$0 then
HNW client RAUM: $291M
State-registered IARs (5.B.3)7 as of Jul 20, 2026
Mar 9, 20262 then
Employees (5.A)7 as of Jul 20, 2026
Mar 9, 20267 then
Private funds: no history
RAUM n/a over the last fiscal year
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
- 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
- $76.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $343,376derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 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 feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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$291M55%
- Individuals$224M42%
- Corporations and businesses$12.8M2.4%
- Pension and profit-sharing plans$5.3M1.0%
- Individual clients
- 173reported
- HNW clients
- 225reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,552reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• F••••• W••••••Certified Financial Planner | Greer, Sc | Mar 31, 2026 | 13 y | 3 |
| S••••• W•••• T••••••• | Greer, Sc | Mar 31, 2026 | 11 y | 2 |
| R••••• F•••••• | Greer, Sc | Jul 2, 2026 | 11 y | 1 |
| T•••••• F•• | Greer, Sc | Jul 2, 2026 | 10 y | 0 |
| A••• S••••• | Greer, Sc | Jul 2, 2026 | 10 y | 0 |
| A•••••• R•••••• M•••••• | Greer, Sc | Jul 2, 2026 | 26 y | 4 |
| J••••• G•••••• | Greer, Sc | Jul 16, 2026 | 16 y | 0 |
Advisor movement
0 left, 4 joined in 12 months
net +4 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- A•••••• R•••••• M•••••• from T•• F•••••••• A•••••••Jul 2, 2026 · RIA to a newly registered adviser
- R••••• F•••••• from T•• F•••••••• A•••••••Jul 2, 2026 · RIA to a newly registered adviser
- S••••• W•••• T••••••• from T•• F•••••••• A•••••••Mar 31, 2026 · RIA to a newly registered adviser
- A••• F••••• W•••••• from T•• F•••••••• A•••••••Mar 31, 2026 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from T•• F•••••••• A•••••••Jul 1, 2026 · Greenville, Sc
- 2 joined from T•• F•••••••• A•••••••May 1, 2026 · Greenville, Sc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• A••••••• R•••••• · Managing Principalcontrolsince 07/2026 · owns 50% to 75%
- T•••••••• S•••••• W•••• · Managing Principalcontrolsince 01/2026 · owns 50% to 75%
- W••••••• A•••• F••••• · Chief Compliance Officercontrolsince 02/2026 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Greer, Sc · principal | 7 | 7 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Jul 20, 2026 to Sep 15, 2026
- HQ city · SPARTANBURG to GREERJul 20, 2026 to Sep 15, 2026
- Related adviser · false to unsetJul 20, 2026 to Sep 15, 2026
- Related bank · false to unsetJul 20, 2026 to Sep 15, 2026
- Related broker-dealer · false to unsetJul 20, 2026 to Sep 15, 2026
- Related insurance company · false to unsetJul 20, 2026 to Sep 15, 2026
- Succession · false to unsetJul 20, 2026 to Sep 15, 2026
- Accounts · 0 to 1,552Apr 1, 2026 to Jul 20, 2026
- Advisory employees · 2 to 7Apr 1, 2026 to Jul 20, 2026
- Corporate clients · unset to 10.0Apr 1, 2026 to Jul 20, 2026
- HNW clients · unset to 225.0Apr 1, 2026 to Jul 20, 2026
- Individual clients · unset to 173.0Apr 1, 2026 to Jul 20, 2026
- Financial planning clients · 0 to 1-10Apr 1, 2026 to Jul 20, 2026
- State-registered IARs · 2 to 7Apr 1, 2026 to Jul 20, 2026
- Other offices · 0 to 1Apr 1, 2026 to Jul 20, 2026
- Discretionary RAUM · $0 to $530MApr 1, 2026 to Jul 20, 2026
- HNW RAUM · unset to 290974357.0Apr 1, 2026 to Jul 20, 2026
- Individual RAUM · unset to 223826429.0Apr 1, 2026 to Jul 20, 2026
- Non-discretionary RAUM · $0 to $2.6MApr 1, 2026 to Jul 20, 2026
- Pension RAUM · unset to 5329201.0Apr 1, 2026 to Jul 20, 2026
- RAUM · $0 to $533MApr 1, 2026 to Jul 20, 2026
Signals
2 dated events
- 2 advisors left T•• F•••••••• A••••••• (Greenville, SC) for W••••• I••••••••• N••••••••• L•• on the same dayJul 1, 2026 · Team lift-out · derived
- 2 advisors left T•• F•••••••• A••••••• (Spartanburg, SC) for W••••• I••••••••• N••••••••• L•• on the same dayMay 1, 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
- Firm profile
- linkedin.com/company/wealth-intelligently-navigatedreportedpublic record, Form ADV, Sep 18, 2026
- Website
- winwealthadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (864) 375-4031reportedpublic record, Form ADV, 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
- $76.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026