DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

W••• S••••• F•••••••• G••••• I••

Former SEC-registered adviserVictor, New YorkCRD 35830SEC 801-58292IAPD
Legal name W••• S••••• F•••••••• G••••• I•••
Latest filing Nov 28, 2016
First filing on the tape Mar 20, 2012 · 14 filings
RAUM
$448M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
52
52 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$448M as of Jun 14, 2016
Jun 5, 2012$579M then
HNW client RAUM: no history
State-registered IARs (5.B.3)52 as of Jun 14, 2016
Jun 5, 20120 then
Employees (5.A)52 as of Jun 14, 2016
Jun 27, 201374 then
Private funds: no history
RAUM +3.8% over the last fiscal year-9.4% a year over threeIARs 56 to 52
Practice profile
derived from the filing of Nov 28, 2016; every figure names its basis
RAUM per advisor
$8.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$186,168derivedRAUM over accounts (5.F.2.f)
Discretionary
90%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
52.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+3.8%derivedbetween the last two annual amendments
Advisor growth, one year
-7.1%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, commissions, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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
  • is a broker-dealer (6.A.1)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2,408reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
Class basis
absent from the latest SEC rosterderived
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • A•••••••• D••• R••••• · Vice Presidentcontrol
      since 11/2013 · owns 50% to 75%
    • B•••••••• V••••••• I•••• · C•••• Executive Officer/C•••• Financial Officer/C•••• Compliance Officercontrol
      since 03/2008 · owns less than 5%
    Related persons
    Schedule D 7.A
    Advisers that list W••• S••••• F•••••••• G••••• I•• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • HQ city · FAIRPORT to VICTOR
      Jun 14, 2016 to Nov 28, 2016
    • State-registered IARs · 56 to 52
      May 20, 2016 to Jun 14, 2016
    • Accounts · 2,334 to 2,408
      May 20, 2016 to Jun 14, 2016
    • Advisory employees · 56 to 52
      May 20, 2016 to Jun 14, 2016
    • BD registered reps · 56 to 52
      May 20, 2016 to Jun 14, 2016
    • Employees · 56 to 52
      May 20, 2016 to Jun 14, 2016
    • Discretionary RAUM · $381M to $405M
      May 20, 2016 to Jun 14, 2016
    • Non-discretionary RAUM · $50.8M to $43.3M
      May 20, 2016 to Jun 14, 2016
    • RAUM · $432M to $448M
      May 20, 2016 to Jun 14, 2016
    • Accounts · 2,499 to 2,334
      Jul 22, 2014 to Jun 26, 2015
    • Advisory employees · 60 to 56
      Jul 22, 2014 to Jun 26, 2015
    • BD registered reps · 60 to 56
      Jul 22, 2014 to Jun 26, 2015
    • Employees · 60 to 56
      Jul 22, 2014 to Jun 26, 2015
    • Insurance-licensed employees · 4 to 5
      Jul 22, 2014 to Jun 26, 2015
    • State-registered IARs · 60 to 56
      Jul 22, 2014 to Jun 26, 2015
    • Discretionary RAUM · $339M to $381M
      Jul 22, 2014 to Jun 26, 2015
    • Non-discretionary RAUM · $115M to $50.8M
      Jul 22, 2014 to Jun 26, 2015
    • RAUM · $454M to $432M
      Jul 22, 2014 to Jun 26, 2015
    • Accounts · 2,709 to 2,499
      Jan 24, 2014 to May 30, 2014
    • Advisory employees · 74 to 60
      Jan 24, 2014 to May 30, 2014
    • BD registered reps · 74 to 60
      Jan 24, 2014 to May 30, 2014
    • Assets in custody · $544,806 to $0
      Jan 24, 2014 to May 30, 2014
    • Employees · 74 to 60
      Jan 24, 2014 to May 30, 2014
    • Insurance-licensed employees · 7 to 4
      Jan 24, 2014 to May 30, 2014
    • Financial planning clients · 101-250 to 11-25
      Jan 24, 2014 to May 30, 2014
    • State-registered IARs · 74 to 60
      Jan 24, 2014 to May 30, 2014
    • Discretionary RAUM · $615M to $339M
      Jan 24, 2014 to May 30, 2014
    • Non-discretionary RAUM · $0 to $115M
      Jan 24, 2014 to May 30, 2014
    • RAUM · $615M to $454M
      Jan 24, 2014 to May 30, 2014
    • Discretionary RAUM · $603M to $615M
      Jun 27, 2013 to Nov 14, 2013
    • RAUM · $603M to $615M
      Jun 27, 2013 to Nov 14, 2013
    • Accounts · 2,835 to 2,709
      Feb 21, 2013 to Jun 27, 2013
    • Advisory employees · 77 to 74
      Feb 21, 2013 to Jun 27, 2013
    • BD registered reps · 77 to 74
      Feb 21, 2013 to Jun 27, 2013
    • Assets in custody · $750,633 to $544,806
      Feb 21, 2013 to Jun 27, 2013
    • Employees · 77 to 74
      Feb 21, 2013 to Jun 27, 2013
    • Insurance-licensed employees · 5 to 7
      Feb 21, 2013 to Jun 27, 2013
    • State-registered IARs · 77 to 74
      Feb 21, 2013 to Jun 27, 2013
    • Discretionary RAUM · $579M to $603M
      Feb 21, 2013 to Jun 27, 2013
    • RAUM · $579M to $603M
      Feb 21, 2013 to Jun 27, 2013
    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.
    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
    Former SEC-registered adviserderiveda 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