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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

PROVIDENCE WEALTH ADVISORS, LLC

CRD 153646

FRANKFORT, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:01a9e937-e6a5-ac94-d843-7bea86df8fa8

Data as of Mar 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 1
On other graphs: 0
Observed: Mar 14, 2012 to Mar 2, 2026
45 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.94 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $684MItem 5.F on the latest filing (2026-03-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $684M
Private client RAUM: $646MderivedItem 5.D individuals plus high net worth individuals
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $137Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 11
Advisory employees: 6
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 1,384
Individual clients: 617
High net worth clients: 0
Custody, client assets: $684M
SEC number: 801-71352
CRD: 153646
Filings on the tape: 45
First filed: Mar 14, 2012
Latest filed: Mar 2, 2026
Organised: Limited Liability Company, IL
Website: @providencewealth

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
BRIAN GRANATO	n/a	FRANKFORT, IL	16	16	1	no
NICOLE LYNN SMIT	n/a	FRANKFORT, IL \| Dyer, IN	12	13	1	no
LAURA MARIE FASAN	n/a	FRANKFORT, IL \| Oak Lawn, IL	8	29	6	no
Jay David Faler	n/a	Palos Heights, IL \| FRANKFORT, IL	8	14	1	no
DOUGLAS ANTHONY DEGROOT	Certified Financial Planner	FRANKFORT, IL	8	16	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
DEGROOT, DOUGLAS, ANTHONY	Manager	Na	yes	05/2010	Mar 14, 2012	Aug 28, 2024
PROVIDENCE BANK LLC	SOLE MEMBER	E	yes	05/2010	Mar 14, 2012	Aug 28, 2024
SADZEWICZ, GERY, JOSEPH	CHIEF COMPLIANCE OFFICER	Na	no	04/2010	Mar 14, 2012	Aug 28, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
PROVIDENCE BANK & TRUST COMPANY	n/a	n/a	n/a	Y	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
PALOS HEIGHTS	IL	United States	3	no
Dyer	In	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 2, 2026	$684M	$684M	11	6	2	n/a	n/a
2024	Feb 25, 2025	$601M	$601M	11	6	2	n/a	n/a
2023	Feb 14, 2024	$572M	$572M	11	6	3	n/a	n/a
2022	Feb 13, 2023	$497M	$497M	10	5	3	n/a	n/a
2021	Feb 10, 2022	$468M	$468M	10	5	3	n/a	n/a
2020	Feb 13, 2021	$420M	$420M	10	5	3	n/a	n/a
2019	Mar 17, 2020	$450M	$450M	9	5	3	n/a	n/a
2018	Mar 21, 2019	$370M	$370M	9	5	3	n/a	n/a
2017	Mar 25, 2018	$333M	$333M	9	5	3	n/a	n/a
2016	Mar 28, 2017	$182M	$182M	5	5	n/a	n/a	n/a
2015	Mar 10, 2016	$167M	$167M	3	3	n/a	n/a	n/a
2014	Mar 17, 2015	$160M	$160M	4	4	n/a	n/a	n/a
2013	Mar 17, 2014	$154M	$154M	4	4	n/a	n/a	n/a
2012	Mar 28, 2013	$170M	$170M	4	4	n/a	n/a	n/a
2011	Mar 14, 2012	$155M	$155M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$684M	$601M	13.8%	$497M	11.2%	11	11	2	2

Relationships

Registered with (6)

← DOUGLAS ANTHONY DEGROOTAdvisorregistration: previous registration
Jul 7, 2010 to Dec 31, 2017factForm ADV
← Jay David FalerAdvisorregistration: previous registration
Dec 7, 2017 to Dec 31, 2017factForm ADV
← LAURA MARIE FASANAdvisorregistration: previous registration
Oct 13, 2017 to Dec 31, 2017factForm ADV
← NICOLE LYNN SMITAdvisorregistration: previous registration
Jan 10, 2014 to Dec 31, 2017factForm ADV
← BRIAN GRANATOAdvisorregistration: previous registration
Jul 15, 2010 to Dec 31, 2017factForm ADV
← GERY JOSEPH SADZEWICZAdvisorregistration: previous registration
Apr 28, 2010 to Dec 2, 2020factForm ADV

Owns (1)

← SADZEWICZ, GERY, JOSEPHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 14, 2012 to Aug 28, 2024factForm ADV

Controls (2)

← DEGROOT, DOUGLAS, ANTHONYOwnerMANAGER, ownership code NA, individual
Mar 14, 2012 to Aug 28, 2024factForm ADV
← PROVIDENCE BANK LLCOwnerSOLE MEMBER, ownership code E, domestic entity
Mar 14, 2012 to Aug 28, 2024factForm ADV

Dated events

Occurred
Mar 25, 2018
Regulatory AUM changed
Providence Wealth Advisors, Llc reported RAUM $332.5M, up 83% from $181.6M (2018-01-03 to 2018-03-25)
Form ADVobserved 3 days ago
$151M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:01a9e937-e6a5-ac94-d843-7bea86df8fa8
First observed: Mar 14, 2012
Last observed: Mar 2, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

PROVIDENCE WEALTH ADVISORS, LLC

CRD 153646

FRANKFORT, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:01a9e937-e6a5-ac94-d843-7bea86df8fa8

Data as of Mar 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:04 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

BRIAN GRANATO

n/a

FRANKFORT, IL

NICOLE LYNN SMIT

n/a

FRANKFORT, IL | Dyer, IN

LAURA MARIE FASAN

n/a

FRANKFORT, IL | Oak Lawn, IL

Jay David Faler

n/a

Palos Heights, IL | FRANKFORT, IL

DOUGLAS ANTHONY DEGROOT

Certified Financial Planner

FRANKFORT, IL

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DEGROOT, DOUGLAS, ANTHONY

Manager

yes

05/2010

Mar 14, 2012

Aug 28, 2024

PROVIDENCE BANK LLC

SOLE MEMBER

yes

05/2010

Mar 14, 2012

Aug 28, 2024

SADZEWICZ, GERY, JOSEPH

CHIEF COMPLIANCE OFFICER

04/2010

Mar 14, 2012

Aug 28, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PROVIDENCE BANK & TRUST COMPANY

n/a

City

State

Country

Employees

Also broker-dealer

PALOS HEIGHTS

United States

Dyer

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 2, 2026

$684M

n/a

2024

Feb 25, 2025

$601M

n/a

2023

Feb 14, 2024

$572M

n/a

2022

Feb 13, 2023

$497M

n/a

2021

Feb 10, 2022

$468M

n/a

2020

Feb 13, 2021

$420M

n/a

2019

Mar 17, 2020

$450M

n/a

2018

Mar 21, 2019

$370M

n/a

2017

Mar 25, 2018

$333M

n/a

2016

Mar 28, 2017

$182M

n/a

2015

Mar 10, 2016

$167M

n/a

2014

Mar 17, 2015

$160M

n/a

2013

Mar 17, 2014

$154M

n/a

2012

Mar 28, 2013

$170M

n/a

2011

Mar 14, 2012

$155M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$684M

$601M

13.8%

$497M

11.2%