DFX Intelligence

W•••••• F•••••••• S•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

W•••••• F•••••••• S•••••••• I•••

CRD 27346

DUBUQUE, IA

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Search this name across graphsid dfx:ria:9c7c5ea5-8ac4-f0bf-967b-9ffeed415962

Data as of Aug 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 4
On other graphs: 0
Observed: Feb 3, 2020 to Aug 10, 2026
15 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0
Regulatory AUM: $328M••• Locked
Discretionary RAUM: $325M
Private client RAUM: $328Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $46.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
T•••••• J••••• W••••••	n/a	DUBUQUE, IA	10	44	n/a	yes
B•••••• J••••• W••••••	n/a	Council Bluffs, IA \| DUBUQUE, IA	10	16

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
W••••••• T•••••• J•••••	PRESIDENT / BD CHIEF COMPLIANCE OFFICER	D	yes	07/1990	Feb 3, 2020	Mar 27, 2024
W••••••• B•••••• J•••••	VICE PRESIDENT/RIA CHIEF COMPLIANCE OFFICER	C	no	01/2016	Feb 3, 2020	Mar 27, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

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

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$328M	$274M	19.5%	$199M	18.1%	4	3	0	0

Relationships

Registered with (8)

← J••• D•••••• L•••••Advisorregistration: current employment
Jul 14, 2026 to presentfactForm ADV
← M••• G• W••••••Advisorregistration: current employment
Dec 3, 2025 to presentfactForm ADV
← M•••••• J•••• M••••Advisorregistration: current employment
Jan 17, 2020 to presentfactForm ADV
← R•••••• A•••• Q••••

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jun 10, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 3, 2020
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Show 2 bookkeeping events

Occurred
Sep 15, 2026
••• Locked
Occurred
Sep 15, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9c7c5ea5-8ac4-f0bf-967b-9ffeed415962
First observed: Feb 3, 2020
Last observed: Aug 10, 2026 44 days 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.