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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

RUDWALL WEALTH MANAGEMENT LLC

CRD 284515

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:df26d06e-a613-1dcc-632e-edd1740289ef

Data as of Mar 12, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Nov 16, 2016 to Mar 12, 2019
11 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $18.8MItem 5.F on the latest filing (2019-03-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $18.8M
Private client RAUM: $18.8MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $6.3Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 2
Advisory employees: 1
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 23
SEC number: 801-108714
CRD: 284515
Filings on the tape: 11
First filed: Nov 16, 2016
Latest filed: Mar 12, 2019
Organised: Limited Liability Company, Illinois

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
JAMES FIELD RUDWALL	n/a	MUNDELEIN, IL	9	43	4	no
CHARLES EDWARD LIEF	n/a	MUNDELEIN, IL	8	34	n/a	no
RYAN THOMAS SIEPKA	n/a	MUNDELEIN, IL \| ALGONQUIN, IL	5	16	n/a	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
LIEF, CHARLES, EDWARD	CCO/COO	Na	yes	11/2016	Nov 16, 2016	Mar 12, 2019
OXFORD ASSET MANAGEMENT LLC	SOLE MEMBER	E	yes	11/2016	Nov 16, 2016	Mar 12, 2019
RUDWALL, JAMES, FIELD	MANAGING MEMBER	E	yes	11/2016	Nov 16, 2016	Mar 12, 2019
RUDWALL, JAMES, FIELD	CEO & FOUNDER	Na	yes	11/2016	Nov 16, 2016	Mar 12, 2019

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 12, 2019	$18.8M	$18.8M	2	1	1	n/a	n/a
2017	Mar 29, 2018	$15.3M	$15.3M	2	1	1	n/a	n/a
2016	Mar 24, 2017	$0	$0	2	1	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	1

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
2018	$18.8M	$15.3M	22.6%	n/a	n/a	2	2	1	1

Relationships

Registered with (4)

← RYAN THOMAS SIEPKAAdvisorregistration: current employment
Feb 4, 2021 to presentfactForm ADV
← CHARLES EDWARD LIEFAdvisorregistration: current employment
Aug 20, 2018 to presentfactForm ADV
← JAMES FIELD RUDWALLAdvisorregistration: current employment
Jan 25, 2017 to presentfactForm ADV
← NATHAN EARL FREEMANAdvisorregistration: previous registration
Feb 14, 2022 to Apr 23, 2024factForm ADV

Controls (3)

← RUDWALL, JAMES, FIELDOwnerMANAGING MEMBER, ownership code E, individual
Nov 16, 2016 to presentfactForm ADV
← LIEF, CHARLES, EDWARDOwnerCCO/COO, ownership code NA, individual
Nov 16, 2016 to presentfactForm ADV
← OXFORD ASSET MANAGEMENT LLCOwnerSOLE MEMBER, ownership code E, domestic entity
Nov 16, 2016 to presentfactForm ADV

Dated events

Occurred
Apr 23, 2024
Advisor changed firm
Nathan Earl Freeman left Rudwall Wealth Management Llc for Independent Financial Partners (registered 2024-04-22)
Form ADVobserved 4 days ago
Occurred
Nov 16, 2016
First Form ADV filing
Rudwall Wealth Management Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:df26d06e-a613-1dcc-632e-edd1740289ef
First observed: Nov 16, 2016
Last observed: Mar 12, 2019 91 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.

RUDWALL WEALTH MANAGEMENT LLC

CRD 284515

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:df26d06e-a613-1dcc-632e-edd1740289ef

Data as of Mar 12, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:19 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JAMES FIELD RUDWALL

n/a

MUNDELEIN, IL

CHARLES EDWARD LIEF

n/a

MUNDELEIN, IL

n/a

RYAN THOMAS SIEPKA

n/a

MUNDELEIN, IL | ALGONQUIN, IL

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LIEF, CHARLES, EDWARD

CCO/COO

yes

11/2016

Nov 16, 2016

Mar 12, 2019

OXFORD ASSET MANAGEMENT LLC

SOLE MEMBER

yes

11/2016

Nov 16, 2016

Mar 12, 2019

RUDWALL, JAMES, FIELD

MANAGING MEMBER

yes

11/2016

Nov 16, 2016

Mar 12, 2019

RUDWALL, JAMES, FIELD

CEO & FOUNDER

yes

11/2016

Nov 16, 2016

Mar 12, 2019

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 12, 2019

$18.8M

n/a

2017

Mar 29, 2018

$15.3M

n/a

2016

Mar 24, 2017

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

2018

$18.8M

$15.3M

22.6%

n/a