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.

Former SEC-registered adviser

C.W. Henderson & Associates, Inc.

Former SEC-registered adviserChicago, IllinoisCRD 108213SEC 801-38064IAPD
Latest filing Mar 15, 2022
First filing on the tape Feb 23, 2012 · 22 filings
RAUM
$4.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$3.5B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$4.0B as of Mar 15, 2022
Feb 23, 2012$3.1B then
HNW client RAUM$3.5B as of Mar 15, 2022
Mar 24, 2021$3.3B then
State-registered IARs (5.B.3)0 as of Mar 15, 2022
Feb 11, 20130 then
Employees (5.A)12 as of Mar 15, 2022
Feb 11, 201313 then
Private funds: no history
RAUM +3.1% over the last fiscal year+7.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 15, 2022; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$2.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+3.1%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$3.5B87%
  • Corporations and businesses$516M13%
  • Charitable organizations$6.6M0.2%
Individual clients
n/areported
HNW clients
1,353reported
Pension plan clients
0reported
Charitable clients
3reported
Accounts
1,492reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $2.3B managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Wilton Craig Henderson · Chairman & Chief Executive Officercontrol
      since 04/2021 · owns 75% or more
    • Scott Matthew Andrews · President & Chief Investment Officer
      since 04/2021 · owns 5% to 10%
    • Jay Henderson · Trustee
      since 01/2021 · owns 25% to 50%
    • Thomas Mallman · Trustee
      since 01/2021 · owns 5% to 10%
    • Marie Clare Retrum · Chief Compliance Officer
      since 01/2016 · owns less than 5%
    Entity owners
    • The Craig W. Henderson 2020 Irrevocable Family Trust Dated 12/17/2020 · Shareholder
      direct · owns 25% to 50%
    • The Craig W. Henderson Revocable Trust Dated 3/22/18 · Shareholder
      direct · owns 25% to 50%
    • The Thomas L. Mallman 1978 Trust Dated 7/20/1978 · Shareholder
      direct · owns 5% to 10%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,431 to 1,492
      Oct 26, 2021 to Mar 15, 2022
    • Corporate clients · 140 to 136
      Oct 26, 2021 to Mar 15, 2022
    • HNW clients · 1,288 to 1,353
      Oct 26, 2021 to Mar 15, 2022
    • Financial planning clients · 0 to unset
      Oct 26, 2021 to Mar 15, 2022
    • Discretionary RAUM · $3.9B to $4.0B
      Oct 26, 2021 to Mar 15, 2022
    • HNW RAUM · $3.3B to $3.5B
      Oct 26, 2021 to Mar 15, 2022
    • RAUM · $3.9B to $4.0B
      Oct 26, 2021 to Mar 15, 2022
    • Wrap assets (manager) · $2.0B to $2.3B
      Oct 26, 2021 to Mar 15, 2022
    • Accounts · 1,291 to 1,431
      Dec 3, 2020 to Mar 24, 2021
    • Charity clients · 5 to 3
      Dec 3, 2020 to Mar 24, 2021
    • Corporate clients · 139 to 140
      Dec 3, 2020 to Mar 24, 2021
    • HNW clients · unset to 1288.0
      Dec 3, 2020 to Mar 24, 2021
    • Individual clients · 1147.0 to unset
      Dec 3, 2020 to Mar 24, 2021
    • Discretionary RAUM · $3.6B to $3.9B
      Dec 3, 2020 to Mar 24, 2021
    • HNW RAUM · unset to 3334057040.0
      Dec 3, 2020 to Mar 24, 2021
    • Individual RAUM · 3032981041.0 to unset
      Dec 3, 2020 to Mar 24, 2021
    • RAUM · $3.6B to $3.9B
      Dec 3, 2020 to Mar 24, 2021
    • Wrap assets (manager) · $1.8B to $2.0B
      Dec 3, 2020 to Mar 24, 2021
    • Accounts · 1,233 to 1,291
      Dec 12, 2019 to Mar 16, 2020
    • Corporate clients · 138 to 139
      Dec 12, 2019 to Mar 16, 2020
    • Individual clients · 1,090 to 1,147
      Dec 12, 2019 to Mar 16, 2020
    • Employees · 13 to 12
      Dec 12, 2019 to Mar 16, 2020
    • Discretionary RAUM · $3.3B to $3.6B
      Dec 12, 2019 to Mar 16, 2020
    • Individual RAUM · $2.8B to $3.0B
      Dec 12, 2019 to Mar 16, 2020
    • RAUM · $3.3B to $3.6B
      Dec 12, 2019 to Mar 16, 2020
    • Wrap assets (manager) · $1.5B to $1.8B
      Dec 12, 2019 to Mar 16, 2020
    • Accounts · 1,195 to 1,233
      Mar 29, 2018 to Mar 21, 2019
    • Charity clients · 3 to 5
      Mar 29, 2018 to Mar 21, 2019
    • Corporate clients · 135 to 138
      Mar 29, 2018 to Mar 21, 2019
    • Individual clients · 1,057 to 1,090
      Mar 29, 2018 to Mar 21, 2019
    • Discretionary RAUM · $3.2B to $3.3B
      Mar 29, 2018 to Mar 21, 2019
    • Individual RAUM · $2.6B to $2.8B
      Mar 29, 2018 to Mar 21, 2019
    • RAUM · $3.2B to $3.3B
      Mar 29, 2018 to Mar 21, 2019
    • Wrap assets (manager) · $1.4B to $1.5B
      Mar 29, 2018 to Mar 21, 2019
    • Accounts · 1,190 to 1,195
      Mar 7, 2017 to Mar 29, 2018
    • Charity clients · unset to 3.0
      Mar 7, 2017 to Mar 29, 2018
    • Corporate clients · unset to 135.0
      Mar 7, 2017 to Mar 29, 2018
    • Individual clients · unset to 1057.0
      Mar 7, 2017 to Mar 29, 2018
    • Pension plan clients · unset to 0.0
      Mar 7, 2017 to Mar 29, 2018
    • Employees · 15 to 13
      Mar 7, 2017 to Mar 29, 2018
    Signals
    1 dated events
    • Craig Wilton Henderson left C.W. Henderson & Associates, Inc. for Federated Investment Counseling (registered 2022-10-27)
      Dec 2, 2022 · Advisor changed firm · fact
    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