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
Equius Partners, Inc.
Latest filing Mar 31, 2023
First filing on the tape Feb 13, 2012 · 24 filings
RAUM
$1.0B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
83%
$838M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$1.0B as of Mar 31, 2023
Feb 13, 2012$583M then
HNW client RAUM$754M as of Mar 31, 2023
Mar 31, 2018$671M then
State-registered IARs (5.B.3)7 as of Mar 31, 2023
Mar 22, 20136 then
Employees (5.A)14 as of Mar 31, 2023
Mar 22, 20138 then
Private funds: no history
RAUM -10% over the last fiscal year-1.8% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Mar 31, 2023; every figure names its basis
- RAUM per advisor
- $144MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $888,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 9.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -10%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $250M, 150 clientsreportedItem 9.A
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$754M75%
- Individuals$84.0M8.3%
- Pension and profit-sharing plans$78.4M7.8%
- Corporations and businesses$75.9M7.5%
- Charitable organizations$17.1M1.7%
- Individual clients
- 265reported
- HNW clients
- 191reported
- Pension plan clients
- 9reported
- Charitable clients
- n/areported
- Accounts
- 1,137reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $250M for 150 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- Jason Zahorenko to Wealth Enhancement Advisory Services, LLCApr 28, 2023 · RIA to RIA
- Thomas Jeffrey Troutner to Wealth Enhancement Advisory Services, LLCApr 28, 2023 · RIA to RIA
- David Wootton to Wealth Enhancement Advisory Services, LLCApr 28, 2023 · RIA to RIA
- Alexander Gangl to Wealth Enhancement Advisory Services, LLCApr 28, 2023 · RIA to RIA
- Lachlan Mor Maclean to Wealth Enhancement Advisory Services, LLCApr 28, 2023 · RIA to RIA
- Matthew Erbentraut to Wealth Enhancement Advisory Services, LLCJul 15, 2022 · RIA to RIA
- Nelson Hugh Mackintosh to Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 18, 2020 · RIA to wirehouse
- Frederick Hughes Borden to On Keel CapitalDec 14, 2019 · RIA to a state-registered adviser
- Eric Nelson to Servo Wealth Management LLCJan 13, 2012 · Other
- Joseph Patrick Delaney to Vista Wealth Management, LLCJan 6, 2009 · Other
- Kory Kenneth Swekla to Ascension Wealth Partners, LLCMar 12, 2008 · Other
- Michael Richard Sappington to Ascension Wealth Partners, LLCJan 24, 2008 · Other
Joined, latest
- Alexander Gangl from WealthspanNov 11, 2019 · Other
- Frederick Hughes Borden from On Keel Capital, LLCJan 27, 2017 · Other
- Eric Nelson from Exencial Wealth AdvisorsFeb 23, 2009 · Other
- Michael Richard Sappington from Charles Schwab & Co., Inc.Jun 27, 2007 · Other
- Kory Kenneth Swekla from Cibc Private Wealth Advisors, Inc.Apr 5, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for Wealth Enhancement Advisory Services, LLCApr 28, 2023 · Novato, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Glenn Michael Bolgatz · Corporate Counselcontrolsince 02/2022 · owns less than 5%
- Nicholas Humphrey · Chief Operating Officer, Chief Compliance Officercontrolsince 03/2017 · owns less than 5%
- Willem Philip Jonckheer · Founding Partnercontrolsince 06/1991 · owns 25% to 50%
- Charles Jeffrey Troutner · Founding Partner, Chief Investment Officercontrolsince 01/2015 · owns 25% to 50%
- Jeffrey Thomas Troutner · Managing Partnercontrolsince 01/2012 · owns 5% to 10%
- Eugene Greg Worthington · Managing Directorcontrolsince 01/2020 · owns less than 5%
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 · 1,083 to 1,137Mar 29, 2022 to Mar 31, 2023
- Advisory employees · 8 to 7Mar 29, 2022 to Mar 31, 2023
- Corporate clients · 9 to 10Mar 29, 2022 to Mar 31, 2023
- HNW clients · 198 to 191Mar 29, 2022 to Mar 31, 2023
- Individual clients · 245 to 265Mar 29, 2022 to Mar 31, 2023
- Pension plan clients · unset to 9.0Mar 29, 2022 to Mar 31, 2023
- Assets in custody · $238M to $250MMar 29, 2022 to Mar 31, 2023
- Employees · 15 to 14Mar 29, 2022 to Mar 31, 2023
- State-registered IARs · 8 to 7Mar 29, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.1B to $983MMar 29, 2022 to Mar 31, 2023
- HNW RAUM · $923M to $754MMar 29, 2022 to Mar 31, 2023
- Individual RAUM · $85.8M to $84.0MMar 29, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $36.5M to $26.7MMar 29, 2022 to Mar 31, 2023
- Pension RAUM · $637,893 to $78.4MMar 29, 2022 to Mar 31, 2023
- RAUM · $1.1B to $1.0BMar 29, 2022 to Mar 31, 2023
- Accounts · 1,504 to 1,083Mar 31, 2021 to Mar 29, 2022
- Advisory employees · 7 to 8Mar 31, 2021 to Mar 29, 2022
- Charity clients · 5.0 to unsetMar 31, 2021 to Mar 29, 2022
- HNW clients · 213 to 198Mar 31, 2021 to Mar 29, 2022
- Individual clients · 529 to 245Mar 31, 2021 to Mar 29, 2022
- Pension plan clients · 0.0 to unsetMar 31, 2021 to Mar 29, 2022
- Pooled vehicle clients · 0.0 to unsetMar 31, 2021 to Mar 29, 2022
- Assets in custody · $1.1B to $238MMar 31, 2021 to Mar 29, 2022
- Custody of client assets · false to trueMar 31, 2021 to Mar 29, 2022
- Financial planning clients · More than 500 to 251-500Mar 31, 2021 to Mar 29, 2022
- State-registered IARs · 7 to 8Mar 31, 2021 to Mar 29, 2022
- Discretionary RAUM · $1.1B to $1.1BMar 31, 2021 to Mar 29, 2022
- HNW RAUM · $805M to $923MMar 31, 2021 to Mar 29, 2022
- Individual RAUM · $203M to $85.8MMar 31, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $31.1M to $36.5MMar 31, 2021 to Mar 29, 2022
- Pension RAUM · $0 to $637,893Mar 31, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · 0.0 to unsetMar 31, 2021 to Mar 29, 2022
- RAUM · $1.1B to $1.1BMar 31, 2021 to Mar 29, 2022
- Accounts · 1,513 to 1,504Dec 4, 2020 to Mar 31, 2021
- Charity clients · 6 to 5Dec 4, 2020 to Mar 31, 2021
- Corporate clients · 8 to 9Dec 4, 2020 to Mar 31, 2021
- HNW clients · 217 to 213Dec 4, 2020 to Mar 31, 2021
- Individual clients · 518 to 529Dec 4, 2020 to Mar 31, 2021
- Assets in custody · $1.1B to $1.1BDec 4, 2020 to Mar 31, 2021
- Employees · 14 to 15Dec 4, 2020 to Mar 31, 2021
Signals
9 dated events
- David Wootton left Equius Partners, Inc. for Wealth Enhancement Advisory Services, Llc (registered 2023-04-03)Apr 28, 2023 · Advisor changed firm · fact
- Lachlan Mor Maclean left Equius Partners, Inc. for Wealth Enhancement Advisory Services, Llc (registered 2023-04-03)Apr 28, 2023 · Advisor changed firm · fact
- Jason Zahorenko left Equius Partners, Inc. for Wealth Enhancement Advisory Services, Llc (registered 2023-04-03)Apr 28, 2023 · Advisor changed firm · fact
- Thomas Jeffrey Troutner left Equius Partners, Inc. for Wealth Enhancement Advisory Services, Llc (registered 2023-04-03)Apr 28, 2023 · Advisor changed firm · fact
- Alexander Gangl left Equius Partners, Inc. for Wealth Enhancement Advisory Services, Llc (registered 2023-04-03)Apr 28, 2023 · Advisor changed firm · fact
- Equius Partners, Inc.'s advisors moved to Wealth Enhancement Advisory Services, LLC (Novato, CA): 5 of 5 registered, on the same dayApr 28, 2023 · Firm absorbed (people side) · derived
- Matthew Erbentraut left Equius Partners, Inc. for Wealth Enhancement Advisory Services, Llc (registered 2023-11-14)Jul 15, 2022 · Advisor changed firm · fact
- Glenn Michael Bolgatz (Corporate Counsel) appeared on Schedule A of Equius Partners, Inc.Mar 29, 2022 · Control person joined · fact
- Eugene Greg Worthington (Managing Director) appeared on Schedule A of Equius Partners, Inc.Mar 31, 2020 · Control person joined · 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