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
Kaiser Wealth Management
Latest filing Mar 24, 2025
First filing on the tape Mar 30, 2012 · 24 filings
SEC status approved since Sep 11, 1998
RAUM
$36.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
5.8%
$2.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$36.6M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$36.6M as of Mar 24, 2025
Mar 30, 2012$62.0M then
HNW client RAUM$2.1M as of Mar 24, 2025
Mar 28, 2018$175,000 then
State-registered IARs (5.B.3)1 as of Mar 24, 2025
Mar 30, 20120 then
Employees (5.A)1 as of Mar 24, 2025
Mar 20, 20135 then
Private funds: no history
RAUM +5.9% over the last fiscal year-33% a year over threeIARs 1 to 1offices 0 to 1
Practice profile
derived from the filing of Mar 24, 2025; every figure names its basis
- RAUM per advisor
- $36.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $2.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 80%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$29.1M80%
- Corporations and businesses$5.4M15%
- High-net-worth individuals$2.1M5.8%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Todd Patrick Bishop | Burns, Wy | Sep 26, 2017 | 36 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Christine Mary Kelley to Geneos Wealth Management, Inc.Jun 28, 2013 · Other
- Mark Glenn Petrie to Geneos Wealth Management, Inc.Jun 28, 2013 · Other
- Thomas Eugene Brock to Geneos Wealth Management, Inc.May 2, 2013 · Other
- Richard Michael Kaul to Geneos Wealth Management, Inc.May 2, 2013 · Other
- Stephen Philip Sorich to Geneos Wealth Management, Inc.May 2, 2013 · Other
- Cheri Lynn Johnson to USA Financial Securities LLCMar 28, 2013 · Other
- Pearley Hughes Wells to First Financial Equity CorporationJan 31, 2012 · Other
- Taren Messenger to Cl Wealth Management LLCJul 26, 2011 · Other
- Doyle Edwin Gustus to Ridgeway Conger Advisory ServicesSep 14, 2005 · Other
Joined, latest
- Richard Michael Kaul from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 9, 2012 · Other
- Christine Mary Kelley from Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 21, 2011 · Other
- Mark Glenn Petrie from Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 15, 2011 · Other
- Pearley Hughes Wells from Morgan Stanley Dw Inc.Sep 25, 2009 · Other
- Stephen Philip Sorich from UBS Financial Services Inc.May 27, 2009 · Other
- Thomas Eugene Brock from Morgan Stanley Dw Inc.Nov 25, 2008 · Other
- Cheri Lynn Johnson from Morgan Stanley & Co. LLCMay 2, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Patrick Todd Bishop · President/Ceo/Chief Compliance Officercontrolsince 02/2006 · owns 75% or more
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 · 11 to 14Jan 27, 2025 to Mar 24, 2025
- Corporate clients · 4.0 to unsetJan 27, 2025 to Mar 24, 2025
- HNW clients · 4.0 to unsetJan 27, 2025 to Mar 24, 2025
- Financial planning clients · 11-25 to 11-25Jan 27, 2025 to Mar 24, 2025
- Discretionary RAUM · $34.6M to $36.6MJan 27, 2025 to Mar 24, 2025
- HNW RAUM · $408,103 to $2.1MJan 27, 2025 to Mar 24, 2025
- RAUM · $34.6M to $36.6MJan 27, 2025 to Mar 24, 2025
- HQ city · unset to Nov 5, 2024 to Jan 27, 2025
- HQ state · unset to Nov 5, 2024 to Jan 27, 2025
- Other offices · 0 to 1Nov 5, 2024 to Jan 27, 2025
- HQ city · CHEYENNE to unsetMar 29, 2024 to Nov 5, 2024
- HQ state · WY to unsetMar 29, 2024 to Nov 5, 2024
- Discretionary RAUM · $33.2M to $34.6MMar 29, 2023 to Mar 29, 2024
- HNW RAUM · $374,497 to $408,103Mar 29, 2023 to Mar 29, 2024
- RAUM · $33.2M to $34.6MMar 29, 2023 to Mar 29, 2024
- Accounts · 9 to 11Mar 22, 2022 to Mar 29, 2023
- Corporate clients · unset to 4.0Mar 22, 2022 to Mar 29, 2023
- HNW clients · unset to 4.0Mar 22, 2022 to Mar 29, 2023
- Financial planning clients · 1-10 to 11-25Mar 22, 2022 to Mar 29, 2023
- Discretionary RAUM · $120M to $33.2MMar 22, 2022 to Mar 29, 2023
- HNW RAUM · $223,268 to $374,497Mar 22, 2022 to Mar 29, 2023
- RAUM · $120M to $33.2MMar 22, 2022 to Mar 29, 2023
- Discretionary RAUM · $159M to $120MSep 24, 2021 to Mar 22, 2022
- HNW RAUM · $196,713 to $223,268Sep 24, 2021 to Mar 22, 2022
- RAUM · $159M to $120MSep 24, 2021 to Mar 22, 2022
- Discretionary RAUM · $157M to $159MJun 30, 2020 to Mar 24, 2021
- HNW RAUM · $177,581 to $196,713Jun 30, 2020 to Mar 24, 2021
- RAUM · $157M to $159MJun 30, 2020 to Mar 24, 2021
- Accounts · 6 to 9Mar 26, 2019 to Mar 17, 2020
- Advisory activities · 2 to 3Mar 26, 2019 to Mar 17, 2020
- Other offices · 1 to 0Mar 26, 2019 to Mar 17, 2020
- Discretionary RAUM · $135M to $157MMar 26, 2019 to Mar 17, 2020
- HNW RAUM · $153,000 to $177,581Mar 26, 2019 to Mar 17, 2020
- Individual RAUM · unset to 0.0Mar 26, 2019 to Mar 17, 2020
- Pension RAUM · unset to 0.0Mar 26, 2019 to Mar 17, 2020
- Pooled vehicle RAUM · unset to 0.0Mar 26, 2019 to Mar 17, 2020
- RAUM · $135M to $157MMar 26, 2019 to Mar 17, 2020
- Advisory employees · 2 to 1Mar 28, 2018 to Mar 26, 2019
- Employees · 2 to 1Mar 28, 2018 to Mar 26, 2019
- State-registered IARs · 2 to 1Mar 28, 2018 to Mar 26, 2019
Signals
1 dated events
- Kaiser Wealth Management no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $36.6M)Dec 20, 2025 · Left the SEC roster · derived
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
- $36.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026