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

Trinity Financial Advisors LLC

Former SEC-registered adviserChicago, IllinoisCRD 111681SEC 801-57843IAPD
Latest filing Jun 22, 2020
First filing on the tape Mar 30, 2012 · 16 filings
RAUM
$212M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$197M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$212M as of Mar 26, 2020
Mar 30, 2012$159M then
HNW client RAUM$189M as of Mar 26, 2020
Mar 26, 2018$195M then
State-registered IARs (5.B.3)4 as of Mar 26, 2020
Mar 30, 20120 then
Employees (5.A)9 as of Mar 26, 2020
Mar 27, 20139 then
Private funds: no history
RAUM +14% over the last fiscal year+2.4% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jun 22, 2020; every figure names its basis
RAUM per advisor
$53.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
16derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.8MderivedHNW RAUM over HNW clients
Average account
$334,029derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
7.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
  • 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$189M89%
  • Pension and profit-sharing plans$15.2M7.2%
  • Individuals$8.0M3.8%
Individual clients
12reported
HNW clients
50reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
635reported
Financial planning clients
26-50reported
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
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
    • William John Wimbiscus · Chief Compliance Officercontrol
      since 10/2004 · 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 · 700 to 635
      Apr 1, 2019 to Mar 26, 2020
    • HNW clients · 53 to 50
      Apr 1, 2019 to Mar 26, 2020
    • Individual clients · 9 to 12
      Apr 1, 2019 to Mar 26, 2020
    • Assets in custody · 470708.0 to unset
      Apr 1, 2019 to Mar 26, 2020
    • Custody of client assets · true to false
      Apr 1, 2019 to Mar 26, 2020
    • Discretionary RAUM · $186M to $212M
      Apr 1, 2019 to Mar 26, 2020
    • HNW RAUM · $169M to $189M
      Apr 1, 2019 to Mar 26, 2020
    • Individual RAUM · $5.0M to $8.0M
      Apr 1, 2019 to Mar 26, 2020
    • Pension RAUM · $12.2M to $15.2M
      Apr 1, 2019 to Mar 26, 2020
    • RAUM · $186M to $212M
      Apr 1, 2019 to Mar 26, 2020
    • Accounts · 679 to 700
      Mar 29, 2018 to Apr 1, 2019
    • Advisory employees · 5 to 4
      Mar 29, 2018 to Apr 1, 2019
    • HNW clients · 54 to 53
      Mar 29, 2018 to Apr 1, 2019
    • Individual clients · 6 to 9
      Mar 29, 2018 to Apr 1, 2019
    • Assets in custody · $460,584 to $470,708
      Mar 29, 2018 to Apr 1, 2019
    • Custody of client assets · false to true
      Mar 29, 2018 to Apr 1, 2019
    • Employees · 8 to 9
      Mar 29, 2018 to Apr 1, 2019
    • Financial planning clients · 51-100 to 26-50
      Mar 29, 2018 to Apr 1, 2019
    • Discretionary RAUM · $210M to $186M
      Mar 29, 2018 to Apr 1, 2019
    • HNW RAUM · $195M to $169M
      Mar 29, 2018 to Apr 1, 2019
    • Individual RAUM · $3.2M to $5.0M
      Mar 29, 2018 to Apr 1, 2019
    • Pension RAUM · $11.5M to $12.2M
      Mar 29, 2018 to Apr 1, 2019
    • RAUM · $210M to $186M
      Mar 29, 2018 to Apr 1, 2019
    • Accounts · 713 to 679
      Mar 13, 2017 to Mar 26, 2018
    • Advisory employees · 6 to 5
      Mar 13, 2017 to Mar 26, 2018
    • HNW clients · unset to 54.0
      Mar 13, 2017 to Mar 26, 2018
    • Individual clients · unset to 6.0
      Mar 13, 2017 to Mar 26, 2018
    • Assets in custody · unset to 460584.0
      Mar 13, 2017 to Mar 26, 2018
    • Employees · 9 to 8
      Mar 13, 2017 to Mar 26, 2018
    • Other offices · unset to 0.0
      Mar 13, 2017 to Mar 26, 2018
    • Discretionary RAUM · $198M to $210M
      Mar 13, 2017 to Mar 26, 2018
    • HNW RAUM · unset to 194858096.0
      Mar 13, 2017 to Mar 26, 2018
    • Individual RAUM · unset to 3215723.0
      Mar 13, 2017 to Mar 26, 2018
    • Pension RAUM · unset to 11487199.0
      Mar 13, 2017 to Mar 26, 2018
    • RAUM · $198M to $210M
      Mar 13, 2017 to Mar 26, 2018
    • Accounts · 748 to 713
      Mar 28, 2016 to Mar 13, 2017
    • Employees · 10 to 9
      Mar 28, 2016 to Mar 13, 2017
    • State-registered IARs · 3 to 4
      Mar 28, 2016 to Mar 13, 2017
    • Discretionary RAUM · $192M to $198M
      Mar 28, 2016 to Mar 13, 2017
    • RAUM · $192M to $198M
      Mar 28, 2016 to Mar 13, 2017
    Signals
    No event on the tape.
    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