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.
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SEC-registered adviser
W••••• A••••••• N••••••• I•••
Latest filing Apr 20, 2026
First filing on the tape Dec 20, 2011 · 29 filings
SEC status approved since Oct 19, 2017
RAUM
$300M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
87%
$260M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$37.5M
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$300M as of Apr 20, 2026
Dec 20, 2011$65.5M then
HNW client RAUM$167M as of Apr 20, 2026
Dec 22, 2017$76.2M then
State-registered IARs (5.B.3)8 as of Apr 20, 2026
Dec 22, 201714 then
Employees (5.A)8 as of Apr 20, 2026
Dec 22, 201714 then
Private funds: no history
RAUM +1.1% over the last fiscal year+11% a year over threeIARs 12 to 8offices 8 to 7
Practice profile
derived from the filing of Apr 20, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $37.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $405,746derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.9%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$167M56%
- Individuals$92.9M31%
- Pension and profit-sharing plans$30.0M10%
- Charitable organizations$7.8M2.6%
- Corporations and businesses$2.6M0.9%
- Individual clients
- 370reported
- HNW clients
- 102reported
- Pension plan clients
- 8reported
- Charitable clients
- 6reported
- Accounts
- 740reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $131M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.13 related_bd=false related_bank=false bd_reps=7.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• S•••• A•••••••Certified Financial Planner | Hastings, Ne | Sep 3, 1997 | 36 y | 1 |
| M••••• K••• J•••••• | Lexington, Ne | Sep 3, 1997 | 46 y | 1 |
| D••••• W•••• C••••••Certified Financial Planner | S••••Sbluff, Ne | Sep 3, 1999 | 29 y | 1 |
| T•••• M••••••• H••• | Hastings, Ne | Jan 5, 2000 | 26 y | 0 |
| P••••• D••• N•••••• | Greeley, Co | Jan 25, 2007 | 56 y | 3 |
| D•••• L••• A•••••••• | Greeley, Co | Jan 25, 2007 | 32 y | 2 |
| V••••••• C•••••• | Hastings, Ne | Mar 18, 2014 | 20 y | 0 |
| S••••• J••••• C••••••• | Johnstown, Pa | Jun 18, 2020 | 50 y | 1 |
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 headcount4 left over 36 months
Left, latest
- R•••••• P•••••• C•••• to M•• I•••••••• S•••••••• L••Jul 15, 2025 · RIA to affiliated broker-dealer or bank
- R••••• W•••• R•••• to M•• I•••••••• S•••••••• L••Jul 15, 2025 · RIA to affiliated broker-dealer or bank
- J•••••• R••••• K•••••• to M•• I•••••••• S•••••••• L••Jul 15, 2025 · RIA to affiliated broker-dealer or bank
- H•••••• A•• A••••• to L•• F•••••••• L••May 13, 2024 · RIA to affiliated broker-dealer or bank
- J••• W•••••• P•••• to N•••• G••••May 18, 2015 · Other
- T••• A• H••••• to 1•• G••••• A••••••• I••Jun 6, 2013 · Other
- B•••• J•••• C•••••••• to S••••••••• A•••••• A•••••••• I•••Jan 21, 2009 · Other
- M••• D••• S•••••• to S••••••••• A•••••• A•••••••• I•••Sep 21, 2006 · Other
- B••••• J••• J••••••••• to A•••• S••••••••• I•••Mar 29, 2005 · Other
Joined, latest
- S••••• J••••• C••••••• from S•• W••••• A•••••••• I•••Jun 18, 2020 · Other
- R••••• W•••• R•••• from A••••• A•• P••••••• S•••••••Mar 30, 2018 · Other
- T••• A• H••••• from H••••• F•••••••• A•••••••• I•••Mar 28, 2012 · Other
- J••• W•••••• P•••• from T••••••• I••••••••• M••••••••• I•••Jun 12, 2008 · Other
- D•••• L••• A•••••••• from W••••• A••••••• O• C•••••••• L••Jan 25, 2007 · Other
- B••••• J••• J••••••••• from A•••••• A••••••• S•••••••Aug 6, 2004 · Other
- P••••• D••• N•••••• from 1•• G••••• A••••••• I••Jan 1, 2002 · Other
- J•••••• S•••• A••••••• from C•••••••• A••••••••• P•••Sep 3, 1997 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for M•• I•••••••• S•••••••• L••Jul 15, 2025 · Buffalo, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• J••••••• S•••• · Director/President/Ceo/Coocontrolsince 08/1997 · owns 75% or more
- C••••••• D•••••• W•••• · Directorcontrolsince 05/2010 · owns less than 5%
- C••••••• V••••••• · Chief Compliance Officer/Secretary/Treasurer/Directorcontrolsince 01/2008 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Hastings, Ne · principal | 3 | 0 | 0 | ||
| Greeley, Co | 2 | 0 | 0 | ||
| Buffalo, Ny | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Buffalo, NY4 employees
- Greeley, CO2 employees
- Kearney, NE1 employees
- Grand Island, NE1 employees
- Central City, NE1 employees
- J•••Stown, PA1 employees
- Lexington, NE1 employees
- S••••Sbluff, NE1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- advisors down RAUM stableCombination · filing Apr 20, 2026the advisor count fell 25 percent or more while RAUM stayed within 5 percent: people left without assets leaving (assets retained, or advisors were support staff). RAUM $297,015,339 to $300,252,270, advisors 12 to 8, private clients 518 to 472, offices 8 to 7 (2025-01-22 to 2026-04-20)peers: independent wealth managers, $100M to $500M (5,676)
- advisor count dropChange between filings · filing Apr 20, 2026advisory representatives (Item 5.B.3) moved from 12.0 to 8.0 (-33.0%) between the annual amendments of 2025-01-22 and 2026-04-20; the peer median change was 0.0% (965 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 4.1% percentile
- employee count dropChange between filings · filing Apr 20, 2026employees (Item 5.A) moved from 12.0 to 8.0 (-33.0%) between the annual amendments of 2025-01-22 and 2026-04-20; the peer median change was 0.0% (507 comparable advisers, 5.0th percentile of changes)peers: independent wealth managers, $100M to $500M (507) · 4.9% percentile
What changed
consecutive filings, newest first
- Accounts · 788 to 740Aug 12, 2025 to Dec 9, 2025
- Advisory employees · 11 to 8Aug 12, 2025 to Dec 9, 2025
- BD registered reps · 10 to 7Aug 12, 2025 to Dec 9, 2025
- Charity clients · 5 to 6Aug 12, 2025 to Dec 9, 2025
- Corporate clients · 6 to 8Aug 12, 2025 to Dec 9, 2025
- HNW clients · 109 to 102Aug 12, 2025 to Dec 9, 2025
- Individual clients · 409 to 370Aug 12, 2025 to Dec 9, 2025
- Pension plan clients · 10 to 8Aug 12, 2025 to Dec 9, 2025
- Employees · 11 to 8Aug 12, 2025 to Dec 9, 2025
- State-registered IARs · 11 to 8Aug 12, 2025 to Dec 9, 2025
- Discretionary RAUM · $283M to $297MAug 12, 2025 to Dec 9, 2025
- HNW RAUM · $170M to $167MAug 12, 2025 to Dec 9, 2025
- Individual RAUM · $88.7M to $92.9MAug 12, 2025 to Dec 9, 2025
- Non-discretionary RAUM · $13.6M to $3.0MAug 12, 2025 to Dec 9, 2025
- Pension RAUM · $30.7M to $30.0MAug 12, 2025 to Dec 9, 2025
- RAUM · $297M to $300MAug 12, 2025 to Dec 9, 2025
- Wrap assets (manager) · $110M to $131MAug 12, 2025 to Dec 9, 2025
- Advisory employees · 12 to 11Jan 22, 2025 to Aug 12, 2025
- BD registered reps · 11 to 10Jan 22, 2025 to Aug 12, 2025
- Employees · 12 to 11Jan 22, 2025 to Aug 12, 2025
- State-registered IARs · 12 to 11Jan 22, 2025 to Aug 12, 2025
- Other offices · 8 to 7Jan 22, 2025 to Aug 12, 2025
- Financial planning clients · 1-10 to 1-10Dec 23, 2024 to Jan 22, 2025
- Accounts · 742 to 788Dec 13, 2023 to Dec 23, 2024
- Corporate clients · 10 to 6Dec 13, 2023 to Dec 23, 2024
- HNW clients · 32 to 109Dec 13, 2023 to Dec 23, 2024
- Individual clients · 452 to 409Dec 13, 2023 to Dec 23, 2024
- Pension plan clients · 0 to 10Dec 13, 2023 to Dec 23, 2024
- Other offices · 9 to 8Dec 13, 2023 to Dec 23, 2024
- Discretionary RAUM · $227M to $283MDec 13, 2023 to Dec 23, 2024
- HNW RAUM · $64.1M to $170MDec 13, 2023 to Dec 23, 2024
- Individual RAUM · $176M to $88.7MDec 13, 2023 to Dec 23, 2024
- Non-discretionary RAUM · $29.5M to $13.6MDec 13, 2023 to Dec 23, 2024
- Pension RAUM · $1.1M to $30.7MDec 13, 2023 to Dec 23, 2024
- RAUM · $257M to $297MDec 13, 2023 to Dec 23, 2024
- Related insurance company · false to trueDec 13, 2023 to Dec 23, 2024
- Wrap assets (manager) · $0 to $110MDec 13, 2023 to Dec 23, 2024
- Wrap assets (sponsor) · $104M to $0Dec 13, 2023 to Dec 23, 2024
- Accounts · 665 to 742Dec 15, 2022 to Dec 13, 2023
- Charity clients · 0 to 5Dec 15, 2022 to Dec 13, 2023
Signals
6 dated events
- J•••••• R••••• K•••••• left W••••• A••••••• N••••••• I••• for M•• I•••••••• S•••••••• L•• (registered 2025-06-20)Jul 15, 2025 · Advisor changed firm · fact
- R••••• W•••• R•••• left W••••• A••••••• N••••••• I••• for M•• I•••••••• S•••••••• L•• (registered 2025-06-20)Jul 15, 2025 · Advisor changed firm · fact
- R•••••• P•••••• C•••• left W••••• A••••••• N••••••• I••• for M•• I•••••••• S•••••••• L•• (registered 2025-06-20)Jul 15, 2025 · Advisor changed firm · fact
- 3 advisors left W••••• A••••••• N••••••• I••• (Buffalo, NY) for M•• I•••••••• S•••••••• L•• on the same dayJul 15, 2025 · Team lift-out · derived
- H•••••• A•• A••••• left W••••• A••••••• N••••••• I••• for L•• F•••••••• L•• (registered 2024-07-19)May 13, 2024 · Advisor changed firm · fact
- C•••••••• W••••• A••••••• filed its initial SEC registration (Form ADV)Oct 12, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- mmandichak@laurelvalleyadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 814-255-8408reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- laurelvalleyadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 402-463-6769reportedpublic record, Form ADV, Apr 20, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $37.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026