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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A•••••••• W••••• M•••••••••
Legal name A•••••••• C•••••• M••••••••• I•••
Latest filing Mar 18, 2026
First filing on the tape Apr 10, 2012 · 37 filings
SEC status approved since Mar 11, 2014
RAUM
$236M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$210M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$78.6M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$236M as of Mar 18, 2026
Apr 10, 2012$42.1M then
HNW client RAUM$143M as of Mar 18, 2026
Mar 27, 2018$133M then
State-registered IARs (5.B.3)3 as of Mar 18, 2026
Feb 11, 20152 then
Employees (5.A)5 as of Mar 18, 2026
Feb 11, 20155 then
Private funds: no history
RAUM +18% over the last fiscal year+18% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 18, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $78.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $314,591derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
- Custody
- $25.3M, 92 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$143M61%
- Individuals$67.2M28%
- Charitable organizations$25.7M11%
- Individual clients
- 165reported
- HNW clients
- 59reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 750reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $25.3M for 92 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• F•••• L••••••• | A•••••••• Heights, Il | Aug 7, 2000 | 38 y | 0 |
| J••• T••••• H••••••• | A•••••••• Heights, Il | Feb 14, 2011 | 15 y | 0 |
| G••••• W•••• H••••• | A•••••••• Heights, Il | Sep 9, 2022 | 15 y | 3 |
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
- A••• T••••••••• to N••••••••• M••••• I••••••••• S•••••••••Feb 5, 2020 · Other
- E••• G• S••••• to C•••• I••••••••• S••••••• C••••Oct 26, 2007 · Other
- S•••• M•••••• P••• to C•••••• A••••••• L••Sep 26, 2007 · Other
- M•••••• P••• M•••• to W•••• E••••• G••••• I•••Dec 31, 2005 · Other
Joined, latest
- G••••• W•••• H••••• from B• R•••• W••••• A•••••••• I•••Sep 9, 2022 · Affiliated broker-dealer or bank to independent RIA
- A••• T••••••••• from W•••• F•••• A•••••••Sep 25, 2018 · Wirehouse to independent RIA
- M•••••• P••• M•••• from A••••••••• A•••••• S•••••••• I•••Jul 9, 2003 · Other
- E••• G• S••••• from W•••• E••••• G••••• I•••Jun 13, 2003 · Other
- S•••• M•••••• P••• from W•••• E••••• G••••• I•••Aug 15, 2002 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• J•••• T••••• · Chief Compliance Officer And Sr. Portfolio Managercontrolsince 07/2016 · owns 10% to 25%
- L•••••••• J•••••• F•••• · President, Ownercontrolsince 07/2004 · owns 75% or more
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 |
|---|---|---|---|---|---|
| A•••••••• Heights, Il · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 747 to 750Nov 6, 2025 to Mar 18, 2026
- HNW clients · 58 to 59Nov 6, 2025 to Mar 18, 2026
- Individual clients · 163 to 165Nov 6, 2025 to Mar 18, 2026
- Assets in custody · $7.0M to $25.3MNov 6, 2025 to Mar 18, 2026
- Employees · 3 to 5Nov 6, 2025 to Mar 18, 2026
- Discretionary RAUM · $200M to $236MNov 6, 2025 to Mar 18, 2026
- HNW RAUM · $120M to $143MNov 6, 2025 to Mar 18, 2026
- Individual RAUM · $57.5M to $67.2MNov 6, 2025 to Mar 18, 2026
- RAUM · $200M to $236MNov 6, 2025 to Mar 18, 2026
- Financial planning clients · 0 to 0Mar 14, 2025 to Nov 6, 2025
- Accounts · 745 to 747Mar 21, 2024 to Mar 14, 2025
- Advisory employees · 4 to 3Mar 21, 2024 to Mar 14, 2025
- Advisory activities · 6 to 7Mar 21, 2024 to Mar 14, 2025
- Charity clients · unset to 2.0Mar 21, 2024 to Mar 14, 2025
- HNW clients · 61 to 58Mar 21, 2024 to Mar 14, 2025
- Individual clients · 164 to 163Mar 21, 2024 to Mar 14, 2025
- Assets in custody · $12.7M to $7.0MMar 21, 2024 to Mar 14, 2025
- Employees · 4 to 3Mar 21, 2024 to Mar 14, 2025
- State-registered IARs · 4 to 3Mar 21, 2024 to Mar 14, 2025
- Discretionary RAUM · $155M to $200MMar 21, 2024 to Mar 14, 2025
- HNW RAUM · $98.2M to $120MMar 21, 2024 to Mar 14, 2025
- Individual RAUM · $49.3M to $57.5MMar 21, 2024 to Mar 14, 2025
- RAUM · $155M to $200MMar 21, 2024 to Mar 14, 2025
- Accounts · 714 to 745Dec 19, 2023 to Mar 21, 2024
- Charity clients · 1.0 to unsetDec 19, 2023 to Mar 21, 2024
- HNW clients · 59 to 61Dec 19, 2023 to Mar 21, 2024
- Individual clients · 171 to 164Dec 19, 2023 to Mar 21, 2024
- Assets in custody · $13.8M to $12.7MDec 19, 2023 to Mar 21, 2024
- State-registered IARs · 3 to 4Dec 19, 2023 to Mar 21, 2024
- Discretionary RAUM · $144M to $155MDec 19, 2023 to Mar 21, 2024
- HNW RAUM · $95.4M to $98.2MDec 19, 2023 to Mar 21, 2024
- Individual RAUM · $47.3M to $49.3MDec 19, 2023 to Mar 21, 2024
- RAUM · $144M to $155MDec 19, 2023 to Mar 21, 2024
- Accounts · 516 to 714Mar 30, 2022 to Mar 29, 2023
- Advisory activities · 5 to 6Mar 30, 2022 to Mar 29, 2023
- Charity clients · unset to 1.0Mar 30, 2022 to Mar 29, 2023
- HNW clients · 45 to 59Mar 30, 2022 to Mar 29, 2023
- Individual clients · 110 to 171Mar 30, 2022 to Mar 29, 2023
- Assets in custody · $17.7M to $13.8MMar 30, 2022 to Mar 29, 2023
- Employees · 5 to 4Mar 30, 2022 to Mar 29, 2023
Signals
2 dated events
- N/A I••• B•••••• (It Manager) no longer on Schedule A of A•••••••• W••••• M••••••••• (listed 2019-10-22, absent 2020-05-12)May 12, 2020 · Control person left · inference
- A•••••••• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Feb 28, 2014 · 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
- Firm profile
- linkedin.com/company/arlington-wealth-mngmtreportedpublic record, Form ADV, Sep 18, 2026
- Website
- arlington-wealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 847-670-4030reportedpublic record, Form ADV, Mar 18, 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
- $78.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026