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.
SEC-registered adviser
Shankervalleau Wealth Advisors, Inc.
Latest filing Mar 24, 2026
First filing on the tape Mar 23, 2012 · 24 filings
SEC status approved since Mar 26, 2004
RAUM
$645M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$635M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$129M
derived; firm RAUM over IAPD count
Employees
8
6 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$645M as of Mar 24, 2026
Mar 23, 2012$105M then
HNW client RAUM$613M as of Mar 24, 2026
Mar 8, 2018$271M then
State-registered IARs (5.B.3)6 as of Mar 24, 2026
Mar 23, 20120 then
Employees (5.A)8 as of Mar 24, 2026
Feb 22, 20135 then
Private funds: no history
RAUM +17% over the last fiscal year+19% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $129MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $955,933derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $643MreportedItem 5.I
- Custody
- $219M, 116 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$613M95%
- Individuals$21.4M3.3%
- Charitable organizations$7.9M1.2%
- Pension and profit-sharing plans$2.7M0.4%
- Individual clients
- 73reported
- HNW clients
- 130reported
- Pension plan clients
- 1reported
- Charitable clients
- 4reported
- Accounts
- 675reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $219M for 116 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John David ValleauCertified Financial Planner | Skokie, Il | Dec 1, 1997 | 41 y | 0 |
| Janice Jean HennessyCertified Financial Planner | Skokie, Il | Feb 9, 2015 | 12 y | 0 |
| Kathleen Marie ValleauCertified Financial Planner | Skokie, Il | Feb 13, 2020 | 10 y | 0 |
| Adam Owen KinsingerCertified Financial Planner | Skokie, Il | Nov 10, 2023 | 11 y | 0 |
| Jennifer WytonCertified Financial Planner | Skokie, Il | Jul 1, 2024 | 16 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- Brian Matthew Schaeffer to Impact FinancialJul 31, 2026 · RIA to a state-registered adviser
- Philip Timothy Johnston to The Mather Group, LLCMar 7, 2022 · RIA to RIA
- Matthew James Barnard to Sullivan Mermel, Inc.May 4, 2020 · RIA to a state-registered adviser
- Michael Todd Powers to Verus Financial PartnersAug 12, 2014 · Other
Joined, latest
- Matthew James Barnard from Strategic Advisers LLCJan 29, 2018 · Other
- Brian Matthew Schaeffer from Cambridge Investment Research Advisors, Inc.Sep 21, 2015 · Other
- Michael Todd Powers from Ameriprise Financial Services, LLCJun 4, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- David John Valleau · President/Chief Compliance Officercontrolsince 08/1992 · owns less than 5%
- David John Valleau · Trusteecontrolsince 06/2024 · owns 75% or more of John D. Valleau, Jr. Declaration Of Trust Dtd 12-9-22
Entity owners
- John D. Valleau, Jr. Declaration Of Trust Dtd 12-9-22 · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- Shankervalleau Accountants, Inc.insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Skokie, Il · principal | 5 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 649 to 675Mar 21, 2025 to Mar 24, 2026
- Charity clients · 3 to 4Mar 21, 2025 to Mar 24, 2026
- HNW clients · 122 to 130Mar 21, 2025 to Mar 24, 2026
- Individual clients · 94 to 73Mar 21, 2025 to Mar 24, 2026
- Pension plan clients · 3 to 1Mar 21, 2025 to Mar 24, 2026
- Assets in custody · $236M to $219MMar 21, 2025 to Mar 24, 2026
- Employees · 7 to 8Mar 21, 2025 to Mar 24, 2026
- Discretionary RAUM · $545M to $643MMar 21, 2025 to Mar 24, 2026
- HNW RAUM · $513M to $613MMar 21, 2025 to Mar 24, 2026
- Individual RAUM · $29.9M to $21.4MMar 21, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $5.4M to $2.7MMar 21, 2025 to Mar 24, 2026
- Pension RAUM · $5.4M to $2.7MMar 21, 2025 to Mar 24, 2026
- RAUM · $550M to $645MMar 21, 2025 to Mar 24, 2026
- Accounts · 635 to 649Jul 3, 2024 to Mar 21, 2025
- Advisory employees · 7 to 6Jul 3, 2024 to Mar 21, 2025
- Charity clients · 2 to 3Jul 3, 2024 to Mar 21, 2025
- HNW clients · 124 to 122Jul 3, 2024 to Mar 21, 2025
- Individual clients · 92 to 94Jul 3, 2024 to Mar 21, 2025
- Assets in custody · unset to 236101162.0Jul 3, 2024 to Mar 21, 2025
- Custody of client assets · false to trueJul 3, 2024 to Mar 21, 2025
- Employees · 8 to 7Jul 3, 2024 to Mar 21, 2025
- Financial planning clients · 101-250 to 101-250Jul 3, 2024 to Mar 21, 2025
- State-registered IARs · 7 to 6Jul 3, 2024 to Mar 21, 2025
- Discretionary RAUM · $491M to $545MJul 3, 2024 to Mar 21, 2025
- HNW RAUM · $462M to $513MJul 3, 2024 to Mar 21, 2025
- Individual RAUM · $28.7M to $29.9MJul 3, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $4.7M to $5.4MJul 3, 2024 to Mar 21, 2025
- Pension RAUM · $4.7M to $5.4MJul 3, 2024 to Mar 21, 2025
- RAUM · $496M to $550MJul 3, 2024 to Mar 21, 2025
- Wrap assets (manager) · $490M to $0Jul 3, 2024 to Mar 21, 2025
- Wrap assets (sponsor) · $490M to $0Jul 3, 2024 to Mar 21, 2025
- Accounts · 618 to 635Apr 10, 2024 to Jul 3, 2024
- Advisory employees · 6 to 7Apr 10, 2024 to Jul 3, 2024
- HNW clients · 121 to 124Apr 10, 2024 to Jul 3, 2024
- Individual clients · 86 to 92Apr 10, 2024 to Jul 3, 2024
- State-registered IARs · 6 to 7Apr 10, 2024 to Jul 3, 2024
- Discretionary RAUM · $444M to $491MApr 10, 2024 to Jul 3, 2024
- HNW RAUM · $417M to $462MApr 10, 2024 to Jul 3, 2024
- Individual RAUM · $26.6M to $28.7MApr 10, 2024 to Jul 3, 2024
- Non-discretionary RAUM · $4.3M to $4.7MApr 10, 2024 to Jul 3, 2024
Signals
3 dated events
- Brian Matthew Schaeffer left Shankervalleau Wealth Advisors, Inc. for Impact Financial (registered 2026-08-26)Jul 31, 2026 · Advisor changed firm · fact
- H. Lawrence Shanker (Shareholder) no longer on Schedule A of Shankervalleau Wealth Advisors, Inc. (listed 2024-04-10, absent 2024-07-03)Jul 3, 2024 · Control person left · inference
- Philip Timothy Johnston left Shankervalleau Wealth Advisors, Inc. for The Mather Group, Llc (registered 2022-03-10)Mar 7, 2022 · Advisor changed firm · 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
- info@shankervalleau.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 847-475-2900reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/shankervalleau-wealth-advisors-increportedpublic record, Form ADV, Sep 18, 2026
- Website
- SHANKERVALLEAU.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 847-475-2900reportedpublic record, Form ADV, Mar 24, 2026
- Team page
- shankervalleau.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $129Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026