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•••••••• F•••••••• A•••••••• I•••
Latest filing Feb 24, 2026
First filing on the tape Feb 3, 2012 · 22 filings
SEC status approved since Oct 1, 2021
RAUM
$230M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
88%
$203M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$76.7M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$230M as of Feb 24, 2026
Feb 16, 2022$149M then
HNW client RAUM$161M as of Feb 24, 2026
Feb 16, 2022$57.2M then
State-registered IARs (5.B.3)0 as of Feb 24, 2026
Feb 16, 20220 then
Employees (5.A)3 as of Feb 24, 2026
Feb 16, 20223 then
Private funds: no history
RAUM +23% over the last fiscal year+20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 24, 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
- i••••••••• 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
- $76.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 128derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $589,921derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- is an insurance broker or agent (6.A.6)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$161M70%
- Individuals$41.4M18%
- Pension and profit-sharing plans$26.3M11%
- Charitable organizations$1.1M0.5%
- Individual clients
- 245reported
- HNW clients
- 138reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 390reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.12 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•••• B•••• D••••Certified Financial Planner | Deer Park, Il | Oct 22, 1997 | 34 y | 1 |
| D••••• J••• M•••••Certified Financial Planner | Deer Park, Il | Jul 2, 2014 | 39 y | 1 |
| M••••• M•••••• K•••••Certified Financial Planner | Deer Park, Il | Apr 22, 2015 | 14 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
none on the tape
Joined, latest
- D••••• J••• M••••• from I••••••••• F•••••••• G••••• L••Jul 2, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• J••••• B•••• · Chief Compliance Officercontrolsince 02/1984 · 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 |
|---|---|---|---|---|---|
| Deer Park, Il · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Feb 24, 2026accounts (Item 5.F.2.f) moved from 618.0 to 390.0 (-37.0%) between the annual amendments of 2025-02-20 and 2026-02-24; the peer median change was +5.0% (3686 comparable advisers, 4.0th percentile of changes)peers: WEALTH_I•••••••••, $100M to $500M (3,686) · 4.3% percentile
What changed
consecutive filings, newest first
- Accounts · 618 to 390Feb 20, 2025 to Feb 24, 2026
- Charity clients · 1.0 to unsetFeb 20, 2025 to Feb 24, 2026
- HNW clients · 93 to 138Feb 20, 2025 to Feb 24, 2026
- Individual clients · 261 to 245Feb 20, 2025 to Feb 24, 2026
- Pension plan clients · 8 to 6Feb 20, 2025 to Feb 24, 2026
- Financial planning clients · 11-25 to 101-250Feb 20, 2025 to Feb 24, 2026
- Discretionary RAUM · $158M to $204MFeb 20, 2025 to Feb 24, 2026
- HNW RAUM · $108M to $161MFeb 20, 2025 to Feb 24, 2026
- Individual RAUM · $49.7M to $41.4MFeb 20, 2025 to Feb 24, 2026
- Non-discretionary RAUM · $28.2M to $26.3MFeb 20, 2025 to Feb 24, 2026
- Pension RAUM · $28.0M to $26.3MFeb 20, 2025 to Feb 24, 2026
- RAUM · $187M to $230MFeb 20, 2025 to Feb 24, 2026
- Accounts · 573 to 618Mar 29, 2024 to Feb 20, 2025
- Charity clients · 5 to 1Mar 29, 2024 to Feb 20, 2025
- HNW clients · 165 to 93Mar 29, 2024 to Feb 20, 2025
- Individual clients · 379 to 261Mar 29, 2024 to Feb 20, 2025
- Pension plan clients · 18 to 8Mar 29, 2024 to Feb 20, 2025
- Financial planning clients · 11-25 to 11-25Mar 29, 2024 to Feb 20, 2025
- Discretionary RAUM · $133M to $158MMar 29, 2024 to Feb 20, 2025
- HNW RAUM · $92.2M to $108MMar 29, 2024 to Feb 20, 2025
- Individual RAUM · $41.8M to $49.7MMar 29, 2024 to Feb 20, 2025
- Non-discretionary RAUM · $29.8M to $28.2MMar 29, 2024 to Feb 20, 2025
- Pension RAUM · $26.4M to $28.0MMar 29, 2024 to Feb 20, 2025
- RAUM · $163M to $187MMar 29, 2024 to Feb 20, 2025
- Accounts · 207 to 573Jan 31, 2024 to Feb 20, 2024
- Charity clients · 1 to 5Jan 31, 2024 to Feb 20, 2024
- HNW clients · 50 to 165Jan 31, 2024 to Feb 20, 2024
- Individual clients · 148 to 379Jan 31, 2024 to Feb 20, 2024
- Pension plan clients · 8 to 18Jan 31, 2024 to Feb 20, 2024
- Financial planning clients · 1-10 to 11-25Jan 31, 2024 to Feb 20, 2024
- Discretionary RAUM · $111M to $133MJan 31, 2024 to Feb 20, 2024
- HNW RAUM · $83.2M to $92.2MJan 31, 2024 to Feb 20, 2024
- Individual RAUM · $27.5M to $41.8MJan 31, 2024 to Feb 20, 2024
- Non-discretionary RAUM · $22.7M to $29.8MJan 31, 2024 to Feb 20, 2024
- Pension RAUM · $22.7M to $26.4MJan 31, 2024 to Feb 20, 2024
- RAUM · $134M to $163MJan 31, 2024 to Feb 20, 2024
- Accounts · 496 to 207Oct 18, 2022 to Mar 14, 2023
- Charity clients · 0 to 1Oct 18, 2022 to Mar 14, 2023
- HNW clients · 49 to 50Oct 18, 2022 to Mar 14, 2023
- Individual clients · 188 to 148Oct 18, 2022 to Mar 14, 2023
Signals
1 dated events
- W•••••••• F•••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Apr 28, 2021 · 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 phone
- 847-726-9600reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- woodfieldfinancialadvisors.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 847-726-9600reportedpublic record, Form ADV, Feb 24, 2026
- Team page
- woodfieldfa.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- $76.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026