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
B•••••••• C•••••• G•••• L•••
Latest filing Sep 17, 2026
First filing on the tape Mar 8, 2021 · 18 filings
SEC status approved since Apr 8, 2021
RAUM
$174M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$173M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$57.9M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$174M as of Jul 13, 2026
Feb 22, 2022$135M then
HNW client RAUM$135M as of Jul 13, 2026
Feb 22, 2022$95.0M then
State-registered IARs (5.B.3)2 as of Jul 13, 2026
Feb 22, 20223 then
Employees (5.A)3 as of Jul 13, 2026
Feb 22, 20223 then
Private funds: no history
RAUM +18% over the last fiscal year+10% a year over threeIARs 2 to 2offices 1 to 2
Practice profile
derived from the filing of Sep 17, 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
- RAUM per advisor
- $57.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $453,317derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 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
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $58.5M, 67 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$135M78%
- Individuals$38.7M22%
- Charitable organizations$134,6280.1%
- Individual clients
- 113reported
- HNW clients
- 53reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 383reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $58.5M for 67 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• W•••••• S••••••Certified Financial Planner | Galena, Il | Feb 11, 1998 | 34 y | 1 |
| R•••••• E•••• H••• | Galena, Il | Jan 4, 2012 | 40 y | 2 |
| A••••• J•••• S•••••• | Stevens Point, Wi | Aug 24, 2026 | 12 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 headcount1 left over 36 months
Left, latest
- T••••• W• K••••••• to T••• R••••• C••••••Apr 16, 2024 · RIA to a state-registered adviser
- T••••• J••••• R•••• to L••••• A•••••••• L••Nov 21, 2003 · Other
Joined, latest
- T••••• W• K••••••• from T• A••••••••• I•••Aug 17, 2021 · Other
- R•••••• E•••• H••• from H••• S••••••••• I•••Jan 4, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• D••••• W•••••• · President/Chief Compliance Officercontrolsince 06/1995 · owns 75% or more
- S••••••• K••••• L• · Secretary & Treasurercontrolsince 06/1995 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Galena, Il · principal | 3 | 1 | 0 | ||
| Kansas City, Mo | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Edwardsville, IL1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 26-50 to 26-50Jul 13, 2026 to Sep 17, 2026
- Other offices · 1 to 2Jul 13, 2026 to Sep 17, 2026
- Related adviser · false to unsetJul 13, 2026 to Sep 17, 2026
- Related bank · false to unsetJul 13, 2026 to Sep 17, 2026
- Related broker-dealer · false to unsetJul 13, 2026 to Sep 17, 2026
- Related insurance company · false to unsetJul 13, 2026 to Sep 17, 2026
- Succession · false to unsetJul 13, 2026 to Sep 17, 2026
- Accounts · 373 to 383Feb 6, 2025 to Feb 13, 2026
- HNW clients · 42 to 53Feb 6, 2025 to Feb 13, 2026
- Individual clients · 124 to 113Feb 6, 2025 to Feb 13, 2026
- Assets in custody · $21.1M to $58.5MFeb 6, 2025 to Feb 13, 2026
- Discretionary RAUM · $144M to $170MFeb 6, 2025 to Feb 13, 2026
- HNW RAUM · $107M to $135MFeb 6, 2025 to Feb 13, 2026
- Individual RAUM · $40.0M to $38.7MFeb 6, 2025 to Feb 13, 2026
- Non-discretionary RAUM · $3.5M to $3.8MFeb 6, 2025 to Feb 13, 2026
- RAUM · $147M to $174MFeb 6, 2025 to Feb 13, 2026
- Accounts · 427 to 373Sep 5, 2024 to Feb 6, 2025
- Advisory employees · 3 to 2Sep 5, 2024 to Feb 6, 2025
- HNW clients · 43 to 42Sep 5, 2024 to Feb 6, 2025
- Individual clients · 136 to 124Sep 5, 2024 to Feb 6, 2025
- Assets in custody · $6.0M to $21.1MSep 5, 2024 to Feb 6, 2025
- Employees · 4 to 3Sep 5, 2024 to Feb 6, 2025
- Financial planning clients · 26-50 to 26-50Sep 5, 2024 to Feb 6, 2025
- State-registered IARs · 3 to 2Sep 5, 2024 to Feb 6, 2025
- Discretionary RAUM · $146M to $144MSep 5, 2024 to Feb 6, 2025
- HNW RAUM · $105M to $107MSep 5, 2024 to Feb 6, 2025
- Individual RAUM · $44.0M to $40.0MSep 5, 2024 to Feb 6, 2025
- Non-discretionary RAUM · $3.1M to $3.5MSep 5, 2024 to Feb 6, 2025
- RAUM · $149M to $147MSep 5, 2024 to Feb 6, 2025
- Assets in custody · unset to 6016710.0May 15, 2024 to Sep 5, 2024
- Custody of client assets · false to trueMay 15, 2024 to Sep 5, 2024
- Other offices · 2 to 1May 15, 2024 to Sep 5, 2024
- Accounts · 391 to 427Nov 6, 2023 to Jan 30, 2024
- HNW clients · 37 to 43Nov 6, 2023 to Jan 30, 2024
- Individual clients · 133 to 136Nov 6, 2023 to Jan 30, 2024
- Discretionary RAUM · $127M to $146MNov 6, 2023 to Jan 30, 2024
- HNW RAUM · $88.6M to $105MNov 6, 2023 to Jan 30, 2024
- Individual RAUM · $41.0M to $44.0MNov 6, 2023 to Jan 30, 2024
- Non-discretionary RAUM · $2.8M to $3.1MNov 6, 2023 to Jan 30, 2024
- RAUM · $130M to $149MNov 6, 2023 to Jan 30, 2024
Signals
2 dated events
- T••••• W• K••••••• left B•••••••• C•••••• G•••• L••• for T••• R••••• C•••••• (registered 2024-04-19)Apr 16, 2024 · Advisor changed firm · fact
- B•••••••• C•••••• G•••• L••• filed its initial SEC registration (Form ADV)Mar 8, 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 email
- i•••@b•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 815-777-0600reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 815-777-0661reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- B••••••••CAPITALGROUP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 815-777-0600reportedpublic record, Form ADV, Sep 17, 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
- $57.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026