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
Elgethun Capital Management
Latest filing Mar 27, 2026
First filing on the tape Nov 29, 2011 · 52 filings
SEC status approved since May 19, 2006
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$1.0B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
13
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
52 filings and snapshots on the tape
RAUM$1.1B as of Mar 27, 2026
Mar 16, 2012$100M then
HNW client RAUM$983M as of Mar 27, 2026
Mar 20, 2018$276M then
State-registered IARs (5.B.3)10 as of Mar 27, 2026
Mar 27, 20130 then
Employees (5.A)13 as of Mar 27, 2026
Mar 27, 20133 then
Private funds2 as of Mar 27, 2026
Mar 27, 20131 then
RAUM +29% over the last fiscal year+18% a year over threeIARs 6 to 10
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.6MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, publications, educational seminarsreportedItem 5.G
- Custody
- $119M, 88 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$983M86%
- Pooled investment vehicles$86.0M7.5%
- Individuals$38.0M3.3%
- Corporations and businesses$19.3M1.7%
- Charitable organizations$12.0M1.0%
- Pension and profit-sharing plans$1.2M0.1%
- Individual clients
- 117reported
- HNW clients
- 177reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 943reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $119M for 88 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.9 fund_share=0.08 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John A BarkerChartered Financial Analyst | Sioux Falls, Sd | Dec 8, 2011 | 15 y | 0 |
| Austin James Wagner | Sioux Falls, Sd | Mar 1, 2017 | 10 y | 0 |
| Patrick Ryan BairdCertified Financial Planner | Sioux Falls, Sd | Mar 23, 2017 | 10 y | 0 |
| Conrad Thomas AdamChartered Financial Analyst | Sioux Falls, Sd | Jun 3, 2022 | 12 y | 1 |
| Dustin Mitchell Pratt | Sioux Falls, Sd | Jan 29, 2024 | 16 y | 0 |
| Trevor Gary Sinclair | Sioux Falls, Sd | Nov 12, 2024 | 11 y | 0 |
| Pierce Hubert Mcdowell | Sioux Falls, Sd | May 27, 2025 | 11 y | 0 |
| Chase Thomas Harris | Sioux Falls, Sd | Aug 8, 2025 | 16 y | 0 |
| Chad David Hatch | Sioux Falls, Sd | Nov 12, 2025 | 28 y | 0 |
| Christian Joseph Schoppert | Sioux Falls, Sd | Feb 6, 2026 | 10 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
- Conrad Thomas Adam from Hirtle & Co., LLCJun 3, 2022 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Ecm Yield Fund II, LLC | Other Private Fund | $78.4M | 26 | Mar 26, 2024 |
| Palisades Fund, LP | Hedge Fund | $7.6M | 18 | Mar 27, 2013 |
Owners and control persons
Schedule A and B, latest filing
- A John Barker · President; Chief Compliance Officercontrolsince 02/2013 · owns 75% or more
Related persons
Schedule D 7.A
- Aegis Capital Partners LLCpooled vehicle sponsorn
- Elbark Capital LLCpooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Sioux Falls, Sd · principal | 10 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count surgeChange between filings · filing Mar 27, 2026advisory representatives (Item 5.B.3) moved from 6.0 to 10.0 (+67.0%) between the annual amendments of 2025-03-31 and 2026-03-27; the peer median change was 0.0% (999 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $1B to $5B (999) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 878 to 943Dec 22, 2025 to Mar 27, 2026
- Advisory employees · 9 to 10Dec 22, 2025 to Mar 27, 2026
- Charity clients · 6 to 7Dec 22, 2025 to Mar 27, 2026
- HNW clients · 144 to 177Dec 22, 2025 to Mar 27, 2026
- Individual clients · 109 to 117Dec 22, 2025 to Mar 27, 2026
- Assets in custody · $6.4M to $119MDec 22, 2025 to Mar 27, 2026
- Employees · 12 to 13Dec 22, 2025 to Mar 27, 2026
- Financial planning clients · 11-25 to 51-100Dec 22, 2025 to Mar 27, 2026
- State-registered IARs · 9 to 10Dec 22, 2025 to Mar 27, 2026
- Discretionary RAUM · $885M to $1.1BDec 22, 2025 to Mar 27, 2026
- HNW RAUM · $804M to $983MDec 22, 2025 to Mar 27, 2026
- Individual RAUM · $37.1M to $38.0MDec 22, 2025 to Mar 27, 2026
- Pension RAUM · $1.3M to $1.2MDec 22, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $13.4M to $86.0MDec 22, 2025 to Mar 27, 2026
- RAUM · $885M to $1.1BDec 22, 2025 to Mar 27, 2026
- Advisory employees · 8 to 9Sep 25, 2025 to Dec 22, 2025
- Employees · 11 to 12Sep 25, 2025 to Dec 22, 2025
- Employees · 10 to 11Aug 19, 2025 to Sep 25, 2025
- State-registered IARs · 8 to 9Aug 19, 2025 to Sep 25, 2025
- Advisory employees · 7 to 8May 30, 2025 to Aug 19, 2025
- Employees · 9 to 10May 30, 2025 to Aug 19, 2025
- State-registered IARs · 7 to 8May 30, 2025 to Aug 19, 2025
- Advisory employees · 6 to 7Mar 31, 2025 to May 30, 2025
- Employees · 8 to 9Mar 31, 2025 to May 30, 2025
- Financial planning clients · 11-25 to 11-25Mar 31, 2025 to May 30, 2025
- State-registered IARs · 6 to 7Mar 31, 2025 to May 30, 2025
- Accounts · 802 to 878Feb 3, 2025 to Mar 31, 2025
- Charity clients · 5 to 6Feb 3, 2025 to Mar 31, 2025
- HNW clients · 120 to 144Feb 3, 2025 to Mar 31, 2025
- Individual clients · 104 to 109Feb 3, 2025 to Mar 31, 2025
- Pooled vehicle clients · 1 to 2Feb 3, 2025 to Mar 31, 2025
- Assets in custody · $5.7M to $6.4MFeb 3, 2025 to Mar 31, 2025
- Discretionary RAUM · $787M to $885MFeb 3, 2025 to Mar 31, 2025
- HNW RAUM · $718M to $804MFeb 3, 2025 to Mar 31, 2025
- Individual RAUM · $37.8M to $37.1MFeb 3, 2025 to Mar 31, 2025
- Pension RAUM · $1.5M to $1.3MFeb 3, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $5.7M to $13.4MFeb 3, 2025 to Mar 31, 2025
- RAUM · $787M to $885MFeb 3, 2025 to Mar 31, 2025
- Advisory employees · 7 to 6Nov 26, 2024 to Feb 3, 2025
- Advisory activities · 6 to 7Nov 26, 2024 to Feb 3, 2025
Signals
2 dated events
- Elgethun Capital Management reported RAUM $1.1B, up 29% from $884.5M (2025-12-22 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- Elgethun Capital Management reported RAUM $695.3M, up 31% from $532.4M (2022-06-10 to 2023-03-22)Mar 22, 2023 · RAUM change · derived
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
- 605-367-1118reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 605-367-3336reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-828-3339reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/3308060reportedpublic record, Form ADV, Sep 17, 2026
- Website
- ELGETHUNCAPITALMANAGEMENT.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (605) 367-3336reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- elgethun.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- elgethun.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
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026