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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Former SEC-registered adviser
F••••• W••••• C••••••••• I•••
Latest filing Dec 9, 2022
First filing on the tape Mar 27, 2012 · 8 filings
RAUM
$44.4M
reported, Item 5.F
Discretionary
65%
of RAUM
Private clients
67%
$29.9M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$22.2M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$14.5M gross assets
History
8 filings and snapshots on the tape
RAUM$44.4M as of Dec 9, 2022
Mar 27, 2012$70.6M then
HNW client RAUM$23.5M as of Dec 9, 2022
Jun 28, 2022$83.1M then
State-registered IARs (5.B.3)2 as of Dec 9, 2022
Jun 28, 20223 then
Employees (5.A)3 as of Dec 9, 2022
Jun 28, 20226 then
Private funds2 as of Dec 9, 2022
Mar 27, 20121 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Dec 9, 2022; every figure names its basis
- RAUM per advisor
- $22.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $535,282derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 65%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $14.5M, 50 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)
- 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$23.5M53%
- Pooled investment vehicles$14.5M33%
- Individuals$6.5M15%
- Individual clients
- 39reported
- HNW clients
- 14reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 83reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $14.5M for 50 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• D•••••• M•••••Chartered Financial Consultant | Chicago, Il | Aug 3, 2005 | 28 y | 2 |
| C•••• L•• M•••••Certified Financial Planner, Chartered Financial Consultant | Chicago, Il | Jan 9, 2025 | 31 y | 1 |
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
- J••••• C•••••• K•• to F•••••••• L••• F••••• L••Jun 17, 2021 · Other
- H••••• M••••• H••••••••• to H••••••••• W••••• M••••••••• L••Oct 20, 2014 · Other
Joined, latest
- C•••• L•• M••••• from F••••• W••••• C••••••••• I•••Jan 9, 2025 · Other
- J••••• C•••••• K•• from A•••••••• W••••• P•••••••• L••Mar 5, 2021 · Other
- P•••• D•••••• M••••• from N•• A•••••• S•••••••• L••Aug 3, 2005 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F••• O••••••••• F•••• L• | Other Private Fund | $8.5M | 42 | Mar 27, 2012 |
| D••••••••• A••••••••• I••••• F•••• L• | Other Private Fund | $6.0M | 37 | Jun 28, 2022 |
Owners and control persons
Schedule A and B, latest filing
- M•••••• C••••• L•• · President/Chief Compliance Officercontrolsince 09/2003 · owns 75% or more
Related persons
Schedule D 7.A
- F••••••• W••••• A•••••••• L••investment advisernRAUM $1.4B
- F••• O••••••••• F••• M••••••• L••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Jose, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 224 to 83Oct 26, 2022 to Dec 9, 2022
- HNW clients · 38 to 14Oct 26, 2022 to Dec 9, 2022
- Individual clients · 74 to 39Oct 26, 2022 to Dec 9, 2022
- Assets in custody · $13.3M to $14.5MOct 26, 2022 to Dec 9, 2022
- Employees · 6 to 3Oct 26, 2022 to Dec 9, 2022
- Insurance-licensed employees · 1 to 3Oct 26, 2022 to Dec 9, 2022
- State-registered IARs · 3 to 2Oct 26, 2022 to Dec 9, 2022
- Discretionary RAUM · $38.2M to $28.8MOct 26, 2022 to Dec 9, 2022
- HNW RAUM · $83.1M to $23.5MOct 26, 2022 to Dec 9, 2022
- Individual RAUM · $19.9M to $6.5MOct 26, 2022 to Dec 9, 2022
- Non-discretionary RAUM · $77.1M to $15.6MOct 26, 2022 to Dec 9, 2022
- Pooled vehicle RAUM · $12.3M to $14.5MOct 26, 2022 to Dec 9, 2022
- RAUM · $115M to $44.4MOct 26, 2022 to Dec 9, 2022
- Assets in custody · $12.3M to $13.3MJun 28, 2022 to Oct 26, 2022
- Related adviser · false to trueJun 28, 2022 to Oct 26, 2022
- Accounts · 121 to 224Jun 19, 2012 to Jun 28, 2022
- Advisory employees · unset to 3.0Jun 19, 2012 to Jun 28, 2022
- HNW clients · unset to 38.0Jun 19, 2012 to Jun 28, 2022
- Individual clients · unset to 74.0Jun 19, 2012 to Jun 28, 2022
- Pooled vehicle clients · unset to 2.0Jun 19, 2012 to Jun 28, 2022
- Assets in custody · $4.7M to $12.3MJun 19, 2012 to Jun 28, 2022
- Employees · unset to 6.0Jun 19, 2012 to Jun 28, 2022
- Insurance-licensed employees · 0 to 1Jun 19, 2012 to Jun 28, 2022
- State-registered IARs · unset to 3.0Jun 19, 2012 to Jun 28, 2022
- Other offices · unset to 0.0Jun 19, 2012 to Jun 28, 2022
- Private funds · 1 to 2Jun 19, 2012 to Jun 28, 2022
- Discretionary RAUM · $4.7M to $38.2MJun 19, 2012 to Jun 28, 2022
- HNW RAUM · unset to 83101491.0Jun 19, 2012 to Jun 28, 2022
- Individual RAUM · unset to 19859416.0Jun 19, 2012 to Jun 28, 2022
- Non-discretionary RAUM · $65.9M to $77.1MJun 19, 2012 to Jun 28, 2022
- Pooled vehicle RAUM · unset to 12343490.0Jun 19, 2012 to Jun 28, 2022
- RAUM · $70.6M to $115MJun 19, 2012 to Jun 28, 2022
Signals
1 dated events
- F••••• W••••• C••••••••• I••• filed its initial SEC registration (Form ADV)Jun 28, 2022 · 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/family-wealth-consulting-groupreportedpublic record, Form ADV, Sep 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $22.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026