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

Independent Solutions Wealth Management, LLC

Independent wealth managerWilliamsville, New YorkCRD 144733SEC 801-69708websiteIAPD
Latest filing Mar 24, 2026
First filing on the tape Mar 5, 2012 · 47 filings
SEC status approved since Nov 10, 2008
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$1.5B individuals and HNW
Advisors
30
registered through the firm on IAPD
RAUM per advisor
$51.2M
derived; firm RAUM over IAPD count
Employees
30
26 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$1.5B as of Mar 24, 2026
Mar 5, 2012$106M then
HNW client RAUM$562M as of Mar 24, 2026
Mar 27, 2018$63.0M then
State-registered IARs (5.B.3)25 as of Mar 24, 2026
Mar 5, 20133 then
Employees (5.A)30 as of Mar 24, 2026
Mar 5, 20136 then
Private funds: no history
RAUM +25% over the last fiscal year+22% a year over threeIARs 23 to 25offices 1 to 3
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
RAUM per advisor
$51.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
142derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$213,566derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
7.5derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+25%derivedbetween the last two annual amendments
Advisor growth, one year
+8.7%derivedItem 5.B.3 between annual amendments
Client growth, one year
+14%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
Custody
$136M, 237 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
  • Individuals$945M61%
  • High-net-worth individuals$562M37%
  • Corporations and businesses$26.7M1.7%
  • Charitable organizations$4.4M0.3%
Individual clients
3,997reported
HNW clients
268reported
Pension plan clients
0reported
Charitable clients
3reported
Accounts
7,198reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$136M for 237 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=24.0derived
Advisors registered through the firm
30 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Daniel David NeimanSan Diego, CaNov 10, 201025 y1
Jay Robert BlanchardWilliamsville, NySep 3, 201524 y1
Susannah M RyanWilliamsville, NySep 3, 201517 y1
Glenn Charles WigglePalm Beach Gardens, Fl Sep 3, 201530 y2
Michael Patrick HoeflichWilliamsville, NySep 10, 201514 y1
Michael Steven LomasWilliamsville, NySep 25, 201530 y1
Ronald James ReinsteinJupiter, Fl Oct 9, 201520 y1
Michael F. ZimmerWilliamsville, NyNov 17, 201516 y1
David Patrick MariacherMerritt Island, Fl Aug 24, 201731 y0
John Edward ThurChartered Financial AnalystWilliamsville, NyNov 16, 202132 y0
Lauren MuscatoWilliamsville, NyAug 19, 202210 y0
Andrew Cassedy MillerCertified Financial PlannerMissouri City, Tx Sep 9, 202225 y10
Anthony SzeflerWilliamsville, NyDec 16, 202210 y1
Michael Frederick BienBeaverton, OrJun 27, 202322 y4
Russell E GaiserCertified Financial PlannerWilliamsville, NyAug 31, 202318 y1
Jack Thomas HaxtonWilliamsville, NyJan 22, 202412 y0
David Franklin MooreCertified Financial PlannerWillaimsville, Ny Apr 17, 202441 y3
Micah MooreWilliamsville, Ny Apr 18, 202412 y1
Brian M WebbWilliamsville, NyNov 11, 202417 y0
Ronald J WaskowWilliamsville, NyJan 6, 202511 y1
Michael Richard ShaverCertified Financial PlannerWilliamsville, NyJan 6, 202534 y2
Rohn Harrison PierceWilliamsville, NyJan 8, 202512 y1
Stephen Francis GriskoWilliamsville, NyJan 24, 202531 y1
Michael Christopher ShaverWilliamsville, NySep 11, 202513 y0
Michael Anthony SperrazzaWilliamsville, Ny Dec 10, 202512 y1
Alexis Viroya Browne RobertsChartered Financial ConsultantMontgomery, Tx Mar 10, 202613 y2
Jason William BrowneChartered Financial ConsultantMontgomery, Tx Mar 10, 202631 y3
Mark Adam VuskovWilliamsville, Ny Apr 21, 202625 y5
James Anthony CookEdisto Island, Sc Jun 18, 202622 y2
Jason Allen StewartNewberg, Or Aug 12, 202619 y4
Advisor movement
2 left, 5 joined in 12 months
net +3 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 6.7% of current headcount2 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Steven Michael Lomas · Managing Membercontrol
    since 08/2007 · owns 25% to 50%
  • Charles Glenn Wiggle · Managing Member/Chief Compliance Officercontrol
    since 08/2007 · owns 25% to 50%
  • David Daniel Neiman · Ownercontrol
    since 04/2022 · owns 75% or more of Big Time & Associates, Inc.
  • F. Michael Zimmer · Chief Operations Officer
    since 02/2017 · owns less than 5%
Entity owners
  • Big Time & Associates, Inc. · Managing Member
    direct · owns 25% to 50%
Related persons
Schedule D 7.A
Advisers that list Independent Solutions Wealth Management, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Williamsville, Ny · principal2860
Montgomery, Tx220
Marshall, Tx001
Rochester, Ny001
Offices
Schedule D 1.F, the 25 largest
  • Jupiter, FL2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
  • control person changedChange between filings · filing Mar 24, 2026
    NEIMAN, DANIEL, DAVID (OWNER) left Schedule A between the filings of 2022-06-10 and 2026-03-24
    peers: independent wealth managers, $1B to $5B (1,360)
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 6,427 to 7,198
    Oct 28, 2025 to Mar 24, 2026
  • Advisory employees · 23 to 26
    Oct 28, 2025 to Mar 24, 2026
  • BD registered reps · 21 to 24
    Oct 28, 2025 to Mar 24, 2026
  • HNW clients · 217 to 268
    Oct 28, 2025 to Mar 24, 2026
  • Individual clients · 3,537 to 3,997
    Oct 28, 2025 to Mar 24, 2026
  • Assets in custody · $101M to $136M
    Oct 28, 2025 to Mar 24, 2026
  • Employees · 28 to 30
    Oct 28, 2025 to Mar 24, 2026
  • Financial planning clients · 1-10 to 0
    Oct 28, 2025 to Mar 24, 2026
  • State-registered IARs · 23 to 25
    Oct 28, 2025 to Mar 24, 2026
  • Other offices · 1 to 3
    Oct 28, 2025 to Mar 24, 2026
  • Discretionary RAUM · $1.2B to $1.5B
    Oct 28, 2025 to Mar 24, 2026
  • HNW RAUM · $461M to $562M
    Oct 28, 2025 to Mar 24, 2026
  • Individual RAUM · $748M to $945M
    Oct 28, 2025 to Mar 24, 2026
  • RAUM · $1.2B to $1.5B
    Oct 28, 2025 to Mar 24, 2026
  • Accounts · 5,873 to 6,427
    Oct 25, 2024 to Mar 27, 2025
  • Advisory employees · 16 to 23
    Oct 25, 2024 to Mar 27, 2025
  • BD registered reps · 13 to 21
    Oct 25, 2024 to Mar 27, 2025
  • Charity clients · 6 to 3
    Oct 25, 2024 to Mar 27, 2025
  • Corporate clients · 14 to 17
    Oct 25, 2024 to Mar 27, 2025
  • HNW clients · 157 to 217
    Oct 25, 2024 to Mar 27, 2025
  • Individual clients · 3,493 to 3,537
    Oct 25, 2024 to Mar 27, 2025
  • Pension plan clients · unset to 0.0
    Oct 25, 2024 to Mar 27, 2025
  • Pooled vehicle clients · unset to 0.0
    Oct 25, 2024 to Mar 27, 2025
  • Assets in custody · $50.1M to $101M
    Oct 25, 2024 to Mar 27, 2025
  • Employees · 21 to 28
    Oct 25, 2024 to Mar 27, 2025
  • Financial planning clients · 1-10 to 1-10
    Oct 25, 2024 to Mar 27, 2025
  • State-registered IARs · 16 to 23
    Oct 25, 2024 to Mar 27, 2025
  • Discretionary RAUM · $954M to $1.2B
    Oct 25, 2024 to Mar 27, 2025
  • HNW RAUM · $357M to $461M
    Oct 25, 2024 to Mar 27, 2025
  • Individual RAUM · $581M to $748M
    Oct 25, 2024 to Mar 27, 2025
  • Pension RAUM · unset to 0.0
    Oct 25, 2024 to Mar 27, 2025
  • Pooled vehicle RAUM · unset to 0.0
    Oct 25, 2024 to Mar 27, 2025
  • RAUM · $954M to $1.2B
    Oct 25, 2024 to Mar 27, 2025
  • Accounts · 5,408 to 5,873
    Nov 9, 2023 to Mar 23, 2024
  • Advisory employees · 14 to 16
    Nov 9, 2023 to Mar 23, 2024
  • BD registered reps · 8 to 13
    Nov 9, 2023 to Mar 23, 2024
  • Charity clients · unset to 6.0
    Nov 9, 2023 to Mar 23, 2024
  • HNW clients · 119 to 157
    Nov 9, 2023 to Mar 23, 2024
  • Individual clients · 3,660 to 3,493
    Nov 9, 2023 to Mar 23, 2024
  • Assets in custody · unset to 50126607.0
    Nov 9, 2023 to Mar 23, 2024
Signals
12 dated events
  • Pina Formicola left Independent Solutions Wealth Management, Llc for Lpl Financial Llc (registered 2026-06-26)
    Jul 8, 2026 · Advisor changed firm · fact
  • Independent Solutions Wealth Management, Llc reported RAUM $1.5B, up 25% from $1.2B (2025-10-28 to 2026-03-24)
    Mar 24, 2026 · RAUM change · derived
  • 2 advisors left Alexis Investment Partners, LLC (Montgomery, TX) for Independent Solutions Wealth Management, LLC on the same day
    Mar 6, 2026 · Team lift-out · derived
  • John L Shockey left Independent Solutions Wealth Management, Llc for Strategic Asset Management Llc. (registered 2026-04-23)
    Nov 26, 2025 · Advisor changed firm · fact
  • Independent Solutions Wealth Management, Llc reported RAUM $1.2B, up 29% from $953.8M (2024-10-25 to 2025-03-27)
    Mar 27, 2025 · RAUM change · derived
  • 3 advisors left Blackridge Asset Management, LLC (Jupiter, FL) for Independent Solutions Wealth Management, LLC a day apart
    Jan 6, 2025 · Team lift-out · derived
  • 2 advisors left Cambridge Investment Research Advisors, Inc. (Rochester, NY) for Independent Solutions Wealth Management, LLC on the same day
    Apr 22, 2024 · Team lift-out · derived
  • David Daniel Neiman (Owner) appeared on Schedule A of Independent Solutions Wealth Management, Llc
    Jun 14, 2023 · Control person joined · fact
  • David Daniel Neiman (Managing Member/Chief Financial Officer) no longer on Schedule A of Independent Solutions Wealth Management, Llc (listed 2022-02-11, absent 2022-06-10)
    Jun 10, 2022 · Control person left · inference
  • Independent Solutions Wealth Management, Llc reported RAUM $707.9M, up 38% from $512.6M (2020-12-07 to 2021-02-26)
    Feb 26, 2021 · RAUM change · derived
  • Independent Solutions Wealth Management, Llc reported RAUM $512.6M, up 43% from $357.5M (2020-01-27 to 2020-03-13)
    Mar 13, 2020 · RAUM change · derived
  • Independent Solutions Wealth Management, Llc reported 23 state-registered advisory representatives, up from 3 (2017-03-23 to 2018-03-27)
    Mar 27, 2018 · Advisor headcount 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
716-568-8566reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile
linkedin.com/company/independent-solutions-wealth-managementreportedpublic record, Form ADV, Sep 17, 2026
Website
iswm.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
716-568-8566reportedpublic record, Form ADV, Mar 24, 2026
Contact form
iswealthmanagement.com/contact-independent-solutions-wealth-reportedpublished by the firm, firm site, Sep 15, 2026
Team page
iswealthmanagement.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
$51.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026