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••••••• L••

Independent wealth managerPekin, IllinoisCRD 146080SEC 801-132494IAPD
Latest filing Jun 30, 2026
First filing on the tape Mar 21, 2025 · 4 filings
SEC status approved since Apr 21, 2025
RAUM
$125M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$125M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$125M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$125M as of Jun 30, 2026
Mar 21, 2025$111M then
HNW client RAUM$83.6M as of Jun 30, 2026
Mar 21, 2025$80.3M then
State-registered IARs (5.B.3)1 as of Jun 30, 2026
Mar 21, 20251 then
Employees (5.A)1 as of Jun 30, 2026
Mar 21, 20251 then
Private funds: no history
RAUM +12% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jun 30, 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$125MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
99derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.5MderivedHNW RAUM over HNW clients
Average account
$397,633derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-41%derived
Compensation
percentage of assets, hourlyreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$83.6M67%
  • Individuals$41.3M33%
Individual clients
75reported
HNW clients
24reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
314reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•••• S• W•••Chartered Financial ConsultantPekin, IlJul 16, 200826 y2
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • W•••• J••••• S• · Managing Member And Chief Compliance Officercontrol
      since 01/2008 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    ADV anomalies
    3 against comparable advisers; where to look, not conclusions
    • low discretionary shareStatic outlier · filing Jun 30, 2026
      discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)
      peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
    • clients down average size upCombination · filing Mar 27, 2026
      private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $111,497,022 to $124,856,762, advisors 1 to 1, private clients 168 to 99, offices 0 to 0 (2025-03-21 to 2026-03-27)
      peers: independent wealth managers, $100M to $500M (5,676)
    • client count collapseChange between filings · filing Mar 27, 2026
      individual and HNW clients (Item 5.D) moved from 168.0 to 99.0 (-41.0%) between the annual amendments of 2025-03-21 and 2026-03-27; the peer median change was +3.0% (3309 comparable advisers, 3.0th percentile of changes)
      peers: independent wealth managers, $100M to $500M (3,309) · 2.5% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 330 to 314
      Sep 3, 2025 to Mar 27, 2026
    • Charity clients · 1 to 0
      Sep 3, 2025 to Mar 27, 2026
    • HNW clients · 54 to 24
      Sep 3, 2025 to Mar 27, 2026
    • Individual clients · 114 to 75
      Sep 3, 2025 to Mar 27, 2026
    • HNW RAUM · $80.3M to $83.6M
      Sep 3, 2025 to Mar 27, 2026
    • Individual RAUM · $30.8M to $41.3M
      Sep 3, 2025 to Mar 27, 2026
    • Non-discretionary RAUM · $111M to $125M
      Sep 3, 2025 to Mar 27, 2026
    • RAUM · $111M to $125M
      Sep 3, 2025 to Mar 27, 2026
    Signals
    No event on the tape.
    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
    Principal office phone
    309-346-1106reportedpublic record, Form ADV, Jun 30, 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
    $125Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026