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
M•••••• F•••••••• A•••••••• I•••
Latest filing Mar 10, 2021
First filing on the tape Jan 6, 2012 · 24 filings
RAUM
$215M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
99%
$212M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
24 filings and snapshots on the tape
RAUM$215M as of Mar 10, 2021
Jan 6, 2012$118M then
HNW client RAUM$114M as of Mar 10, 2021
Mar 9, 2018$104M then
State-registered IARs (5.B.3)3 as of Mar 10, 2021
Mar 8, 20133 then
Employees (5.A)3 as of Mar 10, 2021
Mar 8, 20133 then
Private funds: no history
RAUM -16% over the last fiscal year+0.2% a year over threeIARs 7 to 3
Practice profile
derived from the filing of Mar 10, 2021; every figure names its basis
- RAUM per advisor
- $71.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $301,157derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.4%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
- -16%derivedbetween the last two annual amendments
- Advisor growth, one year
- -57%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -29%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$114M53%
- Individuals$97.8M45%
- Corporations and businesses$2.4M1.1%
- Charitable organizations$783,0580.4%
- Individual clients
- 209reported
- HNW clients
- 53reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 715reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- H•••• W•••••• S••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 29, 2021 · RIA to affiliated broker-dealer or bank
- J••••• M•••• K•••••••• to E••••• J••••Oct 29, 2021 · RIA to affiliated broker-dealer or bank
- F•••• C••••••••• S•••••• to M•••••• W••••• M•••••••••Oct 29, 2021 · Other
- D••••• W•••••• W••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Mar 10, 2021 · RIA to affiliated broker-dealer or bank
- T••• J••• P••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Mar 10, 2021 · RIA to affiliated broker-dealer or bank
- A••• M•••• J••••• to R••••• W• B•••• • C•• I•••••••••Aug 4, 2020 · RIA to RIA
- N•••• K•••• A••••• to A•••• W••••• M••••••••• L••Sep 16, 2019 · RIA to RIA
- S•••••••• A•• J••••• to M•••••• W••••• M•••••••••Mar 15, 2019 · Other
- S•••••• D••••• H•••••• to R•••••••• P•••••• W•••••Mar 15, 2019 · RIA to RIA
- R••••• T••••••• D••••• to A•••••• A••••••• S•••••••Jan 9, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- J••••• M•••• K•••••••• from K•••••••• F•••••••• S•••••••• L••Jan 8, 2018 · Other
- T••• J••• P••••••••• from N••••••••• M••••• I••••••••• S•••••••••Nov 14, 2017 · Other
- H•••• W•••••• S••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jun 20, 2017 · Other
- D••••• W•••••• W••••• from V•••••• C•••••• M••••••••• L••Aug 21, 2009 · Other
- R••••• T••••••• D••••• from V•••••• C•••••• M••••••••• L••Jun 12, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for R•••••• J•••• F•••••••• S••••••• A•••••••• I••Mar 10, 2021 · Delafield, Wi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• E•••• A••••• · Presidentcontrolsince 03/2017 · owns less than 5%
- S•••••••• H••••• W•••••• · Cco/Coocontrolsince 03/2017 · owns less than 5%
Entity owners
- M•••••• S••••• B••••••• I••• · Parent Companydirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- L••• F•••••• C•••••••••n
- M•••••• S••••• B••••••• I•••y
- M•••••• S••••• B•••n
- M•••••• T•••• C••••••n
Offices
Schedule D 1.F, the 25 largest
- Effingham, IL1 employees
- Weldon Spring, MO1 employees
What changed
consecutive filings, newest first
- Accounts · 1,009 to 715May 6, 2020 to Mar 10, 2021
- Advisory employees · 7 to 2May 6, 2020 to Mar 10, 2021
- BD registered reps · 1 to 0May 6, 2020 to Mar 10, 2021
- HNW clients · 70 to 53May 6, 2020 to Mar 10, 2021
- Individual clients · 298 to 209May 6, 2020 to Mar 10, 2021
- Employees · 7 to 3May 6, 2020 to Mar 10, 2021
- State-registered IARs · 7 to 3May 6, 2020 to Mar 10, 2021
- Discretionary RAUM · $244M to $203MMay 6, 2020 to Mar 10, 2021
- HNW RAUM · $130M to $114MMay 6, 2020 to Mar 10, 2021
- Individual RAUM · $123M to $97.8MMay 6, 2020 to Mar 10, 2021
- Non-discretionary RAUM · $12.0M to $12.0MMay 6, 2020 to Mar 10, 2021
- RAUM · $256M to $215MMay 6, 2020 to Mar 10, 2021
- Accounts · 1,112 to 1,009Sep 16, 2019 to Mar 6, 2020
- Corporate clients · 5.0 to unsetSep 16, 2019 to Mar 6, 2020
- Individual clients · 319 to 298Sep 16, 2019 to Mar 6, 2020
- Employees · 9 to 7Sep 16, 2019 to Mar 6, 2020
- Discretionary RAUM · $230M to $244MSep 16, 2019 to Mar 6, 2020
- HNW RAUM · $118M to $130MSep 16, 2019 to Mar 6, 2020
- Individual RAUM · $122M to $123MSep 16, 2019 to Mar 6, 2020
- Non-discretionary RAUM · $13.5M to $12.0MSep 16, 2019 to Mar 6, 2020
- RAUM · $243M to $256MSep 16, 2019 to Mar 6, 2020
- Accounts · 917 to 1,112Jul 30, 2018 to Mar 15, 2019
- Advisory employees · 6 to 7Jul 30, 2018 to Mar 15, 2019
- Corporate clients · 6 to 5Jul 30, 2018 to Mar 15, 2019
- HNW clients · 51 to 70Jul 30, 2018 to Mar 15, 2019
- Individual clients · 250 to 319Jul 30, 2018 to Mar 15, 2019
- Employees · 10 to 9Jul 30, 2018 to Mar 15, 2019
- State-registered IARs · 6 to 7Jul 30, 2018 to Mar 15, 2019
- Other offices · 3 to 2Jul 30, 2018 to Mar 15, 2019
- Discretionary RAUM · $197M to $230MJul 30, 2018 to Mar 15, 2019
- HNW RAUM · $104M to $118MJul 30, 2018 to Mar 15, 2019
- Individual RAUM · $105M to $122MJul 30, 2018 to Mar 15, 2019
- Non-discretionary RAUM · $17.3M to $13.5MJul 30, 2018 to Mar 15, 2019
- RAUM · $214M to $243MJul 30, 2018 to Mar 15, 2019
- Other offices · 2 to 3May 16, 2018 to Jul 30, 2018
- Other offices · 1 to 2Mar 9, 2018 to May 16, 2018
- Accounts · 899 to 917Feb 13, 2018 to Mar 9, 2018
- Advisory employees · 4 to 6Feb 13, 2018 to Mar 9, 2018
- BD registered reps · 0 to 1Feb 13, 2018 to Mar 9, 2018
- Corporate clients · unset to 6.0Feb 13, 2018 to Mar 9, 2018
Signals
2 dated events
- W•••••• D••••• Wilson (Managing Director) no longer on Schedule A of M•••••• F•••••••• A•••••••• I••• (listed 2019-09-16, absent 2020-03-06)Mar 6, 2020 · Control person left · inference
- Karol Naomi Ackley (Cco) no longer on Schedule A of M•••••• F•••••••• A•••••••• I••• (listed 2019-03-15, absent 2019-09-16)Sep 16, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026