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
F••••••••• F••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 5, 2012 · 25 filings
SEC status approved since Jul 27, 2009
RAUM
$543M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
99%
$539M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$272M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$543M as of Mar 31, 2026
Mar 5, 2012$104M then
HNW client RAUM$531M as of Mar 31, 2026
Mar 14, 2018$179M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 5, 20120 then
Employees (5.A)3 as of Mar 31, 2026
Mar 5, 20132 then
Private funds: no history
RAUM +20% over the last fiscal year+27% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $272MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.5MderivedHNW RAUM over HNW clients
- Average account
- $5.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.7%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
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.0%derived
- Compensation
- percentage of assets, hourly, commissionsreportedItem 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
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$531M98%
- Individuals$8.1M1.5%
- Pension and profit-sharing plans$2.5M0.5%
- Charitable organizations$1.2M0.2%
- Individual clients
- 14reported
- HNW clients
- 82reported
- Pension plan clients
- 3reported
- Charitable clients
- 1reported
- Accounts
- 100reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, commissionsreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••••• J••••• V••••••Certified Financial Planner, Chartered Financial Consultant | Chicago, Il | Jul 28, 2009 | 36 y | 1 |
| K•••• E••••• W••••••Certified Financial Planner | Chicago, Il | Jan 14, 2011 | 16 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
- D••••••• J••••• V•••••• from F••••• W••••• M•••••••••Jul 28, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V••••••• D•••••••• J••••• · Managing And Sole Member & Chief Compliance Officercontrolsince 06/2009 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 2 | 0 | 0 |
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 Mar 31, 2026discretionary share of RAUM of 0% against a peer median of 99% (1482 comparable advisers, 0.0th percentile, 33.5 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 0.0% percentile
- business activity changedChange between filings · filing Mar 31, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2025-03-27, no on the filing of 2026-03-31peers: independent wealth managers, $500M to $1B (1,482)
- compensation changedChange between filings · filing Mar 31, 2026commissions (Item 5.E.5): no on the filing of 2025-03-27, yes on the filing of 2026-03-31peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Advisory activities · 3 to 2Mar 27, 2025 to Mar 31, 2026
- Charity clients · 0 to 1Mar 27, 2025 to Mar 31, 2026
- HNW clients · 72 to 82Mar 27, 2025 to Mar 31, 2026
- Individual clients · 28 to 14Mar 27, 2025 to Mar 31, 2026
- Pension plan clients · 0 to 3Mar 27, 2025 to Mar 31, 2026
- Commission compensation · false to trueMar 27, 2025 to Mar 31, 2026
- HNW RAUM · $425M to $531MMar 27, 2025 to Mar 31, 2026
- Individual RAUM · $28.0M to $8.1MMar 27, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $453M to $543MMar 27, 2025 to Mar 31, 2026
- Pension RAUM · $0 to $2.5MMar 27, 2025 to Mar 31, 2026
- RAUM · $453M to $543MMar 27, 2025 to Mar 31, 2026
- Accounts · 94 to 100Mar 26, 2024 to Mar 27, 2025
- HNW clients · 68 to 72Mar 26, 2024 to Mar 27, 2025
- Individual clients · 27 to 28Mar 26, 2024 to Mar 27, 2025
- Financial planning clients · 51-100 to 51-100Mar 26, 2024 to Mar 27, 2025
- HNW RAUM · $318M to $425MMar 26, 2024 to Mar 27, 2025
- Individual RAUM · $25.0M to $28.0MMar 26, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $343M to $453MMar 26, 2024 to Mar 27, 2025
- RAUM · $343M to $453MMar 26, 2024 to Mar 27, 2025
- Accounts · 95 to 94Nov 20, 2023 to Mar 26, 2024
- HNW RAUM · $244M to $318MNov 20, 2023 to Mar 26, 2024
- Individual RAUM · $20.0M to $25.0MNov 20, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $264M to $343MNov 20, 2023 to Mar 26, 2024
- RAUM · $264M to $343MNov 20, 2023 to Mar 26, 2024
- Accounts · 94 to 95Feb 24, 2023 to Mar 29, 2023
- HNW clients · 66 to 68Feb 24, 2023 to Mar 29, 2023
- HNW RAUM · $294M to $244MFeb 24, 2023 to Mar 29, 2023
- Individual RAUM · $14.0M to $20.0MFeb 24, 2023 to Mar 29, 2023
- Non-discretionary RAUM · $308M to $264MFeb 24, 2023 to Mar 29, 2023
- RAUM · $308M to $264MFeb 24, 2023 to Mar 29, 2023
- Accounts · 88 to 94Mar 29, 2021 to Mar 30, 2022
- HNW clients · 67 to 66Mar 29, 2021 to Mar 30, 2022
- Individual clients · 21 to 27Mar 29, 2021 to Mar 30, 2022
- HNW RAUM · $247M to $294MMar 29, 2021 to Mar 30, 2022
- Individual RAUM · $33.6M to $14.0MMar 29, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $280M to $308MMar 29, 2021 to Mar 30, 2022
- RAUM · $280M to $308MMar 29, 2021 to Mar 30, 2022
- Accounts · 86 to 88Jun 12, 2020 to Mar 29, 2021
- HNW clients · 66 to 67Jun 12, 2020 to Mar 29, 2021
- Individual clients · 20 to 21Jun 12, 2020 to Mar 29, 2021
Signals
1 dated events
- F••••••••• F••••••••• L•• reported RAUM $453.5M, up 32% from $342.6M (2024-03-26 to 2025-03-27)Mar 27, 2025 · 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 email
- shelley@fountainheadfinancial.usreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 312-222-9834reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 312-222-9840reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-222-9840reportedpublic record, Form ADV, Mar 31, 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
- $272Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026