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•••••• P•••••• W••••• M••••••••• L•
Latest filing Mar 6, 2026
First filing on the tape Mar 30, 2012 · 26 filings
SEC status approved since Sep 16, 2010
RAUM
$206M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$205M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$103M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$206M as of Mar 6, 2026
Mar 30, 2012$11.2M then
HNW client RAUM$199M as of Mar 6, 2026
Mar 27, 2019$2.2M then
State-registered IARs (5.B.3)2 as of Mar 6, 2026
Apr 1, 20131 then
Employees (5.A)3 as of Mar 6, 2026
Apr 1, 20134 then
Private funds1 as of Mar 31, 2020
Mar 31, 20142 then
RAUM -5.4% over the last fiscal year+6.2% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 6, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $103MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.7MderivedHNW RAUM over HNW clients
- Average account
- $6.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -11%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$199M97%
- Individuals$5.5M2.7%
- Charitable organizations$758,0060.4%
- Individual clients
- 15reported
- HNW clients
- 17reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 33reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• L••• J•••••• | Lake Forest, Il | Jun 30, 2021 | 39 y | 3 |
| W•••••• R••••• A•••••••Chartered Financial Analyst | Lake Forest, Il | Aug 20, 2021 | 23 y | 3 |
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
- R•••• L••• J•••••• from S•••• G••••• A•••••••• L••Jun 30, 2021 · RIA to RIA
- W•••••• R••••• A••••••• from A••••••• C•••••• M••••••••• L••Dec 16, 2010 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••• I••••••••• F•••• L•no longer reported | Other Private Fund | $9.5M | 4 | Mar 30, 2012 |
| R••••• I••••••••• F•••• L• • I••••••••• C••••no longer reported | Other Private Fund | $4.6M | 4 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••••• W••••••• R••••• · Portfolio Manager; Chief Compliance Officercontrolsince 05/2010 · owns less than 5%
- J••••••• R••••• L••• · Partnercontrolsince 07/2022 · owns 50% to 75%
Entity owners
- A•• I••••••••• •••• L•• · General Partnerdirect · owns less than 5%
- A••••••• C•••••• I••••••••• L•• · Limited Partnerdirect · owns 75% or more
- J•••••• F••••• O•••••• L•• · Ownerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lake Forest, Il · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 6, 2026discretionary share of RAUM moved from 62.0% to 100.0% between the annual amendments of 2025-03-24 and 2026-03-06peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 36 to 33Mar 24, 2025 to Mar 6, 2026
- Charity clients · unset to 1.0Mar 24, 2025 to Mar 6, 2026
- Individual clients · 19 to 15Mar 24, 2025 to Mar 6, 2026
- Discretionary RAUM · $135M to $206MMar 24, 2025 to Mar 6, 2026
- HNW RAUM · $209M to $199MMar 24, 2025 to Mar 6, 2026
- Individual RAUM · $8.6M to $5.5MMar 24, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $82.6M to $0Mar 24, 2025 to Mar 6, 2026
- RAUM · $217M to $206MMar 24, 2025 to Mar 6, 2026
- Accounts · 38 to 36Mar 26, 2024 to Mar 24, 2025
- HNW clients · 16 to 17Mar 26, 2024 to Mar 24, 2025
- Individual clients · 22 to 19Mar 26, 2024 to Mar 24, 2025
- Financial planning clients · 0 to 0Mar 26, 2024 to Mar 24, 2025
- Discretionary RAUM · $107M to $135MMar 26, 2024 to Mar 24, 2025
- HNW RAUM · $182M to $209MMar 26, 2024 to Mar 24, 2025
- Individual RAUM · $7.9M to $8.6MMar 26, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $82.5M to $82.6MMar 26, 2024 to Mar 24, 2025
- RAUM · $190M to $217MMar 26, 2024 to Mar 24, 2025
- Accounts · 37 to 38May 12, 2023 to Mar 26, 2024
- Individual clients · 21 to 22May 12, 2023 to Mar 26, 2024
- Discretionary RAUM · $90.3M to $107MMay 12, 2023 to Mar 26, 2024
- HNW RAUM · $154M to $182MMay 12, 2023 to Mar 26, 2024
- Individual RAUM · $18.1M to $7.9MMay 12, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $81.3M to $82.5MMay 12, 2023 to Mar 26, 2024
- RAUM · $172M to $190MMay 12, 2023 to Mar 26, 2024
- Accounts · 74 to 37Mar 16, 2022 to Mar 29, 2023
- HNW clients · 12 to 16Mar 16, 2022 to Mar 29, 2023
- Individual clients · 9 to 21Mar 16, 2022 to Mar 29, 2023
- Other offices · 0 to 1Mar 16, 2022 to Mar 29, 2023
- Discretionary RAUM · $88.1M to $90.3MMar 16, 2022 to Mar 29, 2023
- HNW RAUM · $207M to $154MMar 16, 2022 to Mar 29, 2023
- Individual RAUM · $7.2M to $18.1MMar 16, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $126M to $81.3MMar 16, 2022 to Mar 29, 2023
- RAUM · $214M to $172MMar 16, 2022 to Mar 29, 2023
- Accounts · 12 to 74Sep 14, 2021 to Mar 16, 2022
- Advisory employees · 1 to 2Sep 14, 2021 to Mar 16, 2022
- Individual clients · unset to 9.0Sep 14, 2021 to Mar 16, 2022
- Employees · 1 to 3Sep 14, 2021 to Mar 16, 2022
- State-registered IARs · 0 to 2Sep 14, 2021 to Mar 16, 2022
- Discretionary RAUM · $12.6M to $88.1MSep 14, 2021 to Mar 16, 2022
- HNW RAUM · $114M to $207MSep 14, 2021 to Mar 16, 2022
Signals
8 dated events
- Lane Roger Johnson (Partner) appeared on Schedule A of W•••••• P•••••• W••••• M••••••••• L•Mar 29, 2023 · Control person joined · fact
- Christopher Jason Elliott (Manager) no longer on Schedule A of W•••••• P•••••• W••••• M••••••••• L• (listed 2020-05-04, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- Scott Kenneth Canon (Limited Partner) no longer on Schedule A of W•••••• P•••••• W••••• M••••••••• L• (listed 2020-05-04, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- Brent Jeffery Middleswart (Assistant Portfolio Manager) no longer on Schedule A of W•••••• P•••••• W••••• M••••••••• L• (listed 2020-05-04, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- Whitaker Joseph Iii Thompson (Coo/Cfo) no longer on Schedule A of W•••••• P•••••• W••••• M••••••••• L• (listed 2020-05-04, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- James Nimrod Hacker (General Counsel) no longer on Schedule A of W•••••• P•••••• W••••• M••••••••• L• (listed 2020-05-04, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- M••• H•••••• (Chief Compliance Officer) no longer on Schedule A of W•••••• P•••••• W••••• M••••••••• L• (listed 2020-05-04, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- M••• H•••••• (Chief Compliance Officer) appeared on Schedule A of W•••••• P•••••• W••••• M••••••••• L•Mar 27, 2019 · Control person joined · 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
- Business phone
- 847-987-8015reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- westpacwm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (847) 987-8015reportedpublic record, Form ADV, Mar 6, 2026
- Team page
- westpacwm.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $103Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026