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.

Former SEC-registered adviser

Wheaton Wealth Partners, LLC

Former SEC-registered adviserWheaton, IllinoisCRD 153638SEC 801-73106IAPD
Latest filing Dec 2, 2015
First filing on the tape Jan 30, 2012 · 18 filings
RAUM
$77.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$77.7M as of Mar 30, 2015
Mar 6, 2012$112M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 30, 2015
Mar 13, 20134 then
Employees (5.A)4 as of Mar 30, 2015
Mar 13, 20134 then
Private funds: no history
RAUM -43% over the last fiscal year-12% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Dec 2, 2015; every figure names its basis
RAUM per advisor
$19.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$209,545derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
1.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-43%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
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
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
371reported
Financial planning clients
51-100reported
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
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
    • Rolla John Dragstrem · Member/Chief Compliance Officercontrol
      since 04/2010 · owns 50% to 75%
    • Kennedy Robert O'Dell · Membercontrol
      since 06/2012 · owns 25% to 50%
    • Marie Heather Coulter · Member
      since 06/2012 · owns 5% to 10%
    • Gardner John Finley · Member
      since 06/2012 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Libertyville, IL
    • Naples, FL
    What changed
    consecutive filings, newest first
    • Accounts · 263 to 371
      Mar 7, 2014 to Mar 17, 2015
    • Discretionary RAUM · $67.8M to $77.7M
      Mar 7, 2014 to Mar 17, 2015
    • Non-discretionary RAUM · $69.0M to $0
      Mar 7, 2014 to Mar 17, 2015
    • RAUM · $137M to $77.7M
      Mar 7, 2014 to Mar 17, 2015
    • Accounts · 180 to 263
      Oct 8, 2013 to Mar 7, 2014
    • Financial planning clients · 26-50 to 51-100
      Oct 8, 2013 to Mar 7, 2014
    • Discretionary RAUM · $58.9M to $67.8M
      Oct 8, 2013 to Mar 7, 2014
    • Non-discretionary RAUM · $71.0M to $69.0M
      Oct 8, 2013 to Mar 7, 2014
    • RAUM · $130M to $137M
      Oct 8, 2013 to Mar 7, 2014
    • Accounts · 200 to 180
      Sep 18, 2012 to Mar 13, 2013
    • Advisory employees · unset to 4.0
      Sep 18, 2012 to Mar 13, 2013
    • BD registered reps · unset to 0.0
      Sep 18, 2012 to Mar 13, 2013
    • Employees · unset to 4.0
      Sep 18, 2012 to Mar 13, 2013
    • State-registered IARs · unset to 4.0
      Sep 18, 2012 to Mar 13, 2013
    • Discretionary RAUM · $38.2M to $58.9M
      Sep 18, 2012 to Mar 13, 2013
    • Non-discretionary RAUM · $73.2M to $71.0M
      Sep 18, 2012 to Mar 13, 2013
    • RAUM · $111M to $130M
      Sep 18, 2012 to Mar 13, 2013
    • Discretionary RAUM · $39.2M to $38.2M
      Mar 6, 2012 to Mar 8, 2012
    • Non-discretionary RAUM · $73.2M to $73.2M
      Mar 6, 2012 to Mar 8, 2012
    • RAUM · $112M to $111M
      Mar 6, 2012 to Mar 8, 2012
    • Accounts · 110 to 200
      Feb 3, 2012 to Mar 6, 2012
    • Discretionary RAUM · $27.0M to $39.2M
      Feb 3, 2012 to Mar 6, 2012
    • Non-discretionary RAUM · $73.0M to $73.2M
      Feb 3, 2012 to Mar 6, 2012
    • RAUM · $100M to $112M
      Feb 3, 2012 to Mar 6, 2012
    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.
    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