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
P••••••••• W••••• A•••••••• L••
Latest filing Mar 2, 2026
First filing on the tape Mar 14, 2012 · 45 filings
SEC status approved since Apr 19, 2010
RAUM
$684M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$646M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$684M as of Mar 2, 2026
Mar 14, 2012$155M then
HNW client RAUM$0 as of Mar 2, 2026
Mar 25, 2018$0 then
State-registered IARs (5.B.3)5 as of Mar 2, 2026
Mar 14, 20120 then
Employees (5.A)11 as of Mar 2, 2026
Mar 28, 20134 then
Private funds: no history
RAUM +14% over the last fiscal year+11% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 2, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 123derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $494,488derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $684M, 692 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$646M94%
- Corporations and businesses$28.0M4.1%
- Charitable organizations$10.8M1.6%
- Individual clients
- 617reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 8reported
- Accounts
- 1,384reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $684M for 692 clientsreported
- Compensation
- % of AUM, commissionsreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• G•••••• | Frankfort, Il | Jul 15, 2010 | 16 y | 1 |
| N••••• L••• S••• | Frankfort, Il | Jan 10, 2014 | 13 y | 1 |
| L•••• M•••• F•••• | Frankfort, Il | Oct 13, 2017 | 29 y | 6 |
| J•• D•••• F•••• | Palos Heights, Il | Dec 7, 2017 | 14 y | 1 |
| D•••••• A•••••• D••••••Certified Financial Planner | Frankfort, Il | Jan 3, 2018 | 16 y | 1 |
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
- G••• J••••• S•••••••• to H••••• W••••• M••••••••• L••Dec 2, 2020 · Other
Joined, latest
- L•••• M•••• F•••• from L•• F•••••••• L••Oct 13, 2017 · Other
- G••• J••••• S•••••••• from E•••••••• W••••• M••••••••• L••Apr 28, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• D••••••• A•••••• · Managercontrolsince 05/2010 · owns less than 5%
- S••••••••• G•••• J••••• · Chief Compliance Officersince 04/2010 · owns less than 5%
Entity owners
- P••••••••• B••• L•• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- P••••••••• B••• • T•••• C••••••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Frankfort, Il · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Palos Heights, IL3 employees
- Dyer, IN1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 2, 2026commissions (Item 5.E.5): no on the filing of 2025-12-02, yes on the filing of 2026-03-02peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,282 to 1,384Dec 2, 2025 to Mar 2, 2026
- Corporate clients · 14 to 28Dec 2, 2025 to Mar 2, 2026
- Commission compensation · false to trueDec 2, 2025 to Mar 2, 2026
- Assets in custody · $601M to $684MDec 2, 2025 to Mar 2, 2026
- Discretionary RAUM · $601M to $684MDec 2, 2025 to Mar 2, 2026
- Individual RAUM · $556M to $646MDec 2, 2025 to Mar 2, 2026
- RAUM · $601M to $684MDec 2, 2025 to Mar 2, 2026
- Accounts · 1,253 to 1,282Jan 9, 2025 to Feb 25, 2025
- Charity clients · 11 to 8Jan 9, 2025 to Feb 25, 2025
- Corporate clients · 16 to 14Jan 9, 2025 to Feb 25, 2025
- Individual clients · 1,222 to 617Jan 9, 2025 to Feb 25, 2025
- Pension plan clients · 4 to 0Jan 9, 2025 to Feb 25, 2025
- Assets in custody · $572M to $601MJan 9, 2025 to Feb 25, 2025
- Financial planning clients · 26-50 to 26-50Jan 9, 2025 to Feb 25, 2025
- Discretionary RAUM · $572M to $601MJan 9, 2025 to Feb 25, 2025
- Individual RAUM · $507M to $556MJan 9, 2025 to Feb 25, 2025
- Pension RAUM · $1.9M to $0Jan 9, 2025 to Feb 25, 2025
- RAUM · $572M to $601MJan 9, 2025 to Feb 25, 2025
- Other offices · 3 to 2Feb 14, 2024 to Apr 29, 2024
- Accounts · 1,186 to 1,253Jun 9, 2023 to Feb 14, 2024
- Advisory employees · 5 to 6Jun 9, 2023 to Feb 14, 2024
- Charity clients · 7 to 11Jun 9, 2023 to Feb 14, 2024
- Corporate clients · 15 to 16Jun 9, 2023 to Feb 14, 2024
- Individual clients · 1,159 to 1,222Jun 9, 2023 to Feb 14, 2024
- Pension plan clients · 5 to 4Jun 9, 2023 to Feb 14, 2024
- Assets in custody · $497M to $572MJun 9, 2023 to Feb 14, 2024
- Employees · 10 to 11Jun 9, 2023 to Feb 14, 2024
- Discretionary RAUM · $497M to $572MJun 9, 2023 to Feb 14, 2024
- Individual RAUM · $434M to $507MJun 9, 2023 to Feb 14, 2024
- Pension RAUM · $2.1M to $1.9MJun 9, 2023 to Feb 14, 2024
- RAUM · $497M to $572MJun 9, 2023 to Feb 14, 2024
- BD registered reps · 5 to 0Mar 28, 2023 to Jun 9, 2023
- Accounts · 1,146 to 1,186Jan 26, 2023 to Feb 13, 2023
- Charity clients · 9 to 7Jan 26, 2023 to Feb 13, 2023
- Corporate clients · 17 to 15Jan 26, 2023 to Feb 13, 2023
- Individual clients · 1,109 to 1,159Jan 26, 2023 to Feb 13, 2023
- Pension plan clients · 10 to 5Jan 26, 2023 to Feb 13, 2023
- Assets in custody · $234M to $497MJan 26, 2023 to Feb 13, 2023
- Discretionary RAUM · $468M to $497MJan 26, 2023 to Feb 13, 2023
- Individual RAUM · $412M to $434MJan 26, 2023 to Feb 13, 2023
Signals
1 dated events
- P••••••••• W••••• A•••••••• L•• reported RAUM $332.5M, up 83% from $181.6M (2018-01-03 to 2018-03-25)Mar 25, 2018 · 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
- Website
- H•••://P•••••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 815-306-2020reportedpublic record, Form ADV, Mar 2, 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
- $137Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026