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

Tradewise Advisors, Inc.

Former SEC-registered adviserChicago, IllinoisCRD 153744SEC 801-71403IAPD
Latest filing Mar 18, 2021
First filing on the tape Dec 21, 2011 · 38 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM: no history
HNW client RAUM$0 as of Jan 5, 2021
Dec 20, 2017$0 then
State-registered IARs (5.B.3)0 as of Jan 5, 2021
Dec 21, 20110 then
Employees (5.A)0 as of Jan 5, 2021
Dec 17, 20125 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2021; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$0derivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
subscriptionreportedItem 5.E
Advisory activities
publicationsreportedItem 5.G
Custody
yesreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.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
2,764reported
HNW clients
8reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
n/areported
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
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
    • Jay John Ehlers · Directorcontrol
      since 12/2013 · owns less than 5%
    • Harold Patrick Kennedy · Chief Compliance Officercontrol
      since 02/2020 · owns less than 5%
    • Gerard Joseph Kinahan · Presidentcontrol
      since 03/2010 · owns less than 5%
    • Allan Bradley Nave · Vice Presidentcontrol
      since 12/2018 · owns less than 5%
    • Marie Brenna Oconnor · Secretarycontrol
      since 03/2021 · owns less than 5%
    • Charles Jon Peterson · Directorcontrol
      since 11/2019 · owns less than 5%
    • David Christian Wright · Vice President,Operations Managercontrol
      since 07/2011 · owns less than 5%
    Entity owners
    • Td Ameritrade Online Holdings Corp · Shareholder
      direct · owns 75% or more
    • Td Ameritrade Holding Corporation · Shareholder
      indirect · owns 75% or more of Td Ameritrade Online Holdings Corp · public reporting company
    • The Charles Schwab Corporation · Parent Corporation
      indirect · owns 75% or more of Td Ameritrade Holding Corporation · public reporting company
    Related persons
    Schedule D 7.A
    Advisers that list Tradewise Advisors, Inc. as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • HNW clients · unset to 8.0
      Nov 5, 2020 to Jan 5, 2021
    • Individual clients · 2,560 to 2,764
      Nov 5, 2020 to Jan 5, 2021
    • Individual clients · 3,143 to 2,560
      Jul 10, 2019 to Dec 16, 2019
    • Individual clients · 3,001 to 3,143
      Sep 26, 2018 to Dec 20, 2018
    • Individual clients · unset to 3001.0
      Sep 22, 2017 to Dec 20, 2017
    • Other offices · unset to 0.0
      Sep 22, 2017 to Dec 20, 2017
    • HNW RAUM · unset to 0.0
      Sep 22, 2017 to Dec 20, 2017
    • Individual RAUM · unset to 0.0
      Sep 22, 2017 to Dec 20, 2017
    • Business name · RED OPTION ADVISORS, INC. to TRADEWISE ADVISORS, INC.
      Oct 3, 2016 to Oct 25, 2016
    • Legal name · RED OPTION ADVISORS, INC. to TRADEWISE ADVISORS, INC.
      Oct 3, 2016 to Oct 3, 2016
    • Advisory employees · 4 to 0
      Nov 12, 2015 to Dec 16, 2015
    • BD registered reps · 3 to 0
      Nov 12, 2015 to Dec 16, 2015
    • Employees · 5 to 0
      Nov 12, 2015 to Dec 16, 2015
    • State-registered IARs · 4 to 0
      Nov 12, 2015 to Dec 16, 2015
    • Advisory employees · unset to 4.0
      Mar 30, 2012 to Dec 17, 2012
    • BD registered reps · unset to 3.0
      Mar 30, 2012 to Dec 17, 2012
    • Employees · unset to 5.0
      Mar 30, 2012 to Dec 17, 2012
    • State-registered IARs · 0 to 4
      Mar 30, 2012 to Dec 17, 2012
    • Assets in custody · unset to 0.0
      Dec 22, 2011 to Mar 30, 2012
    Signals
    9 dated events
    • Russell Gilbert Ott (Secretary) no longer on Schedule A of Tradewise Advisors, Inc. (listed 2021-01-29, absent 2021-03-18)
      Mar 18, 2021 · Control person left · inference
    • Thomas William Yates (Treasurer) no longer on Schedule A of Tradewise Advisors, Inc. (listed 2021-01-29, absent 2021-03-18)
      Mar 18, 2021 · Control person left · inference
    • Marie Brenna Oconnor (Secretary) appeared on Schedule A of Tradewise Advisors, Inc.
      Mar 18, 2021 · Control person joined · fact
    • Mark Steve Quirk (Chief Executive Officer) no longer on Schedule A of Tradewise Advisors, Inc. (listed 2020-08-07, absent 2020-10-30)
      Oct 30, 2020 · Control person left · inference
    • James Peter Desilva (Director) no longer on Schedule A of Tradewise Advisors, Inc. (listed 2020-08-07, absent 2020-10-30)
      Oct 30, 2020 · Control person left · inference
    • Paul Gerald Krager (Chief Compliance Officer) no longer on Schedule A of Tradewise Advisors, Inc. (listed 2020-01-22, absent 2020-03-05)
      Mar 5, 2020 · Control person left · inference
    • Harold Patrick Kennedy (Chief Compliance Officer) appeared on Schedule A of Tradewise Advisors, Inc.
      Mar 5, 2020 · Control person joined · fact
    • Charles Jon Peterson (Director) appeared on Schedule A of Tradewise Advisors, Inc.
      Jan 22, 2020 · Control person joined · fact
    • Steve Boyle (Director) no longer on Schedule A of Tradewise Advisors, Inc. (listed 2019-12-16, absent 2020-01-22)
      Jan 22, 2020 · 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