DFX Intelligence

RIA Intelligence

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SEC-registered adviser

T•••••• W••••• M••••••••• L••

Independent wealth managerNorthfield, IllinoisCRD 155013SEC 801-121465website IAPD

Latest filing Jan 13, 2026

First filing on the tape May 11, 2021 · 11 filings

SEC status approved since Jun 10, 2021

RAUM

$210M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$210M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$70.0M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

11 filings and snapshots on the tape

RAUM$210M as of Jan 13, 2026

Feb 3, 2022$160M then

HNW client RAUM$140M as of Jan 13, 2026

Feb 3, 2022$100M then

State-registered IARs (5.B.3)3 as of Jan 13, 2026

Feb 3, 20223 then

Employees (5.A)3 as of Jan 13, 2026

Feb 3, 20223 then

Private funds: no history

RAUM +14% over the last fiscal year+14% a year over threeIARs 3 to 3

Practice profile

derived from the filing of Jan 13, 2026; every figure names its basis

Archetypes, each a printed rule

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
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: $70.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 33derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.8MderivedHNW RAUM over HNW clients
Average account: $600,000derivedRAUM 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: 3.0derived1 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 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)
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

High-net-worth individuals$140M67%
Individuals$70.0M33%

Individual clients: 50reported
HNW clients: 50reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 350reported
Financial planning clients: 11-25reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, commissionsreported
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

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
K•••• M•••••• Y•••••Certified Financial Planner	Northfield, Il	Oct 13, 2010	25 y	1
P•••••• R••• N•••Certified Financial Planner	Northfield, Il	Oct 13, 2010	29 y	1
D•••• J••• P•••••	Northfield, Il	Oct 13, 2010	28 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

none on the tape

Joined, latest

P•••••• R••• N••• from S•••••••• A••••••• L••
Oct 13, 2010 · Affiliated broker-dealer or bank to independent RIA
K•••• M•••••• Y••••• from S•••••••• A••••••• L••
Oct 13, 2010 · Affiliated broker-dealer or bank to independent RIA
D•••• J••• P••••• from S•••••••• A••••••• L••
Oct 13, 2010 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

N•••• P••••••• R••• · Managing Membercontrol
since 10/2010 · owns 25% to 50%
P•••••• D••••• J••• · Membercontrol
since 10/2010 · owns 25% to 50%
Y•••••• K••••• M•••••• · Member/Chief Compliance Officercontrol
since 10/2010 · owns 25% to 50%

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
Northfield, Il · principal	3	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 360 to 350
Jan 8, 2025 to Jan 13, 2026
Discretionary RAUM · $185M to $210M
Jan 8, 2025 to Jan 13, 2026
HNW RAUM · $125M to $140M
Jan 8, 2025 to Jan 13, 2026
Individual RAUM · $60.0M to $70.0M
Jan 8, 2025 to Jan 13, 2026
RAUM · $185M to $210M
Jan 8, 2025 to Jan 13, 2026
Accounts · 350 to 360
Jan 11, 2024 to Jan 8, 2025
Individual clients · 45 to 50
Jan 11, 2024 to Jan 8, 2025
Financial planning clients · 11-25 to 11-25
Jan 11, 2024 to Jan 8, 2025
Discretionary RAUM · $160M to $185M
Jan 11, 2024 to Jan 8, 2025
HNW RAUM · $110M to $125M
Jan 11, 2024 to Jan 8, 2025
Individual RAUM · $50.0M to $60.0M
Jan 11, 2024 to Jan 8, 2025
RAUM · $160M to $185M
Jan 11, 2024 to Jan 8, 2025
Accounts · 300 to 350
Jan 17, 2023 to Jan 11, 2024
Discretionary RAUM · $140M to $160M
Jan 17, 2023 to Jan 11, 2024
HNW RAUM · $100M to $110M
Jan 17, 2023 to Jan 11, 2024
Individual RAUM · $40.0M to $50.0M
Jan 17, 2023 to Jan 11, 2024
RAUM · $140M to $160M
Jan 17, 2023 to Jan 11, 2024
HNW clients · 45 to 50
Sep 16, 2022 to Jan 17, 2023
Discretionary RAUM · $160M to $140M
Sep 16, 2022 to Jan 17, 2023
Individual RAUM · $60.0M to $40.0M
Sep 16, 2022 to Jan 17, 2023
RAUM · $160M to $140M
Sep 16, 2022 to Jan 17, 2023
Accounts · 285 to 300
Oct 21, 2021 to Feb 3, 2022
HNW clients · 40 to 45
Oct 21, 2021 to Feb 3, 2022
Discretionary RAUM · $150M to $160M
Oct 21, 2021 to Feb 3, 2022
HNW RAUM · $90.0M to $100M
Oct 21, 2021 to Feb 3, 2022
RAUM · $150M to $160M
Oct 21, 2021 to Feb 3, 2022

Signals

1 dated events

T•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
May 11, 2021 · First SEC registration · 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: 847-386-6707reportedpublished by the firm, firm site, Sep 16, 2026
Website: T••••••WM.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 847-386-6707reportedpublic record, Form ADV, Jan 13, 2026
Contact form: t••••••••.comreportedpublished 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: $70.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026