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.
SEC-registered adviser
Barrett Wealth Connection LLC
Latest filing Feb 6, 2026
First filing on the tape May 20, 2024 · 6 filings
SEC status approved since Jun 20, 2024
RAUM
$148M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
96%
$142M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$74.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$148M as of Feb 6, 2026
Jan 3, 2025$124M then
HNW client RAUM$112M as of Feb 6, 2026
Jan 3, 2025$84.8M then
State-registered IARs (5.B.3)2 as of Feb 6, 2026
Jan 3, 20252 then
Employees (5.A)2 as of Feb 6, 2026
Jan 3, 20252 then
Private funds: no history
RAUM +12% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 6, 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
- $74.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $353,153derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 3.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $37.3M, 68 clientsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- High-net-worth individuals$112M75%
- Individuals$30.9M21%
- Charitable organizations$3.2M2.2%
- Pension and profit-sharing plans$2.3M1.6%
- Individual clients
- 104reported
- HNW clients
- 59reported
- Pension plan clients
- 12reported
- Charitable clients
- 2reported
- Accounts
- 419reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $37.3M for 68 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 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 |
|---|---|---|---|---|
| Amy Lisa BarrettCertified Financial Planner, Chartered Financial Analyst | Spring Grove, Il | Mar 21, 2012 | 18 y | 2 |
| Victoria Josephine DorganCertified Financial Planner, Chartered Financial Analyst | Spring Grove, Il | Jun 23, 2017 | 19 y | 2 |
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
- Stephen M Trojan to Flatiron Wealth Advisors, LLCOct 19, 2018 · RIA to a state-registered adviser
Joined, latest
- Victoria Josephine Dorgan from Keating Financial Advisory ServicesJun 23, 2017 · Other
- Stephen M Trojan from Avantax Advisory ServicesJan 20, 2017 · Other
- Amy Lisa Barrett from Voyager Capital Management, LLCMar 21, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lisa Amy Barrett · Managing Member/Chief Compliance Officercontrolsince 02/2012 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Spring Grove, Il · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Feb 6, 2026custody of client assets (Item 9.A): no on the filing of 2025-10-06, yes on the filing of 2026-02-06peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 442 to 419Oct 6, 2025 to Feb 6, 2026
- HNW clients · 53 to 59Oct 6, 2025 to Feb 6, 2026
- Individual clients · 99 to 104Oct 6, 2025 to Feb 6, 2026
- Pension plan clients · 11 to 12Oct 6, 2025 to Feb 6, 2026
- Assets in custody · unset to 37296280.0Oct 6, 2025 to Feb 6, 2026
- Custody of client assets · false to trueOct 6, 2025 to Feb 6, 2026
- Discretionary RAUM · $129M to $145MOct 6, 2025 to Feb 6, 2026
- HNW RAUM · $95.0M to $112MOct 6, 2025 to Feb 6, 2026
- Individual RAUM · $28.7M to $30.9MOct 6, 2025 to Feb 6, 2026
- Non-discretionary RAUM · $2.7M to $2.8MOct 6, 2025 to Feb 6, 2026
- Pension RAUM · $5.7M to $2.3MOct 6, 2025 to Feb 6, 2026
- RAUM · $132M to $148MOct 6, 2025 to Feb 6, 2026
- Accounts · 436 to 442Jan 3, 2025 to Mar 6, 2025
- HNW clients · 52 to 53Jan 3, 2025 to Mar 6, 2025
- Financial planning clients · 101-250 to 101-250Jan 3, 2025 to Mar 6, 2025
- Discretionary RAUM · $121M to $129MJan 3, 2025 to Mar 6, 2025
- HNW RAUM · $84.8M to $95.0MJan 3, 2025 to Mar 6, 2025
- Individual RAUM · $31.9M to $28.7MJan 3, 2025 to Mar 6, 2025
- Non-discretionary RAUM · $2.7M to $2.7MJan 3, 2025 to Mar 6, 2025
- Pension RAUM · $4.8M to $5.7MJan 3, 2025 to Mar 6, 2025
- RAUM · $124M to $132MJan 3, 2025 to Mar 6, 2025
Signals
1 dated events
- Barrett Wealth Connection Llc filed its initial SEC registration (Form ADV)May 20, 2024 · 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
- 815-529-7527reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- BWCONNECT.COreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 815-529-7527reportedpublic record, Form ADV, Feb 6, 2026
- Contact form
- bwconnect.co/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- bwconnect.co/who-we-arereportedpublished 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
- $74.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026