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
Rothschild Wealth LLC
Latest filing Jun 16, 2026
First filing on the tape Mar 22, 2012 · 67 filings
SEC status approved since Apr 16, 2012
RAUM
$1.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$1.6B individuals and HNW
Advisors
31
registered through the firm on IAPD
RAUM per advisor
$54.8M
derived; firm RAUM over IAPD count
Employees
27
23 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
2
reported on Schedule D
History
67 filings and snapshots on the tape
RAUM$1.7B as of Jun 16, 2026
Apr 5, 2013$122M then
HNW client RAUM$1.3B as of Jun 16, 2026
May 2, 2018$277M then
State-registered IARs (5.B.3)25 as of Jun 16, 2026
Apr 5, 20135 then
Employees (5.A)27 as of Jun 16, 2026
Apr 5, 20135 then
Private funds2 as of Jun 16, 2026
Apr 29, 20251 then
RAUM +126% over the last fiscal year+41% a year over threeIARs 18 to 25offices 0 to 2
Practice profile
derived from the filing of Jun 16, 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $54.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 115derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $797,388derivedHNW RAUM over HNW clients
- Average account
- $464,308derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 10.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +126%derivedbetween the last two annual amendments
- Advisor growth, one year
- +39%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +248%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-based, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $596M, 1,031 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
- 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
- High-net-worth individuals$1.3B76%
- Individuals$294M17%
- Corporations and businesses$78.7M4.6%
- Charitable organizations$20.5M1.2%
- Pension and profit-sharing plans$15.0M0.9%
- Pooled investment vehicles$1.8M0.1%
- Individual clients
- 1,955reported
- HNW clients
- 1,614reported
- Pension plan clients
- 11reported
- Charitable clients
- 22reported
- Accounts
- 3,656reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $596M for 1,031 clientsreported
- Compensation
- % of AUM, fixed, hourly, performance, commissionsreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=false bd_reps=16.0derived
Advisors registered through the firm
31 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Luke James Novak | Oakbrook, Il | Jun 27, 2006 | 22 y | 0 |
| Bart Richard Bonga | Oakbrook, Il | Jan 31, 2011 | 30 y | 0 |
| James Allyn Franke | Oakbrook, Il | Dec 15, 2011 | 22 y | 3 |
| Andrew Craig Atseff | Oakbrook, Il | Jun 4, 2012 | 21 y | 3 |
| Tyler David QualioCertified Financial Planner | Oakbrook, Il | Jun 4, 2012 | 25 y | 2 |
| Kyle James Depasquale | Oakbrook, Il | Nov 14, 2012 | 16 y | 2 |
| Curtis Robert Ellergodt | Oak Brook, Il | Oct 30, 2015 | 11 y | 1 |
| John James Mcgrath | Oakbrook, Il | Dec 14, 2015 | 12 y | 1 |
| Gabriella Rose Kent | Oakbrook, Il | Mar 19, 2018 | 19 y | 0 |
| Phillip Eugene Johnson | Oakbrook, Il | Jan 1, 2019 | 32 y | 0 |
| Jonathan Samuel KrugerChartered Financial Consultant | Oakbrook, Il | Jun 3, 2019 | 37 y | 0 |
| James R DawsonCertified Financial Planner | Oakbrook, Il | Dec 4, 2019 | 12 y | 1 |
| Daniel A Knapp | Oakbrook, Il | Mar 26, 2021 | 17 y | 0 |
| Stephen Jacob Mccormick | Oakbrook, Il | May 6, 2023 | 14 y | 0 |
| John Doetsch Newhouse | Oakbrook, Il | Jun 6, 2024 | 24 y | 0 |
| Jack Warren RaffertyCertified Financial Planner | Oakbrook, Il | Sep 18, 2024 | 12 y | 1 |
| Ethan Michael SchmidtCertified Financial Planner | Oakbrook, Il | Oct 2, 2024 | 10 y | 4 |
| Jacqueline Paredes Sedlak | Chicago, Il | Jan 28, 2025 | 14 y | 4 |
| Connor Ladone | Oakbrook, Il | Mar 5, 2025 | 10 y | 1 |
| Thomas Mccarthy Obrien | Oakbrook, Il | May 12, 2025 | 19 y | 3 |
| Michael J AdlerCertified Financial Planner | Oakbrook, Il | Jul 31, 2025 | 15 y | 1 |
| Steven Richard McgowanCertified Financial Planner, Chartered Financial Analyst | Oakbrook, Il | Sep 15, 2025 | 12 y | 4 |
| Steven Ross NorvidChartered Financial Analyst | Oakbrook, Il | Oct 20, 2025 | 17 y | 2 |
| Michael James Corbett | Oakbrook, Il | Dec 18, 2025 | 29 y | 2 |
| Sean Michael CondonCertified Financial Planner | Oakbrook, Il | Dec 18, 2025 | 22 y | 2 |
| Britton Hill Reynolds | Monona, Wi | Jan 2, 2026 | 15 y | 3 |
| Bret J Petersen | Oakbrook, Il | Jan 6, 2026 | 23 y | 5 |
| Lisa Ann Bussenger | Oakbrook, Il | Mar 25, 2026 | 28 y | 3 |
| Michael BeckChartered Financial Analyst | Oakbrook, Il | Apr 3, 2026 | 12 y | 1 |
| Jared Thomas WinkersChartered Financial Consultant | Oakbrook, Il | Jul 9, 2026 | 15 y | 0 |
| John Walton Simmons | Crested Butte, Co | Aug 20, 2026 | 25 y | 5 |
Advisor movement
0 left, 8 joined in 12 months
net +8 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount4 left over 36 months
Left, latest
- Daniel Harrison Stringfellow to Vestgen Advisors, LLCMay 8, 2025 · RIA to RIA
- Ann Elizabeth Gunst to Trustmont Advisory Group, Inc.Jan 24, 2025 · RIA to affiliated broker-dealer or bank
- Belinda Marie Lusk to Compass Financial Management LLCMar 6, 2024 · RIA to RIA
- Gery Joseph Sadzewicz to Bridgeportfolio, Inc.Jan 25, 2024 · Other
- James Robert Davenport to Compass Financial Management LLCSep 5, 2023 · RIA to RIA
- Gregory Steven Johnson to Paradigm Wealth Management, LLCSep 5, 2023 · RIA to RIA
- Kevin Vincent Cooney to Paradigm Wealth Management, LLCSep 5, 2023 · RIA to RIA
- Mark Alan Fleming to Paradigm Wealth Management, LLCSep 5, 2023 · RIA to RIA
- Dennis Monohan to Halo Investment Services, LLCAug 9, 2023 · RIA to a newly registered adviser
- Terrence Patrick Hawkins to Halo Investment Services, LLCAug 9, 2023 · RIA to a newly registered adviser
- Chloe Anne Leitzke to Halo Investment Services, LLCAug 9, 2023 · RIA to a newly registered adviser
- Ian James Zindel to Halo Investment Services, LLCAug 9, 2023 · RIA to a newly registered adviser
- Joseph Lee Moses to Halo Investment Services, LLCAug 9, 2023 · RIA to a newly registered adviser
- Alexander Rabinovich to Halo Investment Services, LLCAug 9, 2023 · RIA to a newly registered adviser
- Frank Thomas Madalone to Halo Investment Services, LLCAug 9, 2023 · RIA to a newly registered adviser
Joined, latest
- John Walton Simmons from Invicta Advisors LLCAug 20, 2026 · RIA to RIA
- Michael Beck from Cambridge Investment Research Advisors, Inc.Apr 3, 2026 · Affiliated broker-dealer or bank to independent RIA
- Lisa Ann Bussenger from Kinetic Investment Management, Inc.Mar 25, 2026 · RIA to RIA
- Bret J Petersen from Wells Fargo AdvisorsJan 6, 2026 · Wirehouse to independent RIA
- Britton Hill Reynolds from Premise Capital, LLCJan 2, 2026 · Other
- Sean Michael Condon from Perritt Capital Management IncDec 18, 2025 · RIA to RIA
- Michael James Corbett from Perritt Capital Management IncDec 18, 2025 · RIA to RIA
- Steven Ross Norvid from Siligmueller & Norvid Wealth Advisors LLCOct 20, 2025 · RIA to RIA
- Steven Richard Mcgowan from Wealth Enhancement Advisory Services, LLCSep 15, 2025 · Affiliated broker-dealer or bank to independent RIA
- Michael J Adler from Goldman Sachs Wealth Services, L.P.Jul 31, 2025 · Affiliated broker-dealer or bank to independent RIA
- Thomas Mccarthy Obrien from Morningstar Investment Services LLCMay 12, 2025 · RIA to RIA
- Connor Ladone from UBS Financial Services Inc.Mar 5, 2025 · Wirehouse to independent RIA
- Ethan Michael Schmidt from Alphacore Capital LLCOct 2, 2024 · RIA to RIA
- Jack Warren Rafferty from Creative PlanningSep 18, 2024 · RIA to RIA
- Daniel Christopher Gorman from Envestnet PmcJun 6, 2023 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Paradigm Wealth Management, LLCSep 5, 2023 · Oakbrook, Il
- 10 left for Halo Investment Services, LLCAug 9, 2023 · Oakbrook, Il
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Rothschild Madison, LLC | $13.1M | 60 | Jun 16, 2026 | |
| Rothschild Swag LLC | Venture Capital Fund | $1.8M | 25 | Dec 4, 2024 |
Owners and control persons
Schedule A and B, latest filing
- Robert Curtis Ellergodt · Chief Financial Officercontrolsince 01/2023 · owns less than 5%
- Eugene Phillip Johnson · Presidentcontrolsince 07/2023 · owns less than 5%
- Joseph Gery Sadzewicz · Ccosince 03/2012 · owns less than 5%
Entity owners
- Tin Goose Holdings, LLC · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Rothschild Investmentbroker-dealerinvestment adviseryRAUM $2.8B
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Oakbrook, Il · principal | 31 | 12 | 0 | ||
| Chicago, Il | 3 | 2 | 0 | ||
| Plainfield, Il | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Mar 30, 2026individual and HNW clients (Item 5.D) moved from 1,025.0 to 3,569.0 (+248.0%) between the annual amendments of 2025-04-29 and 2026-03-30; the peer median change was +5.0% (1132 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,132) · 99% percentile
- RAUM up 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $751,143,585 to $1,697,509,307 (+126.0%) between the annual amendments of 2025-04-29 and 2026-03-30; the peer median change was +17.0% (1297 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,297) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 2,878 to 3,656Jan 7, 2026 to Mar 30, 2026
- Advisory employees · 14 to 23Jan 7, 2026 to Mar 30, 2026
- BD registered reps · 12 to 16Jan 7, 2026 to Mar 30, 2026
- Charity clients · 0 to 22Jan 7, 2026 to Mar 30, 2026
- Corporate clients · 0 to 53Jan 7, 2026 to Mar 30, 2026
- HNW clients · 563 to 1,614Jan 7, 2026 to Mar 30, 2026
- Individual clients · 462 to 1,955Jan 7, 2026 to Mar 30, 2026
- Pension plan clients · 6 to 11Jan 7, 2026 to Mar 30, 2026
- Pooled vehicle clients · 0 to 1Jan 7, 2026 to Mar 30, 2026
- Assets in custody · $119M to $596MJan 7, 2026 to Mar 30, 2026
- Employees · 22 to 27Jan 7, 2026 to Mar 30, 2026
- Insurance-licensed employees · 0 to 1Jan 7, 2026 to Mar 30, 2026
- Financial planning clients · 101-250 to 251-500Jan 7, 2026 to Mar 30, 2026
- State-registered IARs · 18 to 25Jan 7, 2026 to Mar 30, 2026
- Other offices · 1 to 2Jan 7, 2026 to Mar 30, 2026
- Private funds · 1 to 2Jan 7, 2026 to Mar 30, 2026
- Discretionary RAUM · $707M to $1.7BJan 7, 2026 to Mar 30, 2026
- HNW RAUM · $476M to $1.3BJan 7, 2026 to Mar 30, 2026
- Individual RAUM · $231M to $294MJan 7, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $44.4M to $6.2MJan 7, 2026 to Mar 30, 2026
- Pension RAUM · $44.4M to $15.0MJan 7, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $0 to $1.8MJan 7, 2026 to Mar 30, 2026
- RAUM · $751M to $1.7BJan 7, 2026 to Mar 30, 2026
- Advisory activities · 3 to 4Aug 27, 2025 to Oct 29, 2025
- Other offices · 0 to 1Aug 27, 2025 to Oct 29, 2025
- Assets in custody · $92.0M to $119MApr 29, 2025 to Aug 27, 2025
- Accounts · 2,755 to 2,878Dec 18, 2024 to Apr 29, 2025
- Advisory employees · 9 to 14Dec 18, 2024 to Apr 29, 2025
- BD registered reps · 3 to 12Dec 18, 2024 to Apr 29, 2025
- HNW clients · 529 to 563Dec 18, 2024 to Apr 29, 2025
- Individual clients · 451 to 462Dec 18, 2024 to Apr 29, 2025
- Pension plan clients · 0 to 6Dec 18, 2024 to Apr 29, 2025
- Employees · 17 to 22Dec 18, 2024 to Apr 29, 2025
- Financial planning clients · 101-250 to 101-250Dec 18, 2024 to Apr 29, 2025
- State-registered IARs · 14 to 18Dec 18, 2024 to Apr 29, 2025
- Discretionary RAUM · $616M to $707MDec 18, 2024 to Apr 29, 2025
- HNW RAUM · $423M to $476MDec 18, 2024 to Apr 29, 2025
- Individual RAUM · $192M to $231MDec 18, 2024 to Apr 29, 2025
- Non-discretionary RAUM · $0 to $44.4MDec 18, 2024 to Apr 29, 2025
- Pension RAUM · $0 to $44.4MDec 18, 2024 to Apr 29, 2025
Signals
33 dated events
- Rothschild Wealth Llc reported RAUM $1.7B, up 126% from $751.1M (2026-01-07 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Daniel Harrison Stringfellow left Rothschild Wealth Llc for Vestgen Advisors, Llc (registered 2025-05-27)May 8, 2025 · Advisor changed firm · fact
- Ann Elizabeth Gunst left Rothschild Wealth Llc for Trustmont Advisory Group, Inc. (registered 2025-01-27)Jan 24, 2025 · Advisor changed firm · fact
- Robert Curtis Ellergodt (Chief Financial Officer) appeared on Schedule A of Rothschild Wealth LlcJul 2, 2024 · Control person joined · fact
- Rothschild Wealth Llc reported 14 state-registered advisory representatives, down from 35 (2023-08-18 to 2024-03-25)Mar 25, 2024 · Advisor headcount change · derived
- Belinda Marie Lusk left Rothschild Wealth Llc for Compass Financial Management Llc (registered 2023-10-24)Mar 6, 2024 · Advisor changed firm · fact
- Gery Joseph Sadzewicz left Rothschild Wealth Llc for Bridgeportfolio, Inc. (registered 2012-04-19)Jan 25, 2024 · Advisor changed firm · fact
- Gregory Steven Johnson left Rothschild Wealth Llc for Paradigm Wealth Management, Llc (registered 2023-09-01)Sep 5, 2023 · Advisor changed firm · fact
- Mark Alan Fleming left Rothschild Wealth Llc for Paradigm Wealth Management, Llc (registered 2023-09-01)Sep 5, 2023 · Advisor changed firm · fact
- Kevin Vincent Cooney left Rothschild Wealth Llc for Paradigm Wealth Management, Llc (registered 2023-09-06)Sep 5, 2023 · Advisor changed firm · fact
- James Robert Davenport left Rothschild Wealth Llc for Compass Financial Management Llc (registered 2023-09-07)Sep 5, 2023 · Advisor changed firm · fact
- 3 advisors left Rothschild Wealth LLC (Oakbrook, IL) for Paradigm Wealth Management, LLC on the same daySep 5, 2023 · Team lift-out · derived
- David Tyler Qualio (Member) no longer on Schedule A of Rothschild Wealth Llc (listed 2023-08-10, absent 2023-08-17)Aug 17, 2023 · Control person left · inference
- Eugene Phillip Johnson (President) appeared on Schedule A of Rothschild Wealth LlcAug 17, 2023 · Control person joined · fact
- Terrence Patrick Hawkins left Rothschild Wealth Llc for Halo Investment Services, Llc (registered 2023-08-08)Aug 9, 2023 · Advisor changed firm · fact
- Joseph Lee Moses left Rothschild Wealth Llc for Halo Investment Services, Llc (registered 2023-08-09)Aug 9, 2023 · Advisor changed firm · fact
- Alexander Rabinovich left Rothschild Wealth Llc for Halo Investment Services, Llc (registered 2023-08-08)Aug 9, 2023 · Advisor changed firm · fact
- Daniel Barrett Hennig left Rothschild Wealth Llc for Halo Investment Services, Llc (registered 2023-08-08)Aug 9, 2023 · Advisor changed firm · fact
- Chloe Anne Leitzke left Rothschild Wealth Llc for Halo Investment Services, Llc (registered 2023-08-08)Aug 9, 2023 · Advisor changed firm · fact
- Ian James Zindel left Rothschild Wealth Llc for Halo Investment Services, Llc (registered 2023-08-08)Aug 9, 2023 · Advisor changed firm · fact
- Dennis Monohan left Rothschild Wealth Llc for Halo Investment Services, Llc (registered 2023-08-08)Aug 9, 2023 · Advisor changed firm · fact
- Daniel Christopher Gorman left Rothschild Wealth Llc for Halo Investment Services, Llc (registered 2023-08-08)Aug 9, 2023 · Advisor changed firm · fact
- Frank Thomas Madalone left Rothschild Wealth Llc for Halo Investment Services, Llc (registered 2023-08-18)Aug 9, 2023 · Advisor changed firm · fact
- Christopher John Sullivan left Rothschild Wealth Llc for Halo Investment Services, Llc (registered 2023-08-11)Aug 9, 2023 · Advisor changed firm · fact
- 9 advisors left Rothschild Wealth LLC (Chicago, IL) for Halo Investment Services, LLC on the same dayAug 9, 2023 · Team lift-out · derived
- Anthony Gedwill left Rothschild Wealth Llc for Silver Oak Securities, Inc. (registered 2024-09-09)May 22, 2023 · Advisor changed firm · fact
- John C Ericson left Rothschild Wealth Llc for Oppenheimer & Co. Inc. (registered 2025-01-22)May 22, 2023 · Advisor changed firm · fact
- James Clifford Edelmann left Rothschild Wealth Llc for Securities America Advisors, Inc. (registered 2023-07-18)May 22, 2023 · Advisor changed firm · fact
- Dennis G O'Malley left Rothschild Wealth Llc for The Invictus Collective, Llc (registered 2023-07-19)May 22, 2023 · Advisor changed firm · fact
- Kevin Jordan Graham left Rothschild Wealth Llc for Zacks Investment Management, Inc. (registered 2023-11-02)May 15, 2023 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- Sentinus, LLC · Private Equityshared crd · intermediary
- Rothschild Wealth LLC · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 312-983-8900reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/companyRothschild-wealth-partners/posts/?feedVireportedpublic record, Form ADV, Sep 17, 2026
- Website
- rothschildwealth.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 630-448-5711reportedpublic record, Form ADV, Jun 16, 2026
- Contact form
- rothschildwealth.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- rothschildwealth.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $54.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026