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
Windrock Wealth Management
Legal name Windrock Wealth Management LLC
Latest filing Mar 17, 2026
First filing on the tape Sep 25, 2015 · 34 filings
SEC status approved since Oct 6, 2015
RAUM
$363M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$363M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$90.8M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$363M as of Mar 17, 2026
Feb 24, 2016$133M then
HNW client RAUM$342M as of Mar 17, 2026
Mar 29, 2018$152M then
State-registered IARs (5.B.3)4 as of Mar 17, 2026
Feb 24, 20162 then
Employees (5.A)5 as of Mar 17, 2026
Feb 24, 20164 then
Private funds1 as of Mar 17, 2026
Mar 23, 20171 then
RAUM +25% over the last fiscal year+1.9% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- 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
- $90.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.7MderivedHNW RAUM over HNW clients
- Average account
- $623,032derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, publicationsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$342M94%
- Individuals$20.8M5.7%
- Individual clients
- 32reported
- HNW clients
- 51reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 583reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Brett Kristian RentmeesterChartered Financial Analyst | Naperville, Il | Feb 14, 2013 | 24 y | 0 |
| Christopher Patrick CaseyChartered Financial Analyst | Naperville, Il | Jan 5, 2016 | 13 y | 0 |
| Brandy C Maben | Naperville, Il | Jul 26, 2022 | 14 y | 2 |
| Austin Miller Kent | Ann Arbor, Mi | Jul 21, 2025 | 11 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
none on the tape
Joined, latest
- Austin Miller Kent from Maripau Wealth Management LLCJul 21, 2025 · RIA to RIA
- Brandy C Maben from Levin Funding Group LLCJul 26, 2022 · RIA to RIA
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Scm Opportunity I LLC | Private Equity Fund | $0 | 39 | Sep 1, 2016 |
Owners and control persons
Schedule A and B, latest filing
- Kristian Brett Rentmeester · Managing Member/Chief Compliance Officercontrolsince 09/2012 · owns less than 5%
- Kristian Brett Rentmeester · Trusteecontrolsince 08/2008 · owns 75% or more of Declaration Of Trust Of Brett K. Rentmeester Dated August 14, 2008
Entity owners
- Declaration Of Trust Of Brett K. Rentmeester Dated August 14, 2008 · Memberdirect · owns 75% or more
- Oceanrock, LLC · Ownerdirect · owns 75% or more
- Declaration Trust Of Brent K. Rentmeester Dated August 14, 2008 · Ownerindirect · owns 75% or more of Oceanrock, LLC
Related persons
Schedule D 7.A
- Singularity Capital Management LLCpooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Naperville, Il · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 539 to 583Jul 11, 2025 to Mar 17, 2026
- Advisory employees · 3 to 4Jul 11, 2025 to Mar 17, 2026
- HNW clients · 38 to 51Jul 11, 2025 to Mar 17, 2026
- Individual clients · 35 to 32Jul 11, 2025 to Mar 17, 2026
- Employees · 4 to 5Jul 11, 2025 to Mar 17, 2026
- State-registered IARs · 3 to 4Jul 11, 2025 to Mar 17, 2026
- Discretionary RAUM · $291M to $363MJul 11, 2025 to Mar 17, 2026
- HNW RAUM · $268M to $342MJul 11, 2025 to Mar 17, 2026
- Individual RAUM · $22.1M to $20.8MJul 11, 2025 to Mar 17, 2026
- RAUM · $291M to $363MJul 11, 2025 to Mar 17, 2026
- Financial planning clients · unset to Mar 27, 2025 to Jul 11, 2025
- Accounts · 345 to 539Mar 19, 2024 to Mar 27, 2025
- HNW clients · 50 to 38Mar 19, 2024 to Mar 27, 2025
- Individual clients · 19 to 35Mar 19, 2024 to Mar 27, 2025
- Discretionary RAUM · $415M to $291MMar 19, 2024 to Mar 27, 2025
- HNW RAUM · $406M to $268MMar 19, 2024 to Mar 27, 2025
- Individual RAUM · $8.9M to $22.1MMar 19, 2024 to Mar 27, 2025
- RAUM · $415M to $291MMar 19, 2024 to Mar 27, 2025
- Accounts · 295 to 345May 3, 2023 to Mar 18, 2024
- HNW clients · 42 to 50May 3, 2023 to Mar 18, 2024
- Individual clients · 17 to 19May 3, 2023 to Mar 18, 2024
- Employees · 3 to 4May 3, 2023 to Mar 18, 2024
- Discretionary RAUM · $343M to $415MMay 3, 2023 to Mar 18, 2024
- HNW RAUM · $335M to $406MMay 3, 2023 to Mar 18, 2024
- Individual RAUM · $8.3M to $8.9MMay 3, 2023 to Mar 18, 2024
- RAUM · $343M to $415MMay 3, 2023 to Mar 18, 2024
- Accounts · 200 to 295Oct 5, 2022 to Mar 24, 2023
- Advisory employees · 2 to 3Oct 5, 2022 to Mar 24, 2023
- HNW clients · 38 to 42Oct 5, 2022 to Mar 24, 2023
- Individual clients · unset to 17.0Oct 5, 2022 to Mar 24, 2023
- Employees · 2 to 3Oct 5, 2022 to Mar 24, 2023
- State-registered IARs · 2 to 3Oct 5, 2022 to Mar 24, 2023
- Discretionary RAUM · $356M to $343MOct 5, 2022 to Mar 24, 2023
- HNW RAUM · $356M to $335MOct 5, 2022 to Mar 24, 2023
- Individual RAUM · $870,299 to $8.3MOct 5, 2022 to Mar 24, 2023
- RAUM · $356M to $343MOct 5, 2022 to Mar 24, 2023
- Accounts · 215 to 200Mar 15, 2021 to Feb 18, 2022
- HNW clients · 26 to 38Mar 15, 2021 to Feb 18, 2022
- Individual clients · 7.0 to unsetMar 15, 2021 to Feb 18, 2022
- Discretionary RAUM · $214M to $356MMar 15, 2021 to Feb 18, 2022
Signals
5 dated events
- Windrock Wealth Management reported RAUM $290.6M, down 30% from $415.3M (2024-03-19 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- Windrock Wealth Management reported RAUM $356.5M, up 66% from $214.2M (2021-03-15 to 2022-02-18)Feb 18, 2022 · RAUM change · derived
- Windrock Wealth Management reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 11, 2021 · Succession (Item 4) · fact
- Singh Gurpreet Jaggi (Trustee) no longer on Schedule A of Windrock Wealth Management (listed 2018-04-09, absent 2019-01-30)Jan 30, 2019 · Control person left · inference
- Windrock Wealth Management filed its initial SEC registration (Form ADV)Sep 25, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Windrock Wealth Management · Independent Sponsorsshared crd · capital_provider
- Windrock Wealth Management · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- assistant@windrockwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 312-650-9602reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/2975037/?TRK=TYAHreportedpublic record, Form ADV, Sep 17, 2026
- Website
- WINDROCKWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 312-650-9593reportedpublic record, Form ADV, Mar 17, 2026
- Team page
- windrockwealth.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
- $90.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026