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.
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SEC-registered adviser
A•••• W••••• S•••••••••
Legal name A•••• W••••• S••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Dec 8, 2020 · 11 filings
SEC status approved since Sep 2, 2025
RAUM
$134M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$132M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$66.9M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$134M as of Mar 30, 2026
Mar 11, 2021$55.3M then
HNW client RAUM$109M as of Mar 30, 2026
Mar 11, 2021$47.0M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 11, 20212 then
Employees (5.A)2 as of Mar 30, 2026
Mar 11, 20214 then
Private funds: no history
RAUM n/a over the last fiscal year+28% a year over three
Practice profile
derived from the filing of Mar 30, 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
- RAUM per advisor
- $66.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $404,053derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 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
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $30.5M, 49 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$109M82%
- Individuals$22.9M17%
- Pension and profit-sharing plans$1.5M1.1%
- Individual clients
- 40reported
- HNW clients
- 58reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 331reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $30.5M for 49 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| A••••• S•••••• M•••••Certified Financial Planner | Brisbane | Jul 6, 2023 | 14 y | 1 |
| K•••••• I•••• M••••Certified Financial Planner | Brisbane | Feb 1, 2024 | 12 y | 0 |
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 headcount1 left over 36 months
Left, latest
- K••••• R•••••• E•••••• to V•••••••• B••••• F•••••••• P•••••••Nov 27, 2023 · RIA to RIA
Joined, latest
- A••••• S•••••• M••••• from A••••••• A••••••• S•••••••Jul 6, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• A•••••• S•••••• · Proprietor/Chief Compliance Officer/Financial Planner/Portfolio Managercontrolsince 01/2013 · 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 |
|---|---|---|---|---|---|
| Prescott, Wi | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 313 to 331Jan 20, 2026 to Mar 30, 2026
- HNW clients · 49 to 58Jan 20, 2026 to Mar 30, 2026
- Individual clients · 42 to 40Jan 20, 2026 to Mar 30, 2026
- Pension plan clients · 0.0 to unsetJan 20, 2026 to Mar 30, 2026
- Assets in custody · $71.9M to $30.5MJan 20, 2026 to Mar 30, 2026
- HQ city · BRISBANE CITY to BRISBANEJan 20, 2026 to Mar 30, 2026
- Discretionary RAUM · $113M to $134MJan 20, 2026 to Mar 30, 2026
- HNW RAUM · $82.4M to $109MJan 20, 2026 to Mar 30, 2026
- Individual RAUM · $31.1M to $22.9MJan 20, 2026 to Mar 30, 2026
- Pension RAUM · $0 to $1.5MJan 20, 2026 to Mar 30, 2026
- RAUM · $113M to $134MJan 20, 2026 to Mar 30, 2026
- Accounts · 236 to 313Jul 24, 2023 to Sep 4, 2025
- Charity clients · unset to 0.0Jul 24, 2023 to Sep 4, 2025
- Corporate clients · unset to 0.0Jul 24, 2023 to Sep 4, 2025
- HNW clients · 48 to 49Jul 24, 2023 to Sep 4, 2025
- Individual clients · 22 to 42Jul 24, 2023 to Sep 4, 2025
- Pension plan clients · 2 to 0Jul 24, 2023 to Sep 4, 2025
- Pooled vehicle clients · unset to 0.0Jul 24, 2023 to Sep 4, 2025
- Assets in custody · $0 to $71.9MJul 24, 2023 to Sep 4, 2025
- Custody of client assets · false to trueJul 24, 2023 to Sep 4, 2025
- Financial planning clients · 51-100 to 51-100Jul 24, 2023 to Sep 4, 2025
- HQ city · MINNEAPOLIS to BRISBANE CITYJul 24, 2023 to Sep 4, 2025
- HQ state · MN to Jul 24, 2023 to Sep 4, 2025
- Discretionary RAUM · $64.5M to $113MJul 24, 2023 to Sep 4, 2025
- HNW RAUM · $54.4M to $82.4MJul 24, 2023 to Sep 4, 2025
- Individual RAUM · $6.5M to $31.1MJul 24, 2023 to Sep 4, 2025
- Pension RAUM · $3.6M to $0Jul 24, 2023 to Sep 4, 2025
- Pooled vehicle RAUM · unset to 0.0Jul 24, 2023 to Sep 4, 2025
- RAUM · $64.5M to $113MJul 24, 2023 to Sep 4, 2025
- HQ city · BRISBANE to MINNEAPOLISJun 27, 2023 to Jul 24, 2023
- HQ state · unset to MNJun 27, 2023 to Jul 24, 2023
- Other offices · 3 to 2Jun 27, 2023 to Jul 24, 2023
- Accounts · 282 to 236Mar 24, 2022 to Mar 31, 2023
- HNW clients · 32 to 48Mar 24, 2022 to Mar 31, 2023
- Individual clients · 34 to 22Mar 24, 2022 to Mar 31, 2023
- Pension plan clients · unset to 2.0Mar 24, 2022 to Mar 31, 2023
- Employees · 3 to 2Mar 24, 2022 to Mar 31, 2023
- Other offices · 2 to 3Mar 24, 2022 to Mar 31, 2023
- Discretionary RAUM · $62.7M to $64.5MMar 24, 2022 to Mar 31, 2023
- HNW RAUM · $44.3M to $54.4MMar 24, 2022 to Mar 31, 2023
Signals
2 dated events
- K••••• R•••••• E•••••• left A•••• W••••• S••••••••• for V•••••••• B••••• F•••••••• P••••••• (registered 2024-04-04)Nov 27, 2023 · Advisor changed firm · fact
- A•••• W••••• S••••••••• filed its initial SEC registration (Form ADV)Dec 8, 2020 · 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
- 888-544-3250reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/arete-wealth-australiareportedpublic record, Form ADV, Sep 19, 2026
- Website
- a•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (888) 544-3250reportedpublic record, Form ADV, Mar 30, 2026
- Team page
- a•••••••.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
- $66.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026