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
W••••• P•••••• E••••• P•••••••• L••
Latest filing Apr 20, 2026
First filing on the tape Aug 21, 2013 · 17 filings
SEC status approved since Aug 27, 2013
RAUM
$173M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$173M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$173M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$173M as of Apr 20, 2026
Mar 3, 2014$145M then
HNW client RAUM$173M as of Apr 20, 2026
Mar 2, 2018$125M then
State-registered IARs (5.B.3)1 as of Apr 20, 2026
Mar 3, 20140 then
Employees (5.A)3 as of Apr 20, 2026
Mar 3, 20143 then
Private funds: no history
RAUM -11% over the last fiscal year+11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- uhnw p•••••• wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $173MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 2derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $86.3MderivedHNW RAUM over HNW clients
- Average account
- $86.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, otherreportedItem 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$173M100%
- Individual clients
- 0reported
- HNW clients
- 2reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• H• W•••••• | Omaha, Ne | Oct 3, 2022 | 19 y | 5 |
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
- S•••• H• W•••••• from T••••••• I••••••••• M••••••••• I•••Oct 3, 2022 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• S•••••• W•••••• · President/Managing Member/Ceo/Ccocontrolsince 01/2007 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $193M to $173MJun 9, 2025 to Feb 18, 2026
- HNW RAUM · $193M to $173MJun 9, 2025 to Feb 18, 2026
- RAUM · $193M to $173MJun 9, 2025 to Feb 18, 2026
- Financial planning clients · 1-10 to 1-10Feb 14, 2025 to Jun 9, 2025
- BD registered reps · 1 to 0Feb 23, 2024 to Feb 14, 2025
- State-registered IARs · 2 to 1Feb 23, 2024 to Feb 14, 2025
- Discretionary RAUM · $145M to $193MFeb 23, 2024 to Feb 14, 2025
- HNW RAUM · $145M to $193MFeb 23, 2024 to Feb 14, 2025
- RAUM · $145M to $193MFeb 23, 2024 to Feb 14, 2025
- Discretionary RAUM · $125M to $145MMar 17, 2023 to Feb 23, 2024
- HNW RAUM · $125M to $145MMar 17, 2023 to Feb 23, 2024
- RAUM · $125M to $145MMar 17, 2023 to Feb 23, 2024
- Advisory employees · 1 to 2Feb 25, 2022 to Mar 17, 2023
- Employees · 2 to 3Feb 25, 2022 to Mar 17, 2023
- State-registered IARs · 1 to 2Feb 25, 2022 to Mar 17, 2023
- Discretionary RAUM · $112M to $125MFeb 25, 2022 to Mar 17, 2023
- HNW RAUM · $112M to $125MFeb 25, 2022 to Mar 17, 2023
- RAUM · $112M to $125MFeb 25, 2022 to Mar 17, 2023
- Discretionary RAUM · $136M to $112MMar 11, 2021 to Feb 25, 2022
- HNW RAUM · $136M to $112MMar 11, 2021 to Feb 25, 2022
- RAUM · $136M to $112MMar 11, 2021 to Feb 25, 2022
- Employees · 3 to 2Jul 16, 2020 to Mar 11, 2021
- Financial planning clients · 0 to 1-10Jul 16, 2020 to Mar 11, 2021
- Discretionary RAUM · $146M to $136MJul 16, 2020 to Mar 11, 2021
- HNW RAUM · $146M to $136MJul 16, 2020 to Mar 11, 2021
- RAUM · $146M to $136MJul 16, 2020 to Mar 11, 2021
- Discretionary RAUM · $113M to $146MMar 13, 2019 to Mar 17, 2020
- HNW RAUM · $113M to $146MMar 13, 2019 to Mar 17, 2020
- RAUM · $113M to $146MMar 13, 2019 to Mar 17, 2020
- HNW clients · 3 to 2Mar 2, 2018 to Mar 13, 2019
- Discretionary RAUM · $125M to $113MMar 2, 2018 to Mar 13, 2019
- HNW RAUM · $125M to $113MMar 2, 2018 to Mar 13, 2019
- RAUM · $125M to $113MMar 2, 2018 to Mar 13, 2019
- Charity clients · unset to 0.0Mar 27, 2017 to Mar 2, 2018
- Corporate clients · unset to 0.0Mar 27, 2017 to Mar 2, 2018
- HNW clients · unset to 3.0Mar 27, 2017 to Mar 2, 2018
- Individual clients · unset to 0.0Mar 27, 2017 to Mar 2, 2018
- Pension plan clients · unset to 0.0Mar 27, 2017 to Mar 2, 2018
- Pooled vehicle clients · unset to 0.0Mar 27, 2017 to Mar 2, 2018
- Employees · 1 to 3Mar 27, 2017 to Mar 2, 2018
Signals
1 dated events
- W••••• P•••••• E••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Aug 21, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- W••••• P•••••• E••••• P•••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Principal office phone
- 402-991-2201reportedpublic record, Form ADV, Apr 20, 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
- $173Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026