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
E•••••••• W•••••
Legal name C••••• A•• A••••••••• I•••••••••
Latest filing Jun 10, 2026
First filing on the tape Mar 17, 2015 · 34 filings
SEC status approved since Mar 24, 2015
RAUM
$1.2B
reported, Item 5.F
Discretionary
66%
of RAUM
Private clients
51%
$604M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$197M
derived; firm RAUM over IAPD count
Employees
12
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$1.2B as of Jun 10, 2026
Mar 4, 2016$101M then
HNW client RAUM$418M as of Jun 10, 2026
Mar 12, 2018$72.4M then
State-registered IARs (5.B.3)6 as of Jun 10, 2026
Mar 4, 20163 then
Employees (5.A)12 as of Jun 10, 2026
Mar 4, 20165 then
Private funds: no history
RAUM +22% over the last fiscal year+21% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Jun 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $197MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 96derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $697,569derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 66%derivedof RAUM
- Institutional
- 33%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Financial planning clients
- 601reportedItem 5.H
- Custody
- $26.5M, 6 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)
- a related person has custody of client cash (9.B.1.a)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$418M35%
- Pension and profit-sharing plans$387M33%
- Individuals$186M16%
- Corporations and businesses$185M16%
- Charitable organizations$3.8M0.3%
- Individual clients
- 434reported
- HNW clients
- 139reported
- Pension plan clients
- 58reported
- Charitable clients
- 6reported
- Accounts
- 1,691reported
- Financial planning clients
- 601reported
- Wrap fee programs
- noreported
- Custody of client assets
- $26.5M for 6 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.51 fund_share=0.0 institutional_share=0.33 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• W•••• C•••••Certified Financial Planner | Naples, Fl | Mar 7, 2014 | 32 y | 1 |
| S•••• M•••••• N•••••Certified Financial Planner | Naples, Fl | Mar 7, 2014 | 26 y | 2 |
| R••• T•••••• D•••••Certified Financial Planner | Springfield, Il | Mar 7, 2014 | 18 y | 2 |
| W••• D•••••• C•••••••Certified Financial Planner | Springfield, Il | Oct 2, 2018 | 16 y | 0 |
| E••• M••••••• C•••••Certified Financial Planner | Springfield, Il | Jun 24, 2020 | 13 y | 0 |
| T•••••• S••••• N••• | Naples, Fl | Mar 10, 2025 | 24 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
- T•••••• S••••• N••• from J••• M••••• S••••••••• L••Mar 10, 2025 · Wirehouse to independent RIA
- K•••• W•••• C••••• from L•• F•••••••• L••Mar 7, 2014 · Other
- S•••• M•••••• N••••• from L•• F•••••••• L••Mar 7, 2014 · Other
- R••• T•••••• D••••• from L•• F•••••••• L••Mar 7, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L•• F•••••••• L••Jul 2, 2018 · Springfield, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• W•••• D•••••• · Wealth Advisorcontrolsince 01/2025 · owns 5% to 10%
- C•••••• D••••• A••••• · Secretary And Treasurercontrolsince 01/2022 · owns 5% to 10%
- C•••••• E•••• M••••••• · President And Wealth Advisorcontrolsince 01/2022 · owns 5% to 10%
- C•••••• K••••• W•••• · Chairman Of The Board, Chief Investment Officer And Wealth Advisorcontrolsince 01/2011 · owns 50% to 75%
- G••••• T•••• C•••••• · Shareholdercontrolsince 06/2022 · owns 10% to 25%
- J••••••• B••••••• K••••••• · Chief Compliance Officercontrolsince 02/2025 · owns less than 5%
- N•••••• S••••• M•••••• · Chief Executive Officer And Wealth Advisorcontrolsince 01/2018 · owns 10% to 25%
- G•••••• C••••••• M•••• · Shareholdersince 01/2025 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Naples, Fl | 6 | 0 | 0 | ||
| Springfield, Il · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Naples, FL5 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 10, 2026C•••••••• W•••• D•••••• (WEALTH ADVISOR) appeared on Schedule A between the filings of 2022-07-07 and 2026-06-10peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jun 10, 2026J••••••• B••••••• K••••••• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2022-07-07 and 2026-06-10peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,500 to 1,691Dec 10, 2025 to Mar 5, 2026
- Charity clients · 5 to 6Dec 10, 2025 to Mar 5, 2026
- Corporate clients · 32 to 42Dec 10, 2025 to Mar 5, 2026
- HNW clients · 131 to 139Dec 10, 2025 to Mar 5, 2026
- Individual clients · 388 to 434Dec 10, 2025 to Mar 5, 2026
- Pension plan clients · 57 to 58Dec 10, 2025 to Mar 5, 2026
- Assets in custody · $28.5M to $26.5MDec 10, 2025 to Mar 5, 2026
- Employees · 11 to 12Dec 10, 2025 to Mar 5, 2026
- Discretionary RAUM · $607M to $780MDec 10, 2025 to Mar 5, 2026
- HNW RAUM · $349M to $418MDec 10, 2025 to Mar 5, 2026
- Individual RAUM · $126M to $186MDec 10, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $363M to $400MDec 10, 2025 to Mar 5, 2026
- Pension RAUM · $354M to $387MDec 10, 2025 to Mar 5, 2026
- RAUM · $970M to $1.2BDec 10, 2025 to Mar 5, 2026
- Business name · T•••••• F•••••••• to E•••••••• W•••••Jul 8, 2025 to Nov 25, 2025
- Financial planning clients · More than 500 to More than 500Mar 24, 2025 to Jul 8, 2025
- Accounts · 1,371 to 1,500Oct 31, 2024 to Mar 24, 2025
- Advisory employees · 5 to 6Oct 31, 2024 to Mar 24, 2025
- Corporate clients · 29 to 32Oct 31, 2024 to Mar 24, 2025
- HNW clients · 128 to 131Oct 31, 2024 to Mar 24, 2025
- Individual clients · 353 to 388Oct 31, 2024 to Mar 24, 2025
- Pension plan clients · 50 to 57Oct 31, 2024 to Mar 24, 2025
- Assets in custody · unset to 28522266.0Oct 31, 2024 to Mar 24, 2025
- Custody of client assets · false to trueOct 31, 2024 to Mar 24, 2025
- Employees · 9 to 11Oct 31, 2024 to Mar 24, 2025
- Financial planning clients · 251-500 to More than 500Oct 31, 2024 to Mar 24, 2025
- State-registered IARs · 5 to 6Oct 31, 2024 to Mar 24, 2025
- Discretionary RAUM · $531M to $607MOct 31, 2024 to Mar 24, 2025
- HNW RAUM · $309M to $349MOct 31, 2024 to Mar 24, 2025
- Individual RAUM · $107M to $126MOct 31, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $310M to $363MOct 31, 2024 to Mar 24, 2025
- Pension RAUM · $300M to $354MOct 31, 2024 to Mar 24, 2025
- RAUM · $841M to $970MOct 31, 2024 to Mar 24, 2025
- Related insurance company · false to trueOct 31, 2024 to Mar 24, 2025
- Accounts · 514 to 1,371Sep 18, 2023 to Mar 25, 2024
- Charity clients · unset to 5.0Sep 18, 2023 to Mar 25, 2024
- Corporate clients · 22 to 29Sep 18, 2023 to Mar 25, 2024
- HNW clients · 117 to 128Sep 18, 2023 to Mar 25, 2024
- Individual clients · 291 to 353Sep 18, 2023 to Mar 25, 2024
- Pension plan clients · 63 to 50Sep 18, 2023 to Mar 25, 2024
Signals
8 dated events
- E•••••••• W••••• reported RAUM $840.9M, up 26% from $665.9M (2023-09-18 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- E•••••••• W••••• reported RAUM $665.9M, up 25% from $531.9M (2022-07-07 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- Charles Todd Green (Shareholder) appeared on Schedule A of E•••••••• W•••••Jul 7, 2022 · Control person joined · fact
- A••••• D•••• C••••• (Secretary) appeared on Schedule A of E•••••••• W•••••Mar 30, 2022 · Control person joined · fact
- E•••••••• W••••• reported RAUM $531.9M, up 102% from $263.9M (2021-05-07 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Jane Courtney Babiak (Chief Operating Officer) no longer on Schedule A of E•••••••• W••••• (listed 2021-05-07, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- M Erin C••••• (Secretary) appeared on Schedule A of E•••••••• W•••••Mar 30, 2022 · Control person joined · fact
- T•••••• F•••••••• A••••••• filed its initial SEC registration (Form ADV)Mar 17, 2015 · 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
- 217-321-3210reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 239-944-2900reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/egwadvisorsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- egwadvisors.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (217) 321-3210reportedpublic record, Form ADV, Jun 10, 2026
- Contact form
- egwadvisors.com/contactreportedpublished 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
- $197Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026