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
S•••••• W••••• M••••••••• L••
Latest filing Mar 12, 2026
First filing on the tape Sep 15, 2014 · 53 filings
SEC status approved since Oct 1, 2014
RAUM
$600M
reported, Item 5.F
Discretionary
38%
of RAUM
Private clients
100%
$600M individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$37.5M
derived; firm RAUM over IAPD count
Employees
16
16 advisory (5.B.1)
Offices
9
beyond the principal office
Private funds
0
reported on Schedule D
History
53 filings and snapshots on the tape
RAUM$600M as of Mar 12, 2026
Feb 17, 2015$233M then
HNW client RAUM$181M as of Mar 12, 2026
Mar 28, 2018$241M then
State-registered IARs (5.B.3)16 as of Mar 12, 2026
Feb 17, 201511 then
Employees (5.A)16 as of Mar 12, 2026
Feb 17, 201512 then
Private funds: no history
RAUM +17% over the last fiscal year+11% a year over threeIARs 16 to 16offices 12 to 9
Practice profile
derived from the filing of Mar 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- 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)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $37.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 103derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $207,339derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 38%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.6derived10 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Financial planning clients
- 2,000reportedItem 5.H
- Wrap fee program
- $593MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$418M70%
- High-net-worth individuals$181M30%
- Individual clients
- 1,548reported
- HNW clients
- 92reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,892reported
- Financial planning clients
- 2,000reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- 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=15.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• D••••• L••••Chartered Financial Consultant | Barrington, Il | Oct 6, 2014 | 34 y | 3 |
| C•••••• R••••••••• I•••••Chartered Financial Consultant | Wilmette, Il | Dec 19, 2014 | 43 y | 1 |
| T•••••• E••••• O•••••••• | Barrington, Il | Jan 16, 2015 | 20 y | 2 |
| E••••• V••••• S••••Certified Financial Planner | Barrington, Il | Mar 20, 2015 | 18 y | 1 |
| D•••• L••••••• A••••••Certified Financial Planner | Barrington, Il | Mar 20, 2015 | 33 y | 3 |
| J••• J•••• K••••• | Barrington, Il | Apr 3, 2015 | 27 y | 0 |
| C•••••• P•••••• M••••Certified Financial Planner | Glen Ellyn, Il | Jul 24, 2015 | 34 y | 2 |
| S••• L••••Certified Financial Planner | Chicago, Il | Apr 15, 2016 | 13 y | 1 |
| D•••• E••• B••••••Chartered Financial Consultant | Atlanta, Ga | Aug 26, 2016 | 14 y | 2 |
| R••••• A••••• E•••••Chartered Financial Consultant | Appleton, Wi | Nov 7, 2016 | 39 y | 0 |
| L••• P• Z•••••Certified Financial Planner | Barrington, Il | May 9, 2017 | 34 y | 3 |
| G••• T••••• H•••• | Barrington, Il | May 10, 2018 | 34 y | 1 |
| A•••••• J••••• B•••••••••Personal Financial Specialist | Barrington, Il | Mar 18, 2019 | 23 y | 2 |
| P•••••• D••••• L••••Certified Financial Planner | Barrington, Il | Apr 28, 2021 | 10 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 headcount0 left over 36 months
Left, latest
- R•••• L••••• D•••• to L•• F•••••••• L••Jun 1, 2023 · RIA to affiliated broker-dealer or bank
- C••••• P••••••• J•••• to L•• F•••••••• L••Jun 1, 2023 · RIA to affiliated broker-dealer or bank
- S••••• R••••• C••••• to J•• W•••••Feb 16, 2023 · RIA to a state-registered adviser
- T•••• W•••••• S•••• to O•••• A••••••• S•••••••• L••Apr 30, 2021 · RIA to affiliated broker-dealer or bank
- T•••••• S•••• to O•••• A••••••• S•••••••• L••Apr 30, 2021 · RIA to affiliated broker-dealer or bank
- J••••• G•••• to J•• W•••••Aug 11, 2020 · RIA to a state-registered adviser
- E••• A•••••• M•••• to O•••• A••••••• S•••••••• L••Sep 26, 2019 · RIA to affiliated broker-dealer or bank
- T••••••• K• B•••••• to O•••• A••••••• S•••••••• L••Sep 26, 2019 · RIA to affiliated broker-dealer or bank
- K•••• B•••• M••••• to O•••• A••••••• S•••••••• L••Sep 26, 2019 · RIA to affiliated broker-dealer or bank
- J••••• A••••• L•••• to O•••• A••••••• S•••••••• L••Sep 26, 2019 · RIA to affiliated broker-dealer or bank
- M••• J• S••••••••• to O•••• A••••••• S•••••••• L••Sep 26, 2019 · RIA to affiliated broker-dealer or bank
- J••••• P•••• V•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••May 15, 2018 · RIA to affiliated broker-dealer or bank
- A••••• P••• R••••• to J•• W•••••Apr 23, 2018 · RIA to a state-registered adviser
- A••••• G••••• P••••• to C••• L••Aug 15, 2017 · Other
- C••••••••• M•••••• C•••• to C••• L••Aug 15, 2017 · Other
Joined, latest
- S••••• R••••• C••••• from M••••• S••••••Mar 27, 2020 · Wirehouse to independent RIA
- R•••• L••••• D•••• from A•••••••• I••••••••• M••••••••• L••Oct 1, 2019 · RIA to RIA
- C••••• P••••••• J•••• from A•••••••• I••••••••• M••••••••• L••Oct 1, 2019 · RIA to RIA
- A•••••• J••••• B••••••••• from R••••••••• M••••••• I•••Mar 18, 2019 · Other
- G••• T••••• H•••• from S••••••• F•••••••• S•••••••• I•••May 10, 2018 · Other
- E••• A•••••• M•••• from W•••••• • R•••Jul 17, 2017 · Other
- A••••• P••• R••••• from E•••••••• A•••••••• L••Jun 16, 2017 · Other
- L••• P• Z••••• from S••••••• P•••••••• A••••••••• S•••••• I••May 9, 2017 · Other
- C•••••• P•••••• M•••• from L•••• F••• A••••••• S•••••••Jul 24, 2015 · Other
- D•••• L••••••• A•••••• from J••• M••••• S••••••••• L••Mar 20, 2015 · Other
- J••••• P•••• V•••• from L•• F•••••••• L••Mar 20, 2015 · Other
- E••••• V••••• S•••• from R••••• W• B•••• • C•• I•••••••••Mar 20, 2015 · Other
- T••••••• K• B•••••• from L•• F•••••••• L••Feb 25, 2015 · Other
- M••• J• S••••••••• from L•• F•••••••• L••Feb 17, 2015 · Other
- T•••••• E••••• O•••••••• from S••••••• F•••••••• S•••••••• I•••Jan 16, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for O•••• A••••••• S•••••••• L••Apr 30, 2021 · Barrington, Il
- 5 left for O•••• A••••••• S•••••••• L••Sep 26, 2019 · Barrington, Il
- 2 left for C••• L••Aug 15, 2017 · Barrington, Il
- 2 joined from A•••••••• I••••••••• M••••••••• L••Oct 2, 2019 · Sheffiled Village, Oh
- 2 joined from L•• F•••••••• L••Sep 18, 2019 · South Barrington, Il
- 2 joined from L•• F•••••••• L••Oct 28, 2015 · South Barrington, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• R•••••• D••••• · Chief Compliance Officer And Managing Membercontrolsince 10/2014 · 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 |
|---|---|---|---|---|---|
| Barrington, Il · principal | 13 | 0 | 0 | ||
| Chicago, Il | 4 | 0 | 0 | ||
| Appleton, Wi | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL3 employees
- Appleton, WI2 employees
- Naperville, IL1 employees
- Wilmette, IL1 employees
- Glenn Ellyn, IL1 employees
- Barrington, IL1 employees
- ,
What changed
consecutive filings, newest first
- Accounts · 2,698 to 2,892Sep 17, 2025 to Mar 12, 2026
- HNW clients · 74 to 92Sep 17, 2025 to Mar 12, 2026
- Individual clients · 1,476 to 1,548Sep 17, 2025 to Mar 12, 2026
- Other offices · 12 to 9Sep 17, 2025 to Mar 12, 2026
- Discretionary RAUM · $199M to $227MSep 17, 2025 to Mar 12, 2026
- HNW RAUM · $141M to $181MSep 17, 2025 to Mar 12, 2026
- Individual RAUM · $373M to $418MSep 17, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $315M to $372MSep 17, 2025 to Mar 12, 2026
- RAUM · $514M to $600MSep 17, 2025 to Mar 12, 2026
- Financial planning clients · More than 500 to More than 500Mar 17, 2025 to Jul 14, 2025
- Accounts · 2,593 to 2,698Mar 13, 2024 to Mar 17, 2025
- Advisory employees · 20 to 16Mar 13, 2024 to Mar 17, 2025
- BD registered reps · 19 to 15Mar 13, 2024 to Mar 17, 2025
- HNW clients · 67 to 74Mar 13, 2024 to Mar 17, 2025
- Individual clients · 1,449 to 1,476Mar 13, 2024 to Mar 17, 2025
- Employees · 20 to 16Mar 13, 2024 to Mar 17, 2025
- State-registered IARs · 20 to 16Mar 13, 2024 to Mar 17, 2025
- Other offices · 10 to 12Mar 13, 2024 to Mar 17, 2025
- Discretionary RAUM · $200M to $199MMar 13, 2024 to Mar 17, 2025
- HNW RAUM · $142M to $141MMar 13, 2024 to Mar 17, 2025
- Individual RAUM · $315M to $373MMar 13, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $257M to $315MMar 13, 2024 to Mar 17, 2025
- RAUM · $457M to $514MMar 13, 2024 to Mar 17, 2025
- Accounts · 3,032 to 2,593Jul 13, 2023 to Mar 13, 2024
- Advisory employees · 22 to 20Jul 13, 2023 to Mar 13, 2024
- BD registered reps · 21 to 19Jul 13, 2023 to Mar 13, 2024
- HNW clients · 132 to 67Jul 13, 2023 to Mar 13, 2024
- Individual clients · 1,863 to 1,449Jul 13, 2023 to Mar 13, 2024
- Employees · 22 to 20Jul 13, 2023 to Mar 13, 2024
- State-registered IARs · 22 to 20Jul 13, 2023 to Mar 13, 2024
- Other offices · 11 to 10Jul 13, 2023 to Mar 13, 2024
- Discretionary RAUM · $194M to $200MJul 13, 2023 to Mar 13, 2024
- HNW RAUM · $191M to $142MJul 13, 2023 to Mar 13, 2024
- Individual RAUM · $247M to $315MJul 13, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $244M to $257MJul 13, 2023 to Mar 13, 2024
- RAUM · $438M to $457MJul 13, 2023 to Mar 13, 2024
- Other offices · 12 to 11Mar 10, 2023 to Jun 1, 2023
- Accounts · 2,434 to 3,032Jan 19, 2023 to Mar 10, 2023
- HNW clients · 126 to 132Jan 19, 2023 to Mar 10, 2023
- Individual clients · 2,308 to 1,863Jan 19, 2023 to Mar 10, 2023
Signals
5 dated events
- R•••• L••••• D•••• left S•••••• W••••• M••••••••• L•• for L•• F•••••••• L•• (registered 2023-06-05)Jun 1, 2023 · Advisor changed firm · fact
- C••••• P••••••• J•••• left S•••••• W••••• M••••••••• L•• for L•• F•••••••• L•• (registered 2023-06-05)Jun 1, 2023 · Advisor changed firm · fact
- S••••• R••••• C••••• left S•••••• W••••• M••••••••• L•• for J•• W••••• (registered 2020-04-03)Feb 16, 2023 · Advisor changed firm · fact
- S•••••• W••••• M••••••••• L•• reported RAUM $459.8M, up 28% from $359.5M (2020-07-02 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- S•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 15, 2014 · 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
- 847-310-5900reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 847-331-6058reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 847-477-0929reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/jmc-wealth-management/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/ironwood-family-wealth-advisors-llc/aboreportedpublic record, Form ADV, Sep 18, 2026
- Website
- sequoiafinancialplanning.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 847-310-5900reportedpublic record, Form ADV, Mar 12, 2026
- Contact form
- sequoiafinancialplanning.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- sequoiafinancialplanning.com/team-memberreportedpublished 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
- $37.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026