DFX Intelligence
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SEC-registered adviser
F• F•••••••• P•••••••• L•••••
Latest filing Mar 19, 2026
First filing on the tape Aug 13, 2021 · 20 filings
SEC status approved since Sep 17, 2021
RAUM
$169M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$168M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$42.2M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$169M as of Mar 19, 2026
Mar 18, 2022$106M then
HNW client RAUM$141M as of Mar 19, 2026
Mar 18, 2022$74.0M then
State-registered IARs (5.B.3)3 as of Mar 19, 2026
Mar 18, 20223 then
Employees (5.A)3 as of Mar 19, 2026
Mar 18, 20223 then
Private funds: no history
RAUM +25% over the last fiscal year+15% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 19, 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
- RAUM per advisor
- $42.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $284,890derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 0.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$141M83%
- Individuals$27.2M16%
- Corporations and businesses$654,9610.4%
- Individual clients
- 57reported
- HNW clients
- 66reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 592reported
- Financial planning clients
- 0reported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••• L•••• S•••••• | Naperville, Il | Mar 31, 2014 | 14 y | 2 |
| J••••• S•••• D•••••Certified Financial Planner | Naperville, Il | Nov 15, 2018 | 13 y | 1 |
| N••••••• C••••• P••••••••Certified Financial Planner | Bedford, Nh | Dec 16, 2024 | 12 y | 2 |
| M••••• W••••••••Certified Financial Planner | Riverview, Fl | Jul 28, 2026 | 20 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
- R••••• J••• A•••••••• to M••••• S••••• C•••••• A•••••••• L••Dec 12, 2023 · RIA to RIA
Joined, latest
- N••••••• C••••• P•••••••• from F••••• F••••••••Dec 16, 2024 · RIA to RIA
- J••••• S•••• D••••• from E••••• J••••Nov 15, 2018 · Affiliated broker-dealer or bank to independent RIA
- C••••• L•••• S•••••• from S••••• C•••••• M••••••••• I••Mar 31, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• C•••••• L•••• · Principal & Chief Compliance Officercontrolsince 11/2011 · owns 50% to 75%
- D•••••• J•••••• S•••• · Partnersince 01/2020 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Naperville, Il | 3 | 0 | 0 | ||
| Spokane Valley, Wa | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Mcdonough, GA1 employees
- Naperville, IL1 employees
- Spokane Valley, WA1 employees
- Venice, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 545 to 592Feb 10, 2026 to Mar 19, 2026
- Corporate clients · 6 to 5Feb 10, 2026 to Mar 19, 2026
- HNW clients · 43 to 66Feb 10, 2026 to Mar 19, 2026
- Individual clients · 66 to 57Feb 10, 2026 to Mar 19, 2026
- Discretionary RAUM · $133M to $165MFeb 10, 2026 to Mar 19, 2026
- HNW RAUM · $99.3M to $141MFeb 10, 2026 to Mar 19, 2026
- Individual RAUM · $33.8M to $27.2MFeb 10, 2026 to Mar 19, 2026
- Non-discretionary RAUM · $2.7M to $3.5MFeb 10, 2026 to Mar 19, 2026
- RAUM · $135M to $169MFeb 10, 2026 to Mar 19, 2026
- Financial planning clients · 0 to 0Jun 25, 2025 to Oct 14, 2025
- Accounts · 524 to 545Dec 16, 2024 to Mar 15, 2025
- Corporate clients · unset to 6.0Dec 16, 2024 to Mar 15, 2025
- HNW clients · 49 to 43Dec 16, 2024 to Mar 15, 2025
- Individual clients · 69 to 66Dec 16, 2024 to Mar 15, 2025
- Financial planning clients · 51-100 to 0Dec 16, 2024 to Mar 15, 2025
- HQ city · unset to Dec 16, 2024 to Mar 15, 2025
- HQ state · unset to Dec 16, 2024 to Mar 15, 2025
- Discretionary RAUM · $124M to $133MDec 16, 2024 to Mar 15, 2025
- HNW RAUM · $96.6M to $99.3MDec 16, 2024 to Mar 15, 2025
- Individual RAUM · $31.1M to $33.8MDec 16, 2024 to Mar 15, 2025
- Non-discretionary RAUM · $4.1M to $2.7MDec 16, 2024 to Mar 15, 2025
- Pension RAUM · unset to 0.0Dec 16, 2024 to Mar 15, 2025
- Pooled vehicle RAUM · unset to 0.0Dec 16, 2024 to Mar 15, 2025
- RAUM · $128M to $135MDec 16, 2024 to Mar 15, 2025
- Accounts · 535 to 524Dec 12, 2023 to Feb 20, 2024
- HNW clients · 35 to 49Dec 12, 2023 to Feb 20, 2024
- Individual clients · 68 to 69Dec 12, 2023 to Feb 20, 2024
- Discretionary RAUM · $107M to $124MDec 12, 2023 to Feb 20, 2024
- HNW RAUM · $76.8M to $96.6MDec 12, 2023 to Feb 20, 2024
- Individual RAUM · $33.6M to $31.1MDec 12, 2023 to Feb 20, 2024
- Non-discretionary RAUM · $3.2M to $4.1MDec 12, 2023 to Feb 20, 2024
- RAUM · $110M to $128MDec 12, 2023 to Feb 20, 2024
- Accounts · 493 to 535Feb 14, 2023 to Feb 15, 2023
- Advisory employees · 4 to 3Feb 14, 2023 to Feb 15, 2023
- HNW clients · 32 to 35Feb 14, 2023 to Feb 15, 2023
- Individual clients · 64 to 68Feb 14, 2023 to Feb 15, 2023
- Employees · 4 to 3Feb 14, 2023 to Feb 15, 2023
- State-registered IARs · 4 to 3Feb 14, 2023 to Feb 15, 2023
- Other offices · 5 to 4Feb 14, 2023 to Feb 15, 2023
- Discretionary RAUM · $104M to $107MFeb 14, 2023 to Feb 15, 2023
Signals
2 dated events
- R••••• J••• A•••••••• left F• F•••••••• P•••••••• L••••• for M••••• S••••• C•••••• A•••••••• L•• (registered 2024-03-20)Dec 12, 2023 · Advisor changed firm · fact
- F• F•••••••• P•••••••• L••••• filed its initial SEC registration (Form ADV)Aug 13, 2021 · 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
- 877-260-9545reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/F5-FINANCIAL-P•••••••reportedpublic record, Form ADV, Sep 21, 2026
- Website
- wealthramp.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 309-370-5577reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- wealthramp.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $42.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026