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
P••••• A••••••• G••••• L••
Latest filing Jun 24, 2026
First filing on the tape Apr 1, 2021 · 21 filings
SEC status approved since May 3, 2021
RAUM
$330M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$325M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$82.4M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$330M as of Jun 24, 2026
Mar 9, 2022$165M then
HNW client RAUM$244M as of Jun 24, 2026
Mar 9, 2022$108M then
State-registered IARs (5.B.3)4 as of Jun 24, 2026
Mar 9, 20222 then
Employees (5.A)7 as of Jun 24, 2026
Mar 9, 20223 then
Private funds: no history
RAUM +31% over the last fiscal year+26% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Jun 24, 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
- $82.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 144derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $205,552derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $87.3M, 137 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$244M74%
- Individuals$81.4M25%
- Corporations and businesses$4.0M1.2%
- Charitable organizations$108,7660.0%
- Individual clients
- 450reported
- HNW clients
- 125reported
- Pension plan clients
- 0reported
- Charitable clients
- 3reported
- Accounts
- 1,603reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $87.3M for 137 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 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 |
|---|---|---|---|---|
| M•••••• T••••• P••••• | Highland, Il | Jul 29, 2014 | 23 y | 3 |
| R•••••• G••••• R••••••• | Highland, Il | Nov 1, 2017 | 25 y | 1 |
| N••••••• D••• R••• | Highland, Il | Jul 7, 2023 | 19 y | 0 |
| G•••• M•••••• F•••••• | Highland, Il | Jun 11, 2026 | 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
none on the tape
Joined, latest
- R•••••• G••••• R••••••• from S•••••• N••••••• • C••••••• I•••••••••Nov 1, 2017 · Affiliated broker-dealer or bank to independent RIA
- M•••••• T••••• P••••• from D•••••••• • C••••••• L•••••Jul 29, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••• M••••••• S• · Chief Compliance Officer / Director Of Operationscontrolsince 01/2022 · owns less than 5%
- P•••••• M••••••• T••••• · Managing Partner And Investment Adviser Representativecontrolsince 06/2014 · owns 75% or more
- R•••••••• R••••••• G••••• · Partnercontrolsince 10/2017 · 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 |
|---|---|---|---|---|---|
| Highland, Il · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Mar 7, 2026 to Jun 24, 2026
- Employees · 6 to 7Mar 7, 2026 to Jun 24, 2026
- State-registered IARs · 3 to 4Mar 7, 2026 to Jun 24, 2026
- Accounts · 1,435 to 1,603Nov 17, 2025 to Mar 7, 2026
- Corporate clients · 9 to 8Nov 17, 2025 to Mar 7, 2026
- HNW clients · 99 to 125Nov 17, 2025 to Mar 7, 2026
- Individual clients · 418 to 450Nov 17, 2025 to Mar 7, 2026
- Assets in custody · $22.5M to $87.3MNov 17, 2025 to Mar 7, 2026
- Financial planning clients · 1-10 to 11-25Nov 17, 2025 to Mar 7, 2026
- Discretionary RAUM · $251M to $330MNov 17, 2025 to Mar 7, 2026
- HNW RAUM · $173M to $244MNov 17, 2025 to Mar 7, 2026
- Individual RAUM · $73.7M to $81.4MNov 17, 2025 to Mar 7, 2026
- RAUM · $251M to $330MNov 17, 2025 to Mar 7, 2026
- Financial planning clients · 1-10 to 1-10Mar 4, 2025 to May 2, 2025
- Accounts · 1,279 to 1,435Nov 12, 2024 to Mar 4, 2025
- Corporate clients · 6 to 9Nov 12, 2024 to Mar 4, 2025
- HNW clients · 76 to 99Nov 12, 2024 to Mar 4, 2025
- Individual clients · 386 to 418Nov 12, 2024 to Mar 4, 2025
- Assets in custody · $18.8M to $22.5MNov 12, 2024 to Mar 4, 2025
- Financial planning clients · 26-50 to 1-10Nov 12, 2024 to Mar 4, 2025
- Discretionary RAUM · $206M to $251MNov 12, 2024 to Mar 4, 2025
- HNW RAUM · $131M to $173MNov 12, 2024 to Mar 4, 2025
- Individual RAUM · $70.1M to $73.7MNov 12, 2024 to Mar 4, 2025
- RAUM · $206M to $251MNov 12, 2024 to Mar 4, 2025
- Accounts · 1,095 to 1,279Aug 8, 2023 to Feb 29, 2024
- HNW clients · 126 to 76Aug 8, 2023 to Feb 29, 2024
- Individual clients · 438 to 386Aug 8, 2023 to Feb 29, 2024
- Assets in custody · $13.4M to $18.8MAug 8, 2023 to Feb 29, 2024
- Discretionary RAUM · $163M to $206MAug 8, 2023 to Feb 29, 2024
- HNW RAUM · $103M to $131MAug 8, 2023 to Feb 29, 2024
- Individual RAUM · $57.1M to $70.1MAug 8, 2023 to Feb 29, 2024
- RAUM · $163M to $206MAug 8, 2023 to Feb 29, 2024
- Advisory employees · 2 to 3Apr 25, 2023 to Aug 7, 2023
- Employees · 5 to 6Apr 25, 2023 to Aug 7, 2023
- State-registered IARs · 2 to 3Apr 25, 2023 to Aug 7, 2023
- Advisory activities · 3 to 4Mar 2, 2023 to Mar 27, 2023
- Accounts · 997 to 1,095Nov 21, 2022 to Mar 2, 2023
- Corporate clients · 3 to 6Nov 21, 2022 to Mar 2, 2023
- HNW clients · 117 to 126Nov 21, 2022 to Mar 2, 2023
- Individual clients · 386 to 438Nov 21, 2022 to Mar 2, 2023
Signals
2 dated events
- S Melissa Nehrt (Chief Compliance Officer / Director Of Operations) appeared on Schedule A of Powers Advisory Group, LlcFeb 1, 2022 · Control person joined · fact
- Powers Advisory Group, Llc filed its initial SEC registration (Form ADV)Apr 1, 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
- 618-654-6262reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- POWERSINVEST.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 618-654-6262reportedpublic record, Form ADV, Jun 24, 2026
- Contact form
- POWERSINVEST.COM/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- POWERSINVEST.COM/our-teamreportedpublished 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
- $82.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026