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
A••••••• W•••••• L••
Latest filing Jan 29, 2026
First filing on the tape May 28, 2021 · 12 filings
SEC status approved since Jun 25, 2021
RAUM
$233M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
99%
$232M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$38.9M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$233M as of Jan 29, 2026
Mar 22, 2022$138M then
HNW client RAUM$191M as of Jan 29, 2026
Mar 22, 2022$100M then
State-registered IARs (5.B.3)6 as of Jan 29, 2026
Mar 22, 20225 then
Employees (5.A)6 as of Jan 29, 2026
Mar 22, 20227 then
Private funds: no history
RAUM +20% over the last fiscal year+17% a year over threeIARs 4 to 6
Practice profile
derived from the filing of Jan 29, 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
- i••••••••• 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
- $38.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $515,841derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$191M82%
- Individuals$40.2M17%
- Pension and profit-sharing plans$1.2M0.5%
- Charitable organizations$474,4490.2%
- Individual clients
- 90reported
- HNW clients
- 75reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 452reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| P••• V••••• G•••• | Mill Valley, Ca | Nov 3, 2014 | 36 y | 2 |
| M••••• M•• J••• | Mill Valley, Ca | Sep 21, 2015 | 17 y | 1 |
| C••••••••• M•••••• W•••••• | Mill Valley, Ca | Jun 1, 2021 | 28 y | 1 |
| B•••••• R••••• A•••••• | Mill Valley, Ca | Jun 25, 2021 | 21 y | 1 |
| C•••• D••••• L••• | Mill Valley, Ca | Feb 21, 2025 | 11 y | 0 |
| K•••• B•••••• O••••••••• | Mill Valley, Ca | Mar 24, 2025 | 12 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
- B•••••• R••••• A•••••• from S••••••••• A•••••• A•••••••• I•••Jun 25, 2021 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• M•••••• W•••••• from S••••••••• A•••••• A•••••••• I•••Jun 1, 2021 · Affiliated broker-dealer or bank to independent RIA
- M••••• M•• J••• from O••• A•••••••• I•••Sep 21, 2015 · Other
- P••• V••••• G•••• from I••••••••• F•••••••• G••••• L••Nov 3, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S••••••••• A•••••• A•••••••• I•••Jun 1, 2021 · Chesterton, In
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• P•••• V••••• · Managing Membercontrolsince 10/2014 · owns 25% to 50%
- W••••••• C••••••••• M•••••• · Principalcontrolsince 06/2021 · owns F of L••••• A••••••• A••••• L••
- A••••••• B••••••• R••••• · Chief Compliance Officersince 06/2021 · owns less than 5%
Entity owners
- L••••• A••••••• A••••• L•• · Holding Companydirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Mill Valley, Ca · principal | 6 | 0 | 0 | ||
| Chesterton, In | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Chesterton, IN1 employees
- Saint Joseph, MI1 employees
- San Rafael, CA1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Jan 29, 2026pension consulting (Item 5.G.6): no on the filing of 2025-03-27, yes on the filing of 2026-01-29peers: WEALTH_I•••••••••, $100M to $500M (5,676)
- discretionary share shiftChange between filings · filing Jan 29, 2026discretionary share of RAUM moved from 69.0% to 88.0% between the annual amendments of 2025-03-27 and 2026-01-29peers: WEALTH_I•••••••••, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 447 to 452Mar 27, 2025 to Jan 29, 2026
- Advisory employees · 4 to 6Mar 27, 2025 to Jan 29, 2026
- Advisory activities · 3 to 4Mar 27, 2025 to Jan 29, 2026
- Charity clients · 1.0 to unsetMar 27, 2025 to Jan 29, 2026
- HNW clients · 72 to 75Mar 27, 2025 to Jan 29, 2026
- Individual clients · 96 to 90Mar 27, 2025 to Jan 29, 2026
- Pension plan clients · 3.0 to unsetMar 27, 2025 to Jan 29, 2026
- Employees · 4 to 6Mar 27, 2025 to Jan 29, 2026
- State-registered IARs · 4 to 6Mar 27, 2025 to Jan 29, 2026
- Discretionary RAUM · $134M to $204MMar 27, 2025 to Jan 29, 2026
- HNW RAUM · $152M to $191MMar 27, 2025 to Jan 29, 2026
- Individual RAUM · $37.3M to $40.2MMar 27, 2025 to Jan 29, 2026
- Non-discretionary RAUM · $61.3M to $28.7MMar 27, 2025 to Jan 29, 2026
- Pension RAUM · $5.5M to $1.2MMar 27, 2025 to Jan 29, 2026
- RAUM · $195M to $233MMar 27, 2025 to Jan 29, 2026
- Accounts · 461 to 447Feb 8, 2024 to Mar 27, 2025
- Charity clients · 2 to 1Feb 8, 2024 to Mar 27, 2025
- HNW clients · 97 to 72Feb 8, 2024 to Mar 27, 2025
- Individual clients · 79 to 96Feb 8, 2024 to Mar 27, 2025
- Pension plan clients · 4 to 3Feb 8, 2024 to Mar 27, 2025
- Employees · 5 to 4Feb 8, 2024 to Mar 27, 2025
- Financial planning clients · 1-10 to 1-10Feb 8, 2024 to Mar 27, 2025
- Other offices · 3 to 2Feb 8, 2024 to Mar 27, 2025
- Discretionary RAUM · $82.4M to $134MFeb 8, 2024 to Mar 27, 2025
- HNW RAUM · $130M to $152MFeb 8, 2024 to Mar 27, 2025
- Individual RAUM · $21.4M to $37.3MFeb 8, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $76.4M to $61.3MFeb 8, 2024 to Mar 27, 2025
- Pension RAUM · $6.3M to $5.5MFeb 8, 2024 to Mar 27, 2025
- RAUM · $159M to $195MFeb 8, 2024 to Mar 27, 2025
- Accounts · 471 to 461Sep 25, 2023 to Feb 8, 2024
- HNW clients · 81 to 97Sep 25, 2023 to Feb 8, 2024
- Individual clients · 99 to 79Sep 25, 2023 to Feb 8, 2024
- Pension plan clients · 3 to 4Sep 25, 2023 to Feb 8, 2024
- Discretionary RAUM · $64.3M to $82.4MSep 25, 2023 to Feb 8, 2024
- HNW RAUM · $104M to $130MSep 25, 2023 to Feb 8, 2024
- Individual RAUM · $35.7M to $21.4MSep 25, 2023 to Feb 8, 2024
- Non-discretionary RAUM · $80.6M to $76.4MSep 25, 2023 to Feb 8, 2024
- Pension RAUM · $4.6M to $6.3MSep 25, 2023 to Feb 8, 2024
- RAUM · $145M to $159MSep 25, 2023 to Feb 8, 2024
- Accounts · 483 to 471Oct 31, 2022 to Mar 7, 2023
Signals
2 dated events
- Michael Christopher Winkler (Principal) appeared on Schedule A of A••••••• W•••••• L••Jun 30, 2021 · Control person joined · fact
- G•••• F•••••••• A••••••••• L•• filed its initial SEC registration (Form ADV)May 28, 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
- 415-383-8404reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 844-687-5342reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- aspirean.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (844) 687-5342reportedpublic record, Form ADV, Jan 29, 2026
- Contact form
- aspirean.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- aspirean.com/team/chris-winklerreportedpublished 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
- $38.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026