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.

Former SEC-registered adviser

Tree City Advisors, LLC

Former SEC-registered adviserBoise, IdahoCRD 264795SEC 801-118124IAPD
Latest filing Mar 28, 2022
First filing on the tape Jan 27, 2020 · 8 filings
RAUM
$188M
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
81%
$152M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$188M as of Mar 28, 2022
Apr 1, 2020$104M then
HNW client RAUM$62.0M as of Mar 28, 2022
Apr 1, 2020$29.8M then
State-registered IARs (5.B.3)5 as of Mar 28, 2022
Apr 1, 20204 then
Employees (5.A)8 as of Mar 28, 2022
Apr 1, 20207 then
Private funds: no history
RAUM +38% over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of Mar 28, 2022; every figure names its basis
RAUM per advisor
$37.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
65derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$193,840derivedRAUM over accounts (5.F.2.f)
Discretionary
81%derivedof RAUM
Institutional
19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+38%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+30%derived
Compensation
percentage of assets, hourly, fixed fees, subscriptionreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, publications, educational seminarsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$90.2M48%
  • High-net-worth individuals$62.0M33%
  • Pension and profit-sharing plans$35.7M19%
Individual clients
297reported
HNW clients
30reported
Pension plan clients
10reported
Charitable clients
0reported
Accounts
969reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • James Brian Wiley · Managing Directorcontrol
      since 06/2015 · owns 75% or more
    • Franklin Jeremiah Bates · Chief Compliance Officer
      since 02/2019 · owns less than 5%
    • Gundrada Alexandra Lundgren · Member
      since 04/2018 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Donnelly, ID5 employees
    What changed
    consecutive filings, newest first
    • Accounts · 734 to 969
      Jun 1, 2021 to Mar 28, 2022
    • Charity clients · unset to 0.0
      Jun 1, 2021 to Mar 28, 2022
    • Corporate clients · unset to 0.0
      Jun 1, 2021 to Mar 28, 2022
    • HNW clients · 20 to 30
      Jun 1, 2021 to Mar 28, 2022
    • Individual clients · 231 to 297
      Jun 1, 2021 to Mar 28, 2022
    • Pension plan clients · 8 to 10
      Jun 1, 2021 to Mar 28, 2022
    • Pooled vehicle clients · unset to 0.0
      Jun 1, 2021 to Mar 28, 2022
    • Employees · 7 to 8
      Jun 1, 2021 to Mar 28, 2022
    • Discretionary RAUM · $103M to $152M
      Jun 1, 2021 to Mar 28, 2022
    • HNW RAUM · $38.0M to $62.0M
      Jun 1, 2021 to Mar 28, 2022
    • Individual RAUM · $64.7M to $90.2M
      Jun 1, 2021 to Mar 28, 2022
    • Non-discretionary RAUM · $33.4M to $35.7M
      Jun 1, 2021 to Mar 28, 2022
    • Pension RAUM · $33.4M to $35.7M
      Jun 1, 2021 to Mar 28, 2022
    • Pooled vehicle RAUM · unset to 0.0
      Jun 1, 2021 to Mar 28, 2022
    • RAUM · $136M to $188M
      Jun 1, 2021 to Mar 28, 2022
    • Accounts · 551 to 734
      Jun 30, 2020 to Mar 15, 2021
    • Advisory employees · 4 to 5
      Jun 30, 2020 to Mar 15, 2021
    • HNW clients · 18 to 20
      Jun 30, 2020 to Mar 15, 2021
    • Individual clients · 187 to 231
      Jun 30, 2020 to Mar 15, 2021
    • Pension plan clients · 4 to 8
      Jun 30, 2020 to Mar 15, 2021
    • Financial planning clients · 101-250 to 26-50
      Jun 30, 2020 to Mar 15, 2021
    • Other offices · 0 to 1
      Jun 30, 2020 to Mar 15, 2021
    • Discretionary RAUM · $77.3M to $103M
      Jun 30, 2020 to Mar 15, 2021
    • HNW RAUM · $29.8M to $38.0M
      Jun 30, 2020 to Mar 15, 2021
    • Individual RAUM · $47.5M to $64.7M
      Jun 30, 2020 to Mar 15, 2021
    • Non-discretionary RAUM · $26.8M to $33.4M
      Jun 30, 2020 to Mar 15, 2021
    • Pension RAUM · $26.8M to $33.4M
      Jun 30, 2020 to Mar 15, 2021
    • RAUM · $104M to $136M
      Jun 30, 2020 to Mar 15, 2021
    • Advisory employees · 5 to 4
      May 6, 2020 to May 27, 2020
    • Employees · 8 to 7
      May 6, 2020 to May 27, 2020
    • Advisory employees · 4 to 5
      Apr 1, 2020 to May 6, 2020
    • Employees · 7 to 8
      Apr 1, 2020 to May 6, 2020
    • State-registered IARs · 4 to 5
      Apr 1, 2020 to May 6, 2020
    Signals
    8 dated events
    • Jeremiah Franklin Bates left Tree City Advisors, Llc for Apollon Wealth Management, Llc (registered 2022-11-29)
      Dec 31, 2022 · Advisor changed firm · fact
    • Nicholas Glen Daniels left Tree City Advisors, Llc for Apollon Wealth Management, Llc (registered 2022-11-29)
      Dec 31, 2022 · Advisor changed firm · fact
    • Alexandra Gundrada Lundgren left Tree City Advisors, Llc for Apollon Wealth Management, Llc (registered 2022-11-29)
      Dec 31, 2022 · Advisor changed firm · fact
    • Amanda Marie-Amstutz Reynolds left Tree City Advisors, Llc for Apollon Wealth Management, Llc (registered 2023-10-06)
      Dec 31, 2022 · Advisor changed firm · fact
    • Brian James Wiley left Tree City Advisors, Llc for Apollon Wealth Management, Llc (registered 2022-11-29)
      Dec 31, 2022 · Advisor changed firm · fact
    • Tree City Advisors, LLC's advisors moved to Apollon Wealth Management, LLC (Boise, ID): 4 of 5 registered, on the same day
      Dec 31, 2022 · Firm absorbed (people side) · derived
    • Kent Lee Owings left Tree City Advisors, Llc for Clear Creek Financial Management, Llc (registered 2022-10-27)
      Nov 1, 2022 · Advisor changed firm · fact
    • Tree City Advisors, Llc filed its initial SEC registration (Form ADV)
      Jan 27, 2020 · 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026