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
M••••••••• F•••••••• G••••
Legal name M••••••••• F••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 31, 2025 · 4 filings
SEC status approved since May 1, 2025
RAUM
$173M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$170M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$57.6M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$173M as of Mar 27, 2026
Mar 31, 2025$139M then
HNW client RAUM$132M as of Mar 27, 2026
Mar 31, 2025$104M then
State-registered IARs (5.B.3)3 as of Mar 27, 2026
Mar 31, 20253 then
Employees (5.A)3 as of Mar 27, 2026
Mar 31, 20253 then
Private funds: no history
RAUM +24% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 27, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $57.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $315,407derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $28.5M, 56 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)
- 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$132M77%
- Individuals$37.4M22%
- Charitable organizations$1.7M1.0%
- Corporations and businesses$1.4M0.8%
- Individual clients
- 94reported
- HNW clients
- 41reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 548reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $28.5M for 56 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• S•••••• C••••••• | Iowa City, Ia | Sep 14, 2015 | 17 y | 2 |
| J••••• D•••••• J•• | Iowa City, Ia | Sep 14, 2015 | 14 y | 1 |
| A••••• P•••• P••••••••• | Iowa City, Ia | Dec 21, 2022 | 14 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
- P•••••• S•••••• C••••••• from C••••••• F•••••••• G••••Sep 14, 2015 · Other
- J••••• D•••••• J•• from M••••••••• F•••••••• G•••• L••Sep 14, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• P••••••• S•••••• · Managing Partner & Ccocontrolsince 05/2015 · owns 50% to 75%
- J••• J•••••• D•••••• · Managing Partnercontrolsince 05/2015 · 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 |
|---|---|---|---|---|---|
| Iowa City, Ia · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 27, 2026custody of client assets (Item 9.A): no on the filing of 2026-01-13, yes on the filing of 2026-03-27peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 483 to 548Jan 13, 2026 to Mar 27, 2026
- HNW clients · 36 to 41Jan 13, 2026 to Mar 27, 2026
- Individual clients · 86 to 94Jan 13, 2026 to Mar 27, 2026
- Assets in custody · unset to 28531338.0Jan 13, 2026 to Mar 27, 2026
- Custody of client assets · false to trueJan 13, 2026 to Mar 27, 2026
- Discretionary RAUM · $139M to $173MJan 13, 2026 to Mar 27, 2026
- HNW RAUM · $104M to $132MJan 13, 2026 to Mar 27, 2026
- Individual RAUM · $31.7M to $37.4MJan 13, 2026 to Mar 27, 2026
- RAUM · $139M to $173MJan 13, 2026 to Mar 27, 2026
- Financial planning clients · 101-250 to 101-250Mar 31, 2025 to May 14, 2025
Signals
No event on the tape.
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 email
- service@midwesternfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 319-499-1620reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/midwestern-financial-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H••••://WWW.M•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 319-499-1620reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- midwesternfinancial.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- midwesternfinancial.com/who-we-arereportedpublished 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
- $57.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026