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
W•••••• F•••••••• S•••••••• I•••
Latest filing Aug 10, 2026
First filing on the tape Feb 3, 2020 · 15 filings
SEC status approved since Mar 4, 2020
RAUM
$328M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$328M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$46.8M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$328M as of Aug 10, 2026
Mar 30, 2021$162M then
HNW client RAUM$185M as of Aug 10, 2026
Mar 30, 2021$66.6M then
State-registered IARs (5.B.3)4 as of Aug 10, 2026
Mar 30, 20213 then
Employees (5.A)4 as of Aug 10, 2026
Mar 30, 20213 then
Private funds: no history
RAUM +19% over the last fiscal year+18% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Aug 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- $46.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 162derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $610,881derivedHNW RAUM over HNW clients
- Average account
- $289,040derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.6derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, 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
- is a broker-dealer (6.A.1)
- 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)
- 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
- High-net-worth individuals$185M56%
- Individuals$143M44%
- Individual clients
- 831reported
- HNW clients
- 303reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,134reported
- 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=3.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• J••••• W•••••• | Council Bluffs, Ia | Aug 23, 2016 | 16 y | 0 |
| T•••••• J••••• W•••••• | Dubuque, Ia | Aug 23, 2016 | 44 y | 0 |
| M••••• T••••• B••••• | Dubuque, Ia | Feb 28, 2017 | 41 y | 0 |
| R•••••• A•••• Q•••• | Dubuque, Ia | Jun 11, 2018 | 38 y | 0 |
| M•••••• J•••• M•••• | Dubuque, Ia | Jan 17, 2020 | 10 y | 0 |
| M••• G• W•••••• | Dubuque, Ia | Dec 3, 2025 | 11 y | 0 |
| J••• D•••••• L••••• | Council Bluffs, Ia | Jul 14, 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
- A••• J• R••• to A•••••• P••••••• P•••••••• I•••Jun 10, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• T•••••• J••••• · President / Bd Chief Compliance Officercontrolsince 07/1990 · owns 50% to 75%
- W••••••• B•••••• J••••• · Vice President/Ria Chief Compliance Officersince 01/2016 · 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 |
|---|---|---|---|---|---|
| Dubuque, Ia · principal | 7 | 2 | 0 | ||
| Council Bluffs, Ia | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,593 to 1,134Mar 31, 2025 to Jan 13, 2026
- Advisory employees · 3 to 4Mar 31, 2025 to Jan 13, 2026
- BD registered reps · 2 to 3Mar 31, 2025 to Jan 13, 2026
- HNW clients · 254 to 303Mar 31, 2025 to Jan 13, 2026
- Individual clients · 846 to 831Mar 31, 2025 to Jan 13, 2026
- Employees · 3 to 4Mar 31, 2025 to Jan 13, 2026
- State-registered IARs · 3 to 4Mar 31, 2025 to Jan 13, 2026
- Discretionary RAUM · $271M to $325MMar 31, 2025 to Jan 13, 2026
- HNW RAUM · $159M to $185MMar 31, 2025 to Jan 13, 2026
- Individual RAUM · $115M to $143MMar 31, 2025 to Jan 13, 2026
- Non-discretionary RAUM · $3.0M to $3.1MMar 31, 2025 to Jan 13, 2026
- RAUM · $274M to $328MMar 31, 2025 to Jan 13, 2026
- Accounts · 1,518 to 1,593Jan 2, 2025 to Mar 31, 2025
- HNW clients · 228 to 254Jan 2, 2025 to Mar 31, 2025
- Individual clients · 728 to 846Jan 2, 2025 to Mar 31, 2025
- Financial planning clients · 0 to 0Jan 2, 2025 to Mar 31, 2025
- Discretionary RAUM · $236M to $271MJan 2, 2025 to Mar 31, 2025
- HNW RAUM · $121M to $159MJan 2, 2025 to Mar 31, 2025
- Individual RAUM · $118M to $115MJan 2, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $2.2M to $3.0MJan 2, 2025 to Mar 31, 2025
- RAUM · $239M to $274MJan 2, 2025 to Mar 31, 2025
- Accounts · 1,316 to 1,518Sep 26, 2023 to Mar 27, 2024
- HNW clients · 193 to 228Sep 26, 2023 to Mar 27, 2024
- Individual clients · 657 to 728Sep 26, 2023 to Mar 27, 2024
- Discretionary RAUM · $197M to $236MSep 26, 2023 to Mar 27, 2024
- HNW RAUM · $93.6M to $121MSep 26, 2023 to Mar 27, 2024
- Individual RAUM · $106M to $118MSep 26, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $2.1M to $2.2MSep 26, 2023 to Mar 27, 2024
- RAUM · $199M to $239MSep 26, 2023 to Mar 27, 2024
- Accounts · 1,246 to 1,316Mar 31, 2022 to Mar 31, 2023
- HNW clients · 179 to 193Mar 31, 2022 to Mar 31, 2023
- Individual clients · 578 to 657Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $203M to $197MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $102M to $93.6MMar 31, 2022 to Mar 31, 2023
- Individual RAUM · $107M to $106MMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $6.3M to $2.1MMar 31, 2022 to Mar 31, 2023
- RAUM · $209M to $199MMar 31, 2022 to Mar 31, 2023
- Accounts · 1,005 to 1,246Mar 30, 2021 to Mar 31, 2022
- HNW clients · 138 to 179Mar 30, 2021 to Mar 31, 2022
- Individual clients · 379 to 578Mar 30, 2021 to Mar 31, 2022
Signals
4 dated events
- M••• G• W•••••• added a IL registration at W•••••• F•••••••• S•••••••• I•••Sep 15, 2026 · New state registration · fact
- M••• G• W•••••• added a WI registration at W•••••• F•••••••• S•••••••• I•••Sep 15, 2026 · New state registration · fact
- A••• J• R••• left W•••••• F•••••••• S•••••••• I••• for A•••••• P••••••• P•••••••• I••• (registered 2024-08-01)Jun 10, 2022 · Advisor changed firm · fact
- W•••••• F•••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)Feb 3, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 563-583-6020reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 563-583-6053reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-570-6020reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 563-583-6020reportedpublic record, Form ADV, Aug 10, 2026
- Contact form
- weitzelfinancial.com/contact-us.htmlreportedpublished 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
- $46.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026