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.
SEC-registered adviser
Westward Investment Advisory
Legal name Westward Investment Advisory, LLC
Latest filing Mar 23, 2026
First filing on the tape Apr 27, 2020 · 10 filings
SEC status approved since May 27, 2020
RAUM
$572M
reported, Item 5.F
Discretionary
22%
of RAUM
Private clients
98%
$562M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$191M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$572M as of Mar 23, 2026
Mar 24, 2021$208M then
HNW client RAUM$557M as of Mar 23, 2026
Mar 24, 2021$205M then
State-registered IARs (5.B.3)3 as of Mar 23, 2026
Mar 24, 20213 then
Employees (5.A)5 as of Mar 23, 2026
Mar 24, 20215 then
Private funds: no history
RAUM +17% over the last fiscal year+21% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $191MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 5derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $61.9MderivedHNW RAUM over HNW clients
- Average account
- $9.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 22%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.7%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$557M98%
- Corporations and businesses$7.3M1.3%
- Individuals$4.3M0.8%
- Charitable organizations$2.6M0.5%
- Individual clients
- 7reported
- HNW clients
- 9reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 61reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Ryan Phillip Mclaughlin | Mission, Ks | Feb 15, 2016 | 14 y | 2 |
| James Michael Holcomb | Mission, Ks | Feb 15, 2016 | 27 y | 1 |
| Dale R Pfeifer | Mission, Ks | Feb 17, 2016 | 12 y | 1 |
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
- Dale R Pfeifer from Central States Capital Markets, LLCFeb 17, 2016 · Other
- James Michael Holcomb from Compass Capital CorporationFeb 15, 2016 · Other
- Ryan Phillip Mclaughlin from Central States Capital Markets, LLCFeb 15, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michael James Holcomb · Managing Member/Managing Director/Ceocontrolsince 11/2015 · owns 25% to 50%
- Patrick Casey Mcliney · Managing Member/Managing Director/Chief Compliance Officercontrolsince 11/2015 · 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 |
|---|---|---|---|---|---|
| Mission, Ks · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Milwaukee, WI1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Mar 23, 2026RAUM per account of $9,369,000 against a peer median of $611,284 (1444 comparable advisers, 99.0th percentile, 5.9 robust deviations)peers: independent wealth managers, $500M to $1B (1,444) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 56 to 61Mar 24, 2025 to Mar 23, 2026
- Charity clients · unset to 1.0Mar 24, 2025 to Mar 23, 2026
- Corporate clients · unset to 3.0Mar 24, 2025 to Mar 23, 2026
- HNW clients · 10 to 9Mar 24, 2025 to Mar 23, 2026
- Individual clients · 5 to 7Mar 24, 2025 to Mar 23, 2026
- HQ city · PRAIRIE VILLAGE to MISSIONMar 24, 2025 to Mar 23, 2026
- Discretionary RAUM · $90.3M to $126MMar 24, 2025 to Mar 23, 2026
- HNW RAUM · $479M to $557MMar 24, 2025 to Mar 23, 2026
- Individual RAUM · $2.3M to $4.3MMar 24, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $399M to $445MMar 24, 2025 to Mar 23, 2026
- RAUM · $490M to $572MMar 24, 2025 to Mar 23, 2026
- Accounts · 53 to 56May 24, 2024 to Mar 24, 2025
- Individual clients · 4 to 5May 24, 2024 to Mar 24, 2025
- Financial planning clients · 0 to 0May 24, 2024 to Mar 24, 2025
- Discretionary RAUM · $52.8M to $90.3MMay 24, 2024 to Mar 24, 2025
- HNW RAUM · $391M to $479MMay 24, 2024 to Mar 24, 2025
- Individual RAUM · $1.1M to $2.3MMay 24, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $345M to $399MMay 24, 2024 to Mar 24, 2025
- RAUM · $397M to $490MMay 24, 2024 to Mar 24, 2025
- Accounts · 54 to 53Mar 21, 2023 to Mar 22, 2024
- Individual clients · 5 to 4Mar 21, 2023 to Mar 22, 2024
- Discretionary RAUM · $44.2M to $52.8MMar 21, 2023 to Mar 22, 2024
- HNW RAUM · $321M to $391MMar 21, 2023 to Mar 22, 2024
- Individual RAUM · $1.5M to $1.1MMar 21, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $282M to $345MMar 21, 2023 to Mar 22, 2024
- RAUM · $327M to $397MMar 21, 2023 to Mar 22, 2024
- Accounts · 46 to 54Nov 23, 2022 to Mar 21, 2023
- Advisory activities · 3 to 4Nov 23, 2022 to Mar 21, 2023
- HNW clients · 12 to 10Nov 23, 2022 to Mar 21, 2023
- Individual clients · 4 to 5Nov 23, 2022 to Mar 21, 2023
- Discretionary RAUM · $45.2M to $44.2MNov 23, 2022 to Mar 21, 2023
- HNW RAUM · $285M to $321MNov 23, 2022 to Mar 21, 2023
- Individual RAUM · $1.1M to $1.5MNov 23, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $243M to $282MNov 23, 2022 to Mar 21, 2023
- RAUM · $289M to $327MNov 23, 2022 to Mar 21, 2023
- Accounts · 45 to 46Mar 24, 2021 to Mar 20, 2022
- HNW clients · 11 to 12Mar 24, 2021 to Mar 20, 2022
- Individual clients · 15 to 4Mar 24, 2021 to Mar 20, 2022
- Discretionary RAUM · $29.0M to $45.2MMar 24, 2021 to Mar 20, 2022
- HNW RAUM · $205M to $285MMar 24, 2021 to Mar 20, 2022
Signals
1 dated events
- Westward Investment Advisory filed its initial SEC registration (Form ADV)Apr 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.
How to reach
public business contact points only, each with its source
- Business phone
- 913-386-7800reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/westward-investment-advisoryreportedpublic record, Form ADV, Sep 17, 2026
- Website
- WESTWARDINVESTMENT.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 414-716-6300reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- westwardinvestment.com/contact-usreportedpublished 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
- $191Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026