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
L•••• W••••• M••••••••• L•••
Latest filing Jan 27, 2026
First filing on the tape Apr 23, 2018 · 19 filings
SEC status approved since May 16, 2018
RAUM
$327M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$327M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$164M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$327M as of Jan 27, 2026
Feb 15, 2019$107M then
HNW client RAUM$236M as of Jan 27, 2026
Feb 15, 2019$68.1M then
State-registered IARs (5.B.3)2 as of Jan 27, 2026
Feb 15, 20192 then
Employees (5.A)7 as of Jan 27, 2026
Feb 15, 20195 then
Private funds: no history
RAUM +16% over the last fiscal year+20% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $164MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 250derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $288,501derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Wrap fee program
- $301MreportedItem 5.I
- 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)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$236M72%
- Individuals$91.2M28%
- Individual clients
- 356reported
- HNW clients
- 143reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,134reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- 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=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• W••••• L•••• | Frankfort, Il | Mar 18, 2016 | 44 y | 1 |
| D•••• W••••• L•••• | Frankfort, Il | Mar 24, 2016 | 11 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
- D•••• W••••• L•••• from L•••• F•••••••• I••••••••• A•••••••• I•••Mar 18, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• D••••• W••••• · President / Chief Compliance Officercontrolsince 01/2016 · owns 50% to 75%
- L••••• J•••••• O••••• · Ownercontrolsince 02/2016 · 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 |
|---|---|---|---|---|---|
| Frankfort, Il · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Frankfort, IL2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Jan 27, 2026HNW share of RAUM moved from 36.0% to 72.0% between the annual amendments of 2025-02-06 and 2026-01-27peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 1,058 to 1,134Dec 5, 2025 to Jan 27, 2026
- HNW clients · 100 to 143Dec 5, 2025 to Jan 27, 2026
- Individual clients · 370 to 356Dec 5, 2025 to Jan 27, 2026
- Discretionary RAUM · $283M to $327MDec 5, 2025 to Jan 27, 2026
- HNW RAUM · $103M to $236MDec 5, 2025 to Jan 27, 2026
- Individual RAUM · $180M to $91.2MDec 5, 2025 to Jan 27, 2026
- RAUM · $283M to $327MDec 5, 2025 to Jan 27, 2026
- Assets in custody · 29872005.0 to unsetFeb 6, 2025 to Oct 3, 2025
- Custody of client assets · true to falseFeb 6, 2025 to Oct 3, 2025
- Financial planning clients · 0 to 0Feb 6, 2025 to Oct 3, 2025
- Pension RAUM · unset to 0.0Jan 12, 2024 to Feb 6, 2025
- Pooled vehicle RAUM · unset to 0.0Jan 12, 2024 to Feb 6, 2025
- Accounts · 952 to 1,058Jan 12, 2024 to Feb 6, 2025
- Advisory employees · 2 to 3Jan 12, 2024 to Feb 6, 2025
- Charity clients · unset to 0.0Jan 12, 2024 to Feb 6, 2025
- Corporate clients · unset to 0.0Jan 12, 2024 to Feb 6, 2025
- HNW clients · 90 to 100Jan 12, 2024 to Feb 6, 2025
- Individual clients · 365 to 370Jan 12, 2024 to Feb 6, 2025
- Pension plan clients · unset to 0.0Jan 12, 2024 to Feb 6, 2025
- Pooled vehicle clients · unset to 0.0Jan 12, 2024 to Feb 6, 2025
- Assets in custody · unset to 29872005.0Jan 12, 2024 to Feb 6, 2025
- Custody of client assets · false to trueJan 12, 2024 to Feb 6, 2025
- Employees · 6 to 7Jan 12, 2024 to Feb 6, 2025
- Discretionary RAUM · $231M to $283MJan 12, 2024 to Feb 6, 2025
- HNW RAUM · $151M to $103MJan 12, 2024 to Feb 6, 2025
- Individual RAUM · $79.5M to $180MJan 12, 2024 to Feb 6, 2025
- RAUM · $231M to $283MJan 12, 2024 to Feb 6, 2025
- Accounts · 916 to 952Dec 14, 2023 to Jan 12, 2024
- HNW clients · 78 to 90Dec 14, 2023 to Jan 12, 2024
- Individual clients · 356 to 365Dec 14, 2023 to Jan 12, 2024
- Discretionary RAUM · $188M to $231MDec 14, 2023 to Jan 12, 2024
- HNW RAUM · $122M to $151MDec 14, 2023 to Jan 12, 2024
- Individual RAUM · $65.8M to $79.5MDec 14, 2023 to Jan 12, 2024
- RAUM · $188M to $231MDec 14, 2023 to Jan 12, 2024
- Accounts · 719 to 916Jun 15, 2022 to Jan 24, 2023
- HNW clients · 91 to 78Jun 15, 2022 to Jan 24, 2023
- Individual clients · 628 to 356Jun 15, 2022 to Jan 24, 2023
- Discretionary RAUM · $207M to $188MJun 15, 2022 to Jan 24, 2023
- HNW RAUM · $118M to $122MJun 15, 2022 to Jan 24, 2023
- Individual RAUM · $88.6M to $65.8MJun 15, 2022 to Jan 24, 2023
Signals
1 dated events
- L•••• W••••• M••••••••• L••• filed its initial SEC registration (Form ADV)Apr 23, 2018 · 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 email
- l•••••••••@l•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 815-469-8887reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 815-469-8808reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- L••••WEALTH.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (815) 469-8887reportedpublic record, Form ADV, Jan 27, 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
- $164Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026