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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Former SEC-registered adviser

W•••• T•••• F•••••••• P••••••• S•••••••• L•••

Former SEC-registered adviserCedar Rapids, IowaCRD 28289SEC 801-68763IAPD
Latest filing Jul 15, 2022
First filing on the tape Mar 29, 2012 · 27 filings
RAUM
$730M
reported, Item 5.F
Discretionary
2.1%
of RAUM
Private clients
98%
$717M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$730M as of Mar 3, 2022
Mar 29, 2012$135M then
HNW client RAUM$334M as of Mar 3, 2022
Mar 28, 2018$198M then
State-registered IARs (5.B.3)9 as of Mar 3, 2022
Mar 29, 20120 then
Employees (5.A)16 as of Mar 3, 2022
Mar 7, 20137 then
Private funds: no history
RAUM +18% over the last fiscal year+18% a year over threeIARs 10 to 9
Practice profile
derived from the filing of Jul 15, 2022; every figure names its basis
RAUM per advisor
$81.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
148derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.0MderivedHNW RAUM over HNW clients
Average account
$179,741derivedRAUM over accounts (5.F.2.f)
Discretionary
2.1%derivedof RAUM
Institutional
1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
4.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
-10%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, portfolio management for businesses and institutionsreportedItem 5.G
Financial planning clients
1,500reportedItem 5.H
Custody
$514M, 746 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
  • 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)
  • 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
  • Individuals$382M52%
  • High-net-worth individuals$334M46%
  • Charitable organizations$13.4M1.8%
Individual clients
1,263reported
HNW clients
67reported
Pension plan clients
n/areported
Charitable clients
7reported
Accounts
4,062reported
Financial planning clients
1,500reported
Wrap fee programs
noreported
Custody of client assets
$514M for 746 clientsreported
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
Left, 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
    • H••••••••• B••••••• O••• · Vice Presidentcontrol
      since 01/2018 · owns 25% to 50%
    • M••••••• T•••• A••••• · Owner, President Of Firm Board, Chief Compliance Officercontrol
      since 12/2012 · owns 50% to 75%
    • M••••• R•••••• M•••••• · Ownercontrol
      since 01/2019 · owns 5% to 10%
    • S••••••• D••••• S•• · Vice Presidentcontrol
      since 01/2019 · owns 5% to 10%
    • J••••••• C•••••••• A•• · Chief Administrative Officer
      since 06/2010 · owns less than 5%
    • K•••• S••••• S•• · Secretary/Treasurer
      since 01/2002 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Iowa City, IA3 employees
    What changed
    consecutive filings, newest first
    • Accounts · 3,712 to 4,062
      Nov 12, 2021 to Mar 3, 2022
    • Advisory employees · 10 to 9
      Nov 12, 2021 to Mar 3, 2022
    • Charity clients · 5 to 7
      Nov 12, 2021 to Mar 3, 2022
    • HNW clients · 52 to 67
      Nov 12, 2021 to Mar 3, 2022
    • Individual clients · 1,200 to 1,263
      Nov 12, 2021 to Mar 3, 2022
    • Assets in custody · $305M to $514M
      Nov 12, 2021 to Mar 3, 2022
    • Employees · 11 to 16
      Nov 12, 2021 to Mar 3, 2022
    • State-registered IARs · 10 to 9
      Nov 12, 2021 to Mar 3, 2022
    • Discretionary RAUM · $0 to $15.3M
      Nov 12, 2021 to Mar 3, 2022
    • HNW RAUM · $268M to $334M
      Nov 12, 2021 to Mar 3, 2022
    • Individual RAUM · $340M to $382M
      Nov 12, 2021 to Mar 3, 2022
    • Non-discretionary RAUM · $620M to $715M
      Nov 12, 2021 to Mar 3, 2022
    • RAUM · $620M to $730M
      Nov 12, 2021 to Mar 3, 2022
    • Related insurance company · true to false
      Nov 12, 2021 to Mar 3, 2022
    • Accounts · 3,535 to 3,712
      Sep 18, 2020 to Mar 25, 2021
    • Advisory employees · 8 to 10
      Sep 18, 2020 to Mar 25, 2021
    • Charity clients · 3 to 5
      Sep 18, 2020 to Mar 25, 2021
    • HNW clients · 42 to 52
      Sep 18, 2020 to Mar 25, 2021
    • Individual clients · 1,129 to 1,200
      Sep 18, 2020 to Mar 25, 2021
    • Assets in custody · unset to 305140337.0
      Sep 18, 2020 to Mar 25, 2021
    • Custody of client assets · false to true
      Sep 18, 2020 to Mar 25, 2021
    • Employees · 9 to 11
      Sep 18, 2020 to Mar 25, 2021
    • State-registered IARs · 8 to 10
      Sep 18, 2020 to Mar 25, 2021
    • HNW RAUM · $222M to $268M
      Sep 18, 2020 to Mar 25, 2021
    • Individual RAUM · $319M to $340M
      Sep 18, 2020 to Mar 25, 2021
    • Non-discretionary RAUM · $546M to $620M
      Sep 18, 2020 to Mar 25, 2021
    • RAUM · $546M to $620M
      Sep 18, 2020 to Mar 25, 2021
    • Accounts · 3,093 to 3,535
      May 3, 2019 to Mar 4, 2020
    • Advisory employees · 9 to 8
      May 3, 2019 to Mar 4, 2020
    • HNW clients · 28 to 42
      May 3, 2019 to Mar 4, 2020
    • Individual clients · 1,039 to 1,129
      May 3, 2019 to Mar 4, 2020
    • State-registered IARs · 9 to 8
      May 3, 2019 to Mar 4, 2020
    • Other offices · 2 to 1
      May 3, 2019 to Mar 4, 2020
    • HNW RAUM · $169M to $222M
      May 3, 2019 to Mar 4, 2020
    • Individual RAUM · $276M to $319M
      May 3, 2019 to Mar 4, 2020
    • Non-discretionary RAUM · $449M to $546M
      May 3, 2019 to Mar 4, 2020
    • RAUM · $449M to $546M
      May 3, 2019 to Mar 4, 2020
    • Accounts · 930 to 3,093
      Mar 28, 2018 to Mar 27, 2019
    • Advisory employees · 8 to 9
      Mar 28, 2018 to Mar 27, 2019
    • HNW clients · 31 to 28
      Mar 28, 2018 to Mar 27, 2019
    Signals
    14 dated events
    • W•••• T•••• F•••••••• P••••••• S•••••••• L•••'s advisors moved to S••••• W••••• M••••••••• (Cedar Rapids, IA): 8 of 8 registered, on the same day
      Dec 31, 2022 · Firm absorbed (people side) · derived
    • S•••• A••• N•••• left W•••• T•••• F•••••••• P••••••• S•••••••• L••• for S••••• W••••• M••••••••• (registered 2022-10-04)
      Dec 31, 2022 · Advisor changed firm · fact
    • T••• A••••• M•••••• left W•••• T•••• F•••••••• P••••••• S•••••••• L••• for S••••• W••••• M••••••••• (registered 2022-10-04)
      Dec 31, 2022 · Advisor changed firm · fact
    • S•••• B••• S••••• left W•••• T•••• F•••••••• P••••••• S•••••••• L••• for S••••• W••••• M••••••••• (registered 2022-10-04)
      Dec 31, 2022 · Advisor changed firm · fact
    • D•••• S•• S•••••• left W•••• T•••• F•••••••• P••••••• S•••••••• L••• for S••••• W••••• M••••••••• (registered 2022-10-04)
      Dec 31, 2022 · Advisor changed firm · fact
    • B•••••• O••• H•••••••• left W•••• T•••• F•••••••• P••••••• S•••••••• L••• for S••••• W••••• M••••••••• (registered 2022-10-04)
      Dec 31, 2022 · Advisor changed firm · fact
    • D•••• C•••• G••••• left W•••• T•••• F•••••••• P••••••• S•••••••• L••• for S••••• W••••• M••••••••• (registered 2022-10-04)
      Dec 31, 2022 · Advisor changed firm · fact
    • M•••••• W•••••• R••• left W•••• T•••• F•••••••• P••••••• S•••••••• L••• for S••••• W••••• M••••••••• (registered 2022-10-04)
      Dec 31, 2022 · Advisor changed firm · fact
    • R••••• M•••••• M•••• left W•••• T•••• F•••••••• P••••••• S•••••••• L••• for S••••• W••••• M••••••••• (registered 2022-10-04)
      Dec 31, 2022 · Advisor changed firm · fact
    • J T••• H•••• (Trustee) no longer on Schedule A of W•••• T•••• F•••••••• P••••••• S•••••••• L••• (listed 2022-03-04, absent 2022-06-24)
      Jun 24, 2022 · Control person left · inference
    • Timothy Franciscus Terry (Owner And Board Member) no longer on Schedule A of W•••• T•••• F•••••••• P••••••• S•••••••• L••• (listed 2021-09-14, absent 2021-11-12)
      Nov 12, 2021 · Control person left · inference
    • J T••• H•••• (Trustee) appeared on Schedule A of W•••• T•••• F•••••••• P••••••• S•••••••• L•••
      Nov 12, 2021 · Control person joined · fact
    • Patricia Ann D••••son (Owner, Chief Compliance Officer And Chairman Of The Board) no longer on Schedule A of W•••• T•••• F•••••••• P••••••• S•••••••• L••• (listed 2018-03-28, absent 2019-03-27)
      Mar 27, 2019 · Control person left · inference
    • Matthew Robert Myers (Owner) appeared on Schedule A of W•••• T•••• F•••••••• P••••••• S•••••••• L•••
      Mar 27, 2019 · Control person joined · 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