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
A••••• A•• M••• W••••• M•••••••••
Legal name A••••• F•••••••• P••••••• L••
Latest filing Jul 24, 2026
First filing on the tape Jan 21, 2022 · 17 filings
SEC status approved since Feb 22, 2022
RAUM
$168M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$168M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$42.1M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$168M as of Jul 24, 2026
Feb 21, 2023$92.2M then
HNW client RAUM$133M as of Jul 24, 2026
Feb 21, 2023$76.1M then
State-registered IARs (5.B.3)5 as of Jul 24, 2026
Feb 21, 20235 then
Employees (5.A)6 as of Jul 24, 2026
Feb 21, 20235 then
Private funds: no history
RAUM +31% over the last fiscal year+22% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Jul 24, 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
- RAUM per advisor
- $42.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $287,574derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.4%derived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $76.8M, 88 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)
- 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)
- 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$133M79%
- Individuals$34.8M21%
- Individual clients
- 80reported
- HNW clients
- 53reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 585reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $76.8M for 88 clientsreported
- Compensation
- 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=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Q•••• R••••• A••••• | Hiawatha, Ia | May 2, 2016 | 20 y | 0 |
| M•••••• M•••••• H•••••• | Hiawatha, Ia | Dec 10, 2018 | 15 y | 1 |
| N••••••• R••••• F••• | Hiawatha, Ia | Feb 8, 2021 | 23 y | 0 |
| K••• B••••Certified Financial Planner | Hiawatha, Ia | Jun 26, 2025 | 11 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount2 left over 36 months
Left, latest
- C••• L•••• G••••• to C••••• F•• F••••••••Jun 11, 2026 · RIA to a state-registered adviser
- R••••• C•••• B••••• to C•• A•••• M••••••••• I•••Dec 31, 2024 · RIA to RIA
Joined, latest
- R••••• C•••• B••••• from B••••• W••••• M•••••••••Apr 28, 2022 · Other
- M•••••• M•••••• H•••••• from H•••••• C•••••• M•••••••••Dec 10, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• Q••••• R••••• · Managing Member/Ccocontrolsince 03/2016 · owns 75% or more
- H••••••• M••••••• M•••••• · Ownercontrolsince 10/2019 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Hiawatha, Ia · principal | 4 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Royal Oak, MI1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 539 to 585Jun 10, 2025 to Feb 12, 2026
- Advisory employees · 4 to 5Jun 10, 2025 to Feb 12, 2026
- Advisory activities · 3 to 2Jun 10, 2025 to Feb 12, 2026
- HNW clients · 46 to 53Jun 10, 2025 to Feb 12, 2026
- Individual clients · 79 to 80Jun 10, 2025 to Feb 12, 2026
- Assets in custody · $61.7M to $76.8MJun 10, 2025 to Feb 12, 2026
- Employees · 5 to 6Jun 10, 2025 to Feb 12, 2026
- State-registered IARs · 4 to 5Jun 10, 2025 to Feb 12, 2026
- Discretionary RAUM · $128M to $168MJun 10, 2025 to Feb 12, 2026
- HNW RAUM · $97.3M to $133MJun 10, 2025 to Feb 12, 2026
- Individual RAUM · $31.0M to $34.8MJun 10, 2025 to Feb 12, 2026
- RAUM · $128M to $168MJun 10, 2025 to Feb 12, 2026
- Financial planning clients · 101-250 to 101-250Jan 30, 2025 to Jun 10, 2025
- Accounts · 502 to 539Dec 23, 2024 to Jan 30, 2025
- Advisory employees · 5 to 4Dec 23, 2024 to Jan 30, 2025
- Advisory activities · 4 to 3Dec 23, 2024 to Jan 30, 2025
- HNW clients · 55 to 46Dec 23, 2024 to Jan 30, 2025
- Individual clients · 70 to 79Dec 23, 2024 to Jan 30, 2025
- Assets in custody · $55.9M to $61.7MDec 23, 2024 to Jan 30, 2025
- State-registered IARs · 5 to 4Dec 23, 2024 to Jan 30, 2025
- Other offices · 2 to 1Dec 23, 2024 to Jan 30, 2025
- Discretionary RAUM · $111M to $128MDec 23, 2024 to Jan 30, 2025
- HNW RAUM · $84.4M to $97.3MDec 23, 2024 to Jan 30, 2025
- Individual RAUM · $26.9M to $31.0MDec 23, 2024 to Jan 30, 2025
- RAUM · $111M to $128MDec 23, 2024 to Jan 30, 2025
- Accounts · 483 to 502Jan 3, 2024 to Feb 13, 2024
- Advisory activities · 3 to 4Jan 3, 2024 to Feb 13, 2024
- HNW clients · 51 to 55Jan 3, 2024 to Feb 13, 2024
- Individual clients · 75 to 70Jan 3, 2024 to Feb 13, 2024
- Assets in custody · $44.1M to $55.9MJan 3, 2024 to Feb 13, 2024
- Discretionary RAUM · $92.2M to $111MJan 3, 2024 to Feb 13, 2024
- HNW RAUM · $76.1M to $84.4MJan 3, 2024 to Feb 13, 2024
- Individual RAUM · $16.1M to $26.9MJan 3, 2024 to Feb 13, 2024
- RAUM · $92.2M to $111MJan 3, 2024 to Feb 13, 2024
- Accounts · 459 to 483Oct 17, 2022 to Feb 21, 2023
- HNW clients · 47 to 51Oct 17, 2022 to Feb 21, 2023
- Individual clients · 78 to 75Oct 17, 2022 to Feb 21, 2023
- Assets in custody · $46.8M to $44.1MOct 17, 2022 to Feb 21, 2023
- Insurance-licensed employees · 0 to 1Oct 17, 2022 to Feb 21, 2023
- Discretionary RAUM · $108M to $92.2MOct 17, 2022 to Feb 21, 2023
Signals
3 dated events
- C••• L•••• G••••• left A••••• A•• M••• W••••• M••••••••• for C••••• F•• F•••••••• (registered 2024-08-12)Jun 11, 2026 · Advisor changed firm · fact
- R••••• C•••• B••••• left A••••• A•• M••• W••••• M••••••••• for C•• A•••• M••••••••• I••• (registered 2025-09-30)Dec 31, 2024 · Advisor changed firm · fact
- A••••• A•• M••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Jan 21, 2022 · 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
- Principal office phone
- 319-393-4020reportedpublic record, Form ADV, Jul 24, 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
- $42.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026