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••••••••• I••••••••• A•••••••
Legal name B•••••• W••••• M••••••••• G•••• I•••
Latest filing Mar 24, 2026
First filing on the tape May 24, 2021 · 9 filings
SEC status approved since Jun 23, 2021
RAUM
$261M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$261M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$29.0M
derived; firm RAUM over IAPD count
Employees
10
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$261M as of Mar 24, 2026
Mar 18, 2022$158M then
HNW client RAUM$149M as of Mar 24, 2026
Mar 18, 2022$99.4M then
State-registered IARs (5.B.3)8 as of Mar 24, 2026
Mar 18, 20224 then
Employees (5.A)10 as of Mar 24, 2026
Mar 18, 20226 then
Private funds: no history
RAUM +12% over the last fiscal year+21% a year over threeIARs 6 to 8offices 3 to 2
Practice profile
derived from the filing of Mar 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $29.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $256,553derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 3.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $125MreportedItem 5.I
- Custody
- $83.1M, 235 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$149M57%
- Individuals$112M43%
- Insurance companies$274,0000.1%
- Corporations and businesses$78,0000.0%
- Charitable organizations$36,0000.0%
- Individual clients
- 321reported
- HNW clients
- 65reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,019reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $83.1M for 235 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• E•••••• B•••••• | Bloomington, In | Aug 16, 2016 | 37 y | 3 |
| D•••••• A••• U••••Certified Financial Planner | Bloomington, In | Aug 16, 2016 | 27 y | 4 |
| S•••• C••••••••• F•••• | Bloomington, In | Aug 16, 2016 | 14 y | 1 |
| H•••• W••••• B••••• | Bloomington, In | Nov 5, 2019 | 41 y | 1 |
| K•••••• B•••••• | Bloomington, In | Nov 21, 2022 | 11 y | 0 |
| B••••••• M•••••• P••••••• | Bloomington, In | Dec 9, 2025 | 10 y | 0 |
| M•••••• S•••• K••••••Certified Financial Planner | Bloomington, In | Mar 3, 2026 | 13 y | 1 |
| N••••• U•••• | Bloomington, In | May 27, 2026 | 10 y | 0 |
| P•••••• A••••• S•••• | Bloomington, In | Aug 17, 2026 | 10 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- M•••••• S•••• K•••••• from L•• F•••••••• L••Mar 3, 2026 · Affiliated broker-dealer or bank to independent RIA
- H•••• W••••• B••••• from W•••• F•••• A•••••••Nov 5, 2019 · Wirehouse to independent RIA
- S•••• C••••••••• F•••• from W•••• F•••• A•••••••Aug 16, 2016 · Wirehouse to independent RIA
- P••• E•••••• B•••••• from W•••• F•••• A•••••••Aug 16, 2016 · Wirehouse to independent RIA
- D•••••• A••• U•••• from W•••• F•••• A•••••••Aug 16, 2016 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from W•••• F•••• A•••••••Sep 2, 2016 · Bloomington, In
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• K•••••• · Chief Compliance Officercontrolsince 01/2022 · owns less than 5%
- B••••••• P•••• E•••••• · Ceo, Presidentcontrolsince 03/2009 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Bloomington, In · principal | 9 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Columbus, IN2 employees
- Richland, MI1 employees
- Indianapolis, IN1 employees
What changed
consecutive filings, newest first
- Accounts · 984 to 1,019Mar 25, 2025 to Mar 24, 2026
- Advisory employees · 5 to 9Mar 25, 2025 to Mar 24, 2026
- BD registered reps · 2 to 3Mar 25, 2025 to Mar 24, 2026
- Corporate clients · 5.0 to unsetMar 25, 2025 to Mar 24, 2026
- HNW clients · 63 to 65Mar 25, 2025 to Mar 24, 2026
- Individual clients · 312 to 321Mar 25, 2025 to Mar 24, 2026
- Assets in custody · $76.3M to $83.1MMar 25, 2025 to Mar 24, 2026
- Employees · 7 to 10Mar 25, 2025 to Mar 24, 2026
- State-registered IARs · 6 to 8Mar 25, 2025 to Mar 24, 2026
- Other offices · 3 to 2Mar 25, 2025 to Mar 24, 2026
- Discretionary RAUM · $233M to $261MMar 25, 2025 to Mar 24, 2026
- HNW RAUM · $129M to $149MMar 25, 2025 to Mar 24, 2026
- Individual RAUM · $104M to $112MMar 25, 2025 to Mar 24, 2026
- RAUM · $233M to $261MMar 25, 2025 to Mar 24, 2026
- Accounts · 905 to 984Dec 12, 2024 to Mar 25, 2025
- Corporate clients · unset to 5.0Dec 12, 2024 to Mar 25, 2025
- HNW clients · 65 to 63Dec 12, 2024 to Mar 25, 2025
- Individual clients · 271 to 312Dec 12, 2024 to Mar 25, 2025
- Assets in custody · $61.0M to $76.3MDec 12, 2024 to Mar 25, 2025
- Financial planning clients · 251-500 to 251-500Dec 12, 2024 to Mar 25, 2025
- Discretionary RAUM · $187M to $233MDec 12, 2024 to Mar 25, 2025
- HNW RAUM · $109M to $129MDec 12, 2024 to Mar 25, 2025
- Individual RAUM · $77.4M to $104MDec 12, 2024 to Mar 25, 2025
- RAUM · $187M to $233MDec 12, 2024 to Mar 25, 2025
- Accounts · 784 to 905Mar 23, 2023 to Mar 14, 2024
- Advisory employees · 6 to 5Mar 23, 2023 to Mar 14, 2024
- HNW clients · 60 to 65Mar 23, 2023 to Mar 14, 2024
- Individual clients · 264 to 271Mar 23, 2023 to Mar 14, 2024
- Assets in custody · $55.8M to $61.0MMar 23, 2023 to Mar 14, 2024
- Other offices · 4 to 3Mar 23, 2023 to Mar 14, 2024
- Discretionary RAUM · $148M to $187MMar 23, 2023 to Mar 14, 2024
- HNW RAUM · $86.9M to $109MMar 23, 2023 to Mar 14, 2024
- Individual RAUM · $61.1M to $77.4MMar 23, 2023 to Mar 14, 2024
- RAUM · $148M to $187MMar 23, 2023 to Mar 14, 2024
- Accounts · 678 to 784Mar 18, 2022 to Mar 23, 2023
- Advisory employees · 4 to 6Mar 18, 2022 to Mar 23, 2023
- HNW clients · 56 to 60Mar 18, 2022 to Mar 23, 2023
- Individual clients · 242 to 264Mar 18, 2022 to Mar 23, 2023
- Assets in custody · $50.8M to $55.8MMar 18, 2022 to Mar 23, 2023
- Employees · 6 to 7Mar 18, 2022 to Mar 23, 2023
Signals
3 dated events
- Lillian Emily Bray (Chief Compliance Officer And Operations/Administrative Manager) no longer on Schedule A of W••••••••• I••••••••• A••••••• (listed 2021-06-25, absent 2022-03-18)Mar 18, 2022 · Control person left · inference
- K•••••• B•••••• (Chief Compliance Officer) appeared on Schedule A of W••••••••• I••••••••• A•••••••Mar 18, 2022 · Control person joined · fact
- W••••••••• I••••••••• A••••••• filed its initial SEC registration (Form ADV)May 24, 2021 · 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
- 317-452-8480reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 812-333-0874reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/26569465reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 812-333-0874reportedpublic record, Form ADV, Mar 24, 2026
- Team page
- wellingtoninvestmentadvisors.com/meet-our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $29.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026