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
R••••••••• T•• A•• W••••• A•••••••• I•••
Latest filing Mar 11, 2026
First filing on the tape Mar 7, 2024 · 10 filings
SEC status approved since Apr 8, 2024
RAUM
$243M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$237M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$30.4M
derived; firm RAUM over IAPD count
Employees
10
7 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$243M as of Mar 11, 2026
Mar 14, 2025$170M then
HNW client RAUM$171M as of Mar 11, 2026
Mar 14, 2025$127M then
State-registered IARs (5.B.3)7 as of Mar 11, 2026
Mar 14, 20256 then
Employees (5.A)10 as of Mar 11, 2026
Mar 14, 20259 then
Private funds: no history
RAUM +43% over the last fiscal yearIARs 6 to 7offices 0 to 1
Practice profile
derived from the filing of Mar 11, 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
- $30.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $248,059derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +43%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $243M, 295 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$171M70%
- Individuals$66.1M27%
- Pension and profit-sharing plans$6.0M2.5%
- Charitable organizations$120,0000.0%
- Individual clients
- 183reported
- HNW clients
- 79reported
- Pension plan clients
- 32reported
- Charitable clients
- 0reported
- Accounts
- 979reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $243M for 295 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• M•••••• V•••• | Topeka, Ks | Sep 20, 2016 | 13 y | 3 |
| J••••• A••• V••••Chartered Financial Consultant | Topeka, Ks | Sep 20, 2016 | 40 y | 3 |
| T•••• P••• F•••• | Topeka, Ks | Apr 28, 2023 | 12 y | 0 |
| Z•••••• C••••••••• H•••• | Topeka, Ks | May 1, 2023 | 13 y | 1 |
| A••••• B•••• V•••• | Topeka, Ks | Jul 10, 2024 | 21 y | 0 |
| T••••• H•••• J•••• | Topeka, Ks | Mar 3, 2025 | 24 y | 0 |
| Z••••••• T• E•••••• | Topeka, Ks | Aug 4, 2025 | 15 y | 0 |
| C••••• L•••• P•••••• | Topeka, Ks | Jun 25, 2026 | 23 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
- N••••••• D••••• T••••• to A• W••••• M••••••••• L••Apr 17, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- Z•••••• C••••••••• H•••• from A• W••••• M••••••••• L••May 1, 2023 · Affiliated broker-dealer or bank to independent RIA
- J••••••• M•••••• V•••• from A• W••••• M••••••••• L••Sep 20, 2016 · Other
- J••••• A••• V•••• from A• W••••• M••••••••• L••Sep 20, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from A• W••••• M••••••••• L••Jan 11, 2017 · Topeka, Ks
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V••••• J•••••• A••• · Partner / Presidentcontrolsince 06/2016 · owns 50% to 75%
- V••••• J•••••••• M•••••• · Partner / Vice President / Chief Compliance Officercontrolsince 01/2017 · owns 25% to 50%
Related persons
Schedule D 7.A
- R••••••••• I•••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Topeka, Ks · principal | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 11, 2026RAUM (Item 5.F) moved from $170,058,390 to $242,850,000 (+43.0%) between the annual amendments of 2025-03-14 and 2026-03-11; the peer median change was +15.0% (4549 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 672 to 979Jan 30, 2026 to Mar 11, 2026
- HNW clients · 86 to 79Jan 30, 2026 to Mar 11, 2026
- Individual clients · 160 to 183Jan 30, 2026 to Mar 11, 2026
- Pension plan clients · 0 to 32Jan 30, 2026 to Mar 11, 2026
- Assets in custody · $170M to $243MJan 30, 2026 to Mar 11, 2026
- Employees · 9 to 10Jan 30, 2026 to Mar 11, 2026
- Financial planning clients · 101-250 to 251-500Jan 30, 2026 to Mar 11, 2026
- Discretionary RAUM · $170M to $243MJan 30, 2026 to Mar 11, 2026
- HNW RAUM · $127M to $171MJan 30, 2026 to Mar 11, 2026
- Individual RAUM · $43.5M to $66.1MJan 30, 2026 to Mar 11, 2026
- Pension RAUM · $0 to $6.0MJan 30, 2026 to Mar 11, 2026
- RAUM · $170M to $243MJan 30, 2026 to Mar 11, 2026
- Advisory employees · 6 to 7May 7, 2025 to Sep 17, 2025
- State-registered IARs · 6 to 7May 7, 2025 to Sep 17, 2025
- Other offices · 0 to 1May 7, 2025 to Sep 17, 2025
- Assets in custody · unset to 170058390.0Mar 14, 2025 to May 7, 2025
- Custody of client assets · false to trueMar 14, 2025 to May 7, 2025
- Financial planning clients · 101-250 to 101-250Mar 14, 2025 to May 7, 2025
- Accounts · 540 to 672Sep 24, 2024 to Mar 14, 2025
- Advisory employees · 5 to 6Sep 24, 2024 to Mar 14, 2025
- Charity clients · unset to 0.0Sep 24, 2024 to Mar 14, 2025
- HNW clients · 78 to 86Sep 24, 2024 to Mar 14, 2025
- Individual clients · 118 to 160Sep 24, 2024 to Mar 14, 2025
- Employees · 7 to 9Sep 24, 2024 to Mar 14, 2025
- State-registered IARs · 4 to 6Sep 24, 2024 to Mar 14, 2025
- Discretionary RAUM · $115M to $170MSep 24, 2024 to Mar 14, 2025
- HNW RAUM · $90.3M to $127MSep 24, 2024 to Mar 14, 2025
- Individual RAUM · $25.0M to $43.5MSep 24, 2024 to Mar 14, 2025
- RAUM · $115M to $170MSep 24, 2024 to Mar 14, 2025
Signals
2 dated events
- R••••••••• T•• A•• W••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Mar 7, 2024 · First SEC registration · fact
- N••••••• D••••• T••••• left R••••••••• T•• A•• W••••• A•••••••• I••• for A• W••••• M••••••••• L•• (registered 2023-01-30)Apr 17, 2023 · Advisor changed firm · 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
- info@retirewisepath.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 785-228-1234reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 785-727-7972reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/retirewisereportedpublic record, Form ADV, Sep 19, 2026
- Website
- retirewisepath.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 785-228-1234reportedpublic record, Form ADV, Mar 11, 2026
- Contact form
- retirewisepath.com/contactreportedpublished 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
- $30.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026