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.
Former SEC-registered adviser
Rudwall Wealth Management LLC
Latest filing Mar 12, 2019
First filing on the tape Nov 16, 2016 · 11 filings
RAUM
$18.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$18.8M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$6.3M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$18.8M as of Mar 12, 2019
Mar 24, 2017$0 then
HNW client RAUM$17.5M as of Mar 12, 2019
Mar 29, 2018$14.2M then
State-registered IARs (5.B.3)2 as of Mar 12, 2019
Mar 24, 20171 then
Employees (5.A)2 as of Mar 12, 2019
Mar 24, 20172 then
Private funds: no history
RAUM +23% over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Mar 12, 2019; every figure names its basis
- RAUM per advisor
- $6.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $817,423derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 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
- is an insurance broker or agent (6.A.6)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$17.5M93%
- Individuals$1.3M6.8%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 23reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| James Field Rudwall | Mundelein, Il | Jan 25, 2017 | 43 y | 4 |
| Charles Edward Lief | Mundelein, Il | Aug 20, 2018 | 34 y | 0 |
| Ryan Thomas Siepka | Mundelein, Il | Feb 4, 2021 | 16 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 headcount1 left over 36 months
Left, latest
- Nathan Earl Freeman to Independent Financial PartnersApr 23, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- Nathan Earl Freeman from LPL Financial LLCFeb 14, 2022 · Affiliated broker-dealer or bank to independent RIA
- James Field Rudwall from Insight Securities, Inc.Jan 25, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Edward Charles Lief · Cco/Coocontrolsince 11/2016 · owns less than 5%
- Field James Rudwall · Ceo & Foundercontrolsince 11/2016 · owns less than 5%
- Field James Rudwall · Managing Membercontrolsince 11/2016 · owns 75% or more of Oxford Asset Management LLC
Entity owners
- Oxford Asset Management LLC · Sole Memberdirect · 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 |
|---|---|---|---|---|---|
| Mundelein, Il | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 13 to 23Sep 13, 2018 to Mar 12, 2019
- State-registered IARs · 1 to 2Sep 13, 2018 to Mar 12, 2019
- Discretionary RAUM · $15.3M to $18.8MSep 13, 2018 to Mar 12, 2019
- HNW RAUM · $14.2M to $17.5MSep 13, 2018 to Mar 12, 2019
- Individual RAUM · $1.1M to $1.3MSep 13, 2018 to Mar 12, 2019
- RAUM · $15.3M to $18.8MSep 13, 2018 to Mar 12, 2019
- Wrap assets (manager) · unset to 0.0Mar 29, 2018 to May 17, 2018
- Wrap assets (sponsor) · unset to 0.0Mar 29, 2018 to May 17, 2018
- Accounts · 0 to 13Nov 6, 2017 to Mar 29, 2018
- HNW clients · 0.0 to unsetNov 6, 2017 to Mar 29, 2018
- Individual clients · 0.0 to unsetNov 6, 2017 to Mar 29, 2018
- Discretionary RAUM · $0 to $15.3MNov 6, 2017 to Mar 29, 2018
- HNW RAUM · $0 to $14.2MNov 6, 2017 to Mar 29, 2018
- Individual RAUM · $0 to $1.1MNov 6, 2017 to Mar 29, 2018
- RAUM · $0 to $15.3MNov 6, 2017 to Mar 29, 2018
- Charity clients · unset to 0.0Jun 13, 2017 to Nov 6, 2017
- Corporate clients · unset to 0.0Jun 13, 2017 to Nov 6, 2017
- HNW clients · unset to 0.0Jun 13, 2017 to Nov 6, 2017
- Individual clients · unset to 0.0Jun 13, 2017 to Nov 6, 2017
- Pension plan clients · unset to 0.0Jun 13, 2017 to Nov 6, 2017
- Pooled vehicle clients · unset to 0.0Jun 13, 2017 to Nov 6, 2017
- Other offices · unset to 1.0Jun 13, 2017 to Nov 6, 2017
- HNW RAUM · unset to 0.0Jun 13, 2017 to Nov 6, 2017
- Individual RAUM · unset to 0.0Jun 13, 2017 to Nov 6, 2017
- Pension RAUM · unset to 0.0Jun 13, 2017 to Nov 6, 2017
- Pooled vehicle RAUM · unset to 0.0Jun 13, 2017 to Nov 6, 2017
- Accounts · unset to 0.0Dec 8, 2016 to Mar 24, 2017
- Discretionary RAUM · unset to 0.0Dec 8, 2016 to Mar 24, 2017
- Non-discretionary RAUM · unset to 0.0Dec 8, 2016 to Mar 24, 2017
- RAUM · unset to 0.0Dec 8, 2016 to Mar 24, 2017
- HQ city · LIBERTYVILLE to unsetDec 1, 2016 to Dec 8, 2016
- HQ state · IL to unsetDec 1, 2016 to Dec 8, 2016
Signals
2 dated events
- Nathan Earl Freeman left Rudwall Wealth Management Llc for Independent Financial Partners (registered 2024-04-22)Apr 23, 2024 · Advisor changed firm · fact
- Rudwall Wealth Management Llc filed its initial SEC registration (Form ADV)Nov 16, 2016 · 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
- Website
- RUDWALLWEALTH.COMreportedpublic record, Form ADV, Sep 17, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $6.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026