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
P•••••• W••••• P•••••••
Legal name P•••••• A••••••• G••••• L••
Latest filing Mar 5, 2026
First filing on the tape Jan 11, 2018 · 20 filings
SEC status approved since Feb 9, 2018
RAUM
$280M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$280M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$93.3M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$280M as of Mar 5, 2026
Jan 30, 2019$133M then
HNW client RAUM$253M as of Mar 5, 2026
Jan 30, 2019$127M then
State-registered IARs (5.B.3)3 as of Mar 5, 2026
Jan 30, 20194 then
Employees (5.A)3 as of Mar 5, 2026
Jan 30, 20195 then
Private funds: no history
RAUM +31% over the last fiscal year+17% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $93.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $938,860derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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
- +8.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $155M, 63 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$253M91%
- Individuals$26.3M9.4%
- Individual clients
- 43reported
- HNW clients
- 59reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 298reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $155M for 63 clientsreported
- Compensation
- % of AUM, 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• W•••••• C••••Chartered Financial Analyst | Clive, Ia | Nov 15, 2016 | 15 y | 1 |
| A••• C•••••• B••••••Certified Financial Planner | Clive, Ia | Jun 5, 2017 | 24 y | 5 |
| T•••• K•••••• K•••••••••Chartered Financial Analyst | Clive, Ia | Nov 13, 2019 | 12 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
none on the tape
Joined, latest
- A••• C•••••• B•••••• from H•• A•••••••• L••Jun 5, 2017 · Other
- B•••••• W•••••• C•••• from H•• A•••••••• L••Nov 15, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• A•••• C•••••• · Managing Membercontrolsince 01/2020 · owns 25% to 50%
- C••••• B••••••• W•••••• · Managing Member, Cio, Ccocontrolsince 09/2016 · owns 25% to 50%
- M••••••• D••••• J••• · Managing Membercontrolsince 09/2016 · owns 10% to 25%
- P••••• T••••••• E••••• · Managing Membercontrolsince 09/2016 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Clive, Ia · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 283 to 298Mar 5, 2025 to Mar 5, 2026
- Advisory employees · 4 to 3Mar 5, 2025 to Mar 5, 2026
- HNW clients · 56 to 59Mar 5, 2025 to Mar 5, 2026
- Individual clients · 38 to 43Mar 5, 2025 to Mar 5, 2026
- Assets in custody · $94.5M to $155MMar 5, 2025 to Mar 5, 2026
- Employees · 4 to 3Mar 5, 2025 to Mar 5, 2026
- State-registered IARs · 4 to 3Mar 5, 2025 to Mar 5, 2026
- Discretionary RAUM · $214M to $280MMar 5, 2025 to Mar 5, 2026
- HNW RAUM · $196M to $253MMar 5, 2025 to Mar 5, 2026
- Individual RAUM · $17.3M to $26.3MMar 5, 2025 to Mar 5, 2026
- RAUM · $214M to $280MMar 5, 2025 to Mar 5, 2026
- Accounts · 252 to 283Mar 11, 2024 to Mar 5, 2025
- Advisory employees · 5 to 4Mar 11, 2024 to Mar 5, 2025
- HNW clients · 48 to 56Mar 11, 2024 to Mar 5, 2025
- Individual clients · 42 to 38Mar 11, 2024 to Mar 5, 2025
- Assets in custody · $83.0M to $94.5MMar 11, 2024 to Mar 5, 2025
- Employees · 5 to 4Mar 11, 2024 to Mar 5, 2025
- Financial planning clients · 1-10 to 1-10Mar 11, 2024 to Mar 5, 2025
- State-registered IARs · 5 to 4Mar 11, 2024 to Mar 5, 2025
- Discretionary RAUM · $187M to $214MMar 11, 2024 to Mar 5, 2025
- HNW RAUM · $170M to $196MMar 11, 2024 to Mar 5, 2025
- Individual RAUM · $16.7M to $17.3MMar 11, 2024 to Mar 5, 2025
- RAUM · $187M to $214MMar 11, 2024 to Mar 5, 2025
- Accounts · 258 to 252Mar 17, 2023 to Mar 11, 2024
- HNW clients · 47 to 48Mar 17, 2023 to Mar 11, 2024
- Individual clients · 46 to 42Mar 17, 2023 to Mar 11, 2024
- Assets in custody · $13.4M to $83.0MMar 17, 2023 to Mar 11, 2024
- Discretionary RAUM · $169M to $187MMar 17, 2023 to Mar 11, 2024
- HNW RAUM · $159M to $170MMar 17, 2023 to Mar 11, 2024
- Individual RAUM · $14.4M to $16.7MMar 17, 2023 to Mar 11, 2024
- Non-discretionary RAUM · $4.2M to $0Mar 17, 2023 to Mar 11, 2024
- RAUM · $173M to $187MMar 17, 2023 to Mar 11, 2024
- Accounts · 243 to 258Nov 7, 2022 to Mar 17, 2023
- Assets in custody · $17.9M to $13.4MNov 7, 2022 to Mar 17, 2023
- Discretionary RAUM · $203M to $169MNov 7, 2022 to Mar 17, 2023
- HNW RAUM · $190M to $159MNov 7, 2022 to Mar 17, 2023
- Individual RAUM · $16.8M to $14.4MNov 7, 2022 to Mar 17, 2023
- Non-discretionary RAUM · $4.3M to $4.2MNov 7, 2022 to Mar 17, 2023
- RAUM · $207M to $173MNov 7, 2022 to Mar 17, 2023
- Accounts · 219 to 243Feb 5, 2021 to Jan 21, 2022
Signals
1 dated events
- P•••••• W••••• P••••••• filed its initial SEC registration (Form ADV)Jan 11, 2018 · 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 email
- i•••@p••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 515-348-6080reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- P••••••WP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 515-348-6080reportedpublic record, Form ADV, Mar 5, 2026
- Contact form
- p••••••••.comreportedpublished by the firm, firm site, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $93.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026