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.
SEC-registered adviser
Iams Wealth Management, LLC
Latest filing Apr 10, 2026
First filing on the tape Dec 19, 2016 · 127 filings
SEC status approved since Jan 9, 2017
RAUM
$397M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$393M individuals and HNW
Advisors
53
registered through the firm on IAPD
RAUM per advisor
$7.5M
derived; firm RAUM over IAPD count
Employees
53
53 advisory (5.B.1)
Offices
44
beyond the principal office
Private funds
0
reported on Schedule D
History
127 filings and snapshots on the tape
RAUM$397M as of Apr 10, 2026
Jan 19, 2018$12.3M then
HNW client RAUM$119M as of Apr 10, 2026
Jan 19, 2018$0 then
State-registered IARs (5.B.3)53 as of Apr 10, 2026
Jan 19, 201833 then
Employees (5.A)53 as of Apr 10, 2026
Jan 19, 201838 then
Private funds: no history
RAUM +16% over the last fiscal year+38% a year over threeIARs 53 to 53offices 41 to 44
Practice profile
derived from the filing of Apr 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $7.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $165,511derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.2derived45 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.5%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $95.3M, 481 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$274M69%
- High-net-worth individuals$119M30%
- Corporations and businesses$3.7M0.9%
- Charitable organizations$324,8830.1%
- Individual clients
- 1,557reported
- HNW clients
- 55reported
- Pension plan clients
- 17reported
- Charitable clients
- 1reported
- Accounts
- 2,400reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $95.3M for 481 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
53 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Charles Richard Heuring | Omaha, Ne | Jan 11, 2017 | 10 y | 0 |
| William Bruce Campbell | Omaha, Ne | Jan 25, 2017 | 19 y | 1 |
| Adam Broadrick ClementsCertified Financial Planner, Chartered Financial Consultant | Omaha, Ne | Feb 3, 2017 | 15 y | 1 |
| Terrell James Gamble | Beloit, Wi | Feb 15, 2017 | 13 y | 0 |
| John Clayton Entingh | Omaha, Ne | Mar 14, 2017 | 25 y | 0 |
| Philip Joseph BongiornoChartered Financial Consultant | Omaha, Ne | Apr 6, 2017 | 23 y | 4 |
| Scott Dwane Walker | Wichita, Ks | May 25, 2017 | 26 y | 4 |
| Timothy Louis Romero | Port Arthur, Tx | Jun 8, 2017 | 20 y | 0 |
| Jack Christopher Carini | Turnersville, Nj | Jun 16, 2017 | 31 y | 4 |
| Gregory C Boles | Omaha, Ne | Jun 28, 2017 | 24 y | 0 |
| Brian Thomas Dvorak | Kaukauna, Wi | Aug 14, 2017 | 18 y | 2 |
| Kathryn Lewin Hadley | Overland Park, Ks | Sep 28, 2017 | 26 y | 2 |
| Timothy William Demay | Omaha, Ne | Oct 12, 2017 | 39 y | 0 |
| Ian C Turner | Omaha, Ne | Nov 1, 2017 | 26 y | 2 |
| John Charles Fritsch | Sioux Falls, Sd | Jan 2, 2018 | 34 y | 0 |
| Paul Vincent SipalaChartered Financial Consultant | Omaha, Ne | Feb 28, 2018 | 28 y | 3 |
| Nicholas James Carini | Omaha, Ne | May 2, 2018 | 13 y | 1 |
| Matthew Randal Latta | Omaha, Ne | Nov 19, 2018 | 11 y | 0 |
| Matthew Dean Gill | Fort Collins, Co | Dec 19, 2018 | 18 y | 0 |
| Michael Gregory Hansen | Omaha, Ne | Jan 4, 2019 | 10 y | 0 |
| Michael Leroy Audi | Spring Hill, Fl | Jul 16, 2019 | 25 y | 0 |
| James Henry BaumannCertified Financial Planner | Phoenix, Az | Nov 20, 2019 | 40 y | 0 |
| Wendell Bennett | Baltimore, Oh | Jun 17, 2020 | 22 y | 0 |
| Tevin Michael Gamble | Beloit, Wi | Oct 19, 2020 | 11 y | 1 |
| Duncan Cuyler Smith | Omaha, Ne | Oct 29, 2020 | 17 y | 3 |
| Zachary Thomas ReegCertified Financial Planner | Omaha, Ne | Jan 19, 2021 | 12 y | 1 |
| Michael Moulthrop | Higganum, Ct | Apr 1, 2021 | 12 y | 0 |
| Jason Arredondo | San Antonio, Tx | Jul 14, 2021 | 13 y | 0 |
| Kevin Dominic Klickna | Springfield, Il | Jul 23, 2021 | 17 y | 2 |
| Stephen Chad Clubb | Plymouth Meeting, Pa | Sep 16, 2021 | 13 y | 1 |
| Philip Justin Eickhoff | Omaha, Ne | Sep 20, 2021 | 29 y | 0 |
| Tadeo Espina Hubahib | Omaha, Ne | Oct 29, 2021 | 12 y | 0 |
| Robert James Ricci | Omaha, Ne | Aug 4, 2022 | 43 y | 0 |
| Jeremy Orson Dopp | Omaha, Ne | Jan 12, 2023 | 23 y | 5 |
| Jordan Paff | Dallas, Tx | Apr 14, 2023 | 10 y | 0 |
| Reid Jeffrey Simpson | Scottsdale, Az | Aug 7, 2023 | 12 y | 2 |
| Tanner German | Phoenix, Az | Aug 8, 2023 | 12 y | 1 |
| Tyler Joseph Prescott | Omaha, Ne | Jan 3, 2024 | 14 y | 2 |
| Chad Don Carlos | Omaha, Ne | Jul 15, 2024 | 11 y | 4 |
| Russell Thomas StellfoxCertified Financial Planner | Omaha, Ne | Aug 27, 2024 | 27 y | 2 |
Advisor movement
4 left, 3 joined in 12 months
net -1 in 12 months2 left in 90 days0 joined in 90 daysdeparture rate 7.5% of current headcount16 left over 36 months
Left, latest
- Brenda Marie Oldham to Ram Legacy Wealth ManagementAug 31, 2026 · RIA to a state-registered adviser
- Steven Harverd Greig to Creativeone Wealth, LLCJul 20, 2026 · RIA to RIA
- James Matthew Rossi to Lifetime Financial, Inc.Dec 22, 2025 · RIA to a state-registered adviser
- Joseph Carter to Sequent Planning, LLCDec 19, 2025 · RIA to RIA
- Kristi Bartholomew to Symmetry PartnersJul 9, 2025 · RIA to RIA
- Tyler Caleb Woodbrey to Symmetry PartnersJun 17, 2025 · RIA to RIA
- Patrick Michael Kaiser to Tucker Asset Management LLCMay 20, 2025 · RIA to RIA
- Curtis Timothy Cottle to Simplicity WealthFeb 11, 2025 · Other
- Ian Jacob Grohman to Simplicity WealthFeb 11, 2025 · Other
- Howard Reid Johnson to Crestview Wealth Management, LLCFeb 5, 2025 · RIA to a state-registered adviser
- Matt R Gsellman to Wealth Watch Advisors, IncDec 31, 2024 · RIA to RIA
- Bart Andrew Newman to Brookstone Capital Management LLCSep 11, 2024 · RIA to RIA
- Sean Alexander Nouveau to Creativeone Wealth, LLCJul 30, 2024 · RIA to RIA
- Michael Andrew Graff to Valic Financial Advisors, Inc.Jun 11, 2024 · RIA to affiliated broker-dealer or bank
- James Gerard Huhn to Foundations Investment Advisors LLCJan 22, 2024 · RIA to RIA
Joined, latest
- Kristopher Alan Heig from Bankers Life Advisory Services, Inc.Apr 22, 2026 · Affiliated broker-dealer or bank to independent RIA
- David Joseph Ricchini from Apollon Wealth Management, LLCApr 22, 2026 · RIA to RIA
- Adam Michael Laffey from Packerland Brokerage Services, Inc.Oct 2, 2025 · RIA to RIA
- Kevin Edward Rutledge from Impact Partnership Wealth, LLCAug 12, 2025 · RIA to RIA
- Steven Harverd Greig from Gradient Advisors, LLCJul 17, 2025 · RIA to RIA
- Michael Paul Wyant from Nationwide Investment Advisors, LLCOct 7, 2024 · Other
- Russell Thomas Stellfox from Ameritas Advisory Services, LLCAug 27, 2024 · Affiliated broker-dealer or bank to independent RIA
- Chad Don Carlos from Cetera Investment Advisers LLCJul 15, 2024 · Affiliated broker-dealer or bank to independent RIA
- Howard Reid Johnson from Mercer Global Advisors Inc.May 24, 2024 · RIA to RIA
- Michael Andrew Graff from Morgan StanleyApr 2, 2024 · Wirehouse to independent RIA
- Tyler Joseph Prescott from Bancwest Investment Services, Inc. (Bwis)Jan 3, 2024 · Affiliated broker-dealer or bank to independent RIA
- James Matthew Rossi from Kinetic Investment Management, Inc.Nov 28, 2023 · RIA to RIA
- Tanner German from Personalized FinancialAug 8, 2023 · Other
- Reid Jeffrey Simpson from Personalized FinancialAug 7, 2023 · Other
- James Gerard Huhn from Brookstone Wealth Advisors, LLCAug 4, 2023 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Simplicity WealthFeb 11, 2025 · Grand Rapids, Mi
- 2 joined from Personalized FinancialDec 31, 2023 · Phoenix, Az
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Gregory Michael Hansen · Ccocontrolsince 01/2020 · owns 5% to 10%
- Michael Charles Heuring · Managing Membercontrolsince 08/2016 · owns 10% to 25%
- Richard Charles Heuring · Coocontrolsince 08/2016 · owns 25% to 50%
- Michael Steven Murray · Managing Membercontrolsince 08/2016 · owns 25% to 50%
Related persons
Schedule D 7.A
- Insurance Agency Marketing Services, Inc.real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Omaha, Ne · principal | 53 | 6 | 3 | ||
| Dublin, Oh | 3 | 0 | 0 | ||
| Baltimore, Oh | 3 | 0 | 0 | ||
| Phoenix, Az | 2 | 0 | 0 | ||
| Kaukauna, Wi | 2 | 1 | 0 | ||
| Beloit, Wi | 2 | 0 | 0 | ||
| Akron, Oh | 0 | 0 | 0 | ||
| Charlotte, Nc | 0 | 0 | 0 | ||
| Grand Rapids, Mi | 0 | 0 | 0 | ||
| Lake Forest, Il | 0 | 0 | 0 | ||
| Lindon, Ut | 0 | 0 | 0 | ||
| Columbus, Oh | 0 | 0 | 1 | ||
| Orland Park, Il | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Turnersville, NJ2 employees
- Beloit, WI2 employees
- Kentwood, MI2 employees
- Hastings, MI1 employees
- Highland, MI1 employees
- Lake St. Louis, MO1 employees
- Livonia, MI1 employees
- Marlton, NJ1 employees
- Maryville, TN1 employees
- Mesa, AZ1 employees
- Overland Park, KS1 employees
- Philadelphia, PA1 employees
- Port Arthur, TX1 employees
- Red Bank, NJ1 employees
- San Antonio, TX1 employees
- Sioux Falls, SD1 employees
- Spring Hill, FL1 employees
- Wichita, KS1 employees
- Bedford, TX1 employees
- , 1 employees
- Bristol, PA1 employees
- Dublin, OH1 employees
What changed
consecutive filings, newest first
- Accounts · 2,104 to 2,400Jan 6, 2026 to Feb 27, 2026
- BD registered reps · 2 to 3Jan 6, 2026 to Feb 27, 2026
- Corporate clients · 7 to 3Jan 6, 2026 to Feb 27, 2026
- HNW clients · 74 to 55Jan 6, 2026 to Feb 27, 2026
- Individual clients · 1,454 to 1,557Jan 6, 2026 to Feb 27, 2026
- Pension plan clients · 0 to 17Jan 6, 2026 to Feb 27, 2026
- Assets in custody · $112M to $95.3MJan 6, 2026 to Feb 27, 2026
- Employees · 54 to 53Jan 6, 2026 to Feb 27, 2026
- Other offices · 41 to 44Jan 6, 2026 to Feb 27, 2026
- Discretionary RAUM · $343M to $397MJan 6, 2026 to Feb 27, 2026
- HNW RAUM · $103M to $119MJan 6, 2026 to Feb 27, 2026
- Individual RAUM · $198M to $274MJan 6, 2026 to Feb 27, 2026
- RAUM · $343M to $397MJan 6, 2026 to Feb 27, 2026
- Advisory activities · 5 to 6Mar 30, 2025 to Oct 6, 2025
- Related broker-dealer · false to trueMar 30, 2025 to Oct 6, 2025
- Accounts · 1,652 to 2,104Sep 30, 2024 to Mar 30, 2025
- Advisory employees · 56 to 53Sep 30, 2024 to Mar 30, 2025
- BD registered reps · 1 to 2Sep 30, 2024 to Mar 30, 2025
- Corporate clients · 3 to 7Sep 30, 2024 to Mar 30, 2025
- HNW clients · 24 to 74Sep 30, 2024 to Mar 30, 2025
- Individual clients · 1,105 to 1,454Sep 30, 2024 to Mar 30, 2025
- Assets in custody · $85.9M to $112MSep 30, 2024 to Mar 30, 2025
- Employees · 59 to 54Sep 30, 2024 to Mar 30, 2025
- Financial planning clients · 1-10 to 1-10Sep 30, 2024 to Mar 30, 2025
- State-registered IARs · 56 to 53Sep 30, 2024 to Mar 30, 2025
- Other offices · 48 to 41Sep 30, 2024 to Mar 30, 2025
- Discretionary RAUM · $213M to $343MSep 30, 2024 to Mar 30, 2025
- HNW RAUM · $51.0M to $103MSep 30, 2024 to Mar 30, 2025
- Individual RAUM · $159M to $198MSep 30, 2024 to Mar 30, 2025
- RAUM · $213M to $343MSep 30, 2024 to Mar 30, 2025
- Advisory activities · 4 to 5Mar 7, 2024 to Apr 5, 2024
- Accounts · 1,344 to 1,652Sep 29, 2023 to Mar 7, 2024
- Advisory employees · 52 to 56Sep 29, 2023 to Mar 7, 2024
- Advisory activities · 5 to 4Sep 29, 2023 to Mar 7, 2024
- Charity clients · 2 to 1Sep 29, 2023 to Mar 7, 2024
- Corporate clients · 0 to 3Sep 29, 2023 to Mar 7, 2024
- HNW clients · 19 to 24Sep 29, 2023 to Mar 7, 2024
- Individual clients · 1,009 to 1,105Sep 29, 2023 to Mar 7, 2024
- Assets in custody · $45.8M to $85.9MSep 29, 2023 to Mar 7, 2024
- Employees · 56 to 59Sep 29, 2023 to Mar 7, 2024
Signals
33 dated events
- Brenda Marie Oldham left Iams Wealth Management, Llc for Ram Legacy Wealth Management (registered 2026-08-12)Aug 31, 2026 · Advisor changed firm · fact
- Steven Harverd Greig left Iams Wealth Management, Llc for Creativeone Wealth, Llc (registered 2026-07-17)Jul 20, 2026 · Advisor changed firm · fact
- James Matthew Rossi left Iams Wealth Management, Llc for Lifetime Financial, Inc. (registered 2026-03-03)Dec 22, 2025 · Advisor changed firm · fact
- Joseph Carter left Iams Wealth Management, Llc for Sequent Planning, Llc (registered 2026-01-05)Dec 19, 2025 · Advisor changed firm · fact
- Kristi Bartholomew left Iams Wealth Management, Llc for Symmetry Partners (registered 2025-10-14)Jul 9, 2025 · Advisor changed firm · fact
- Tyler Caleb Woodbrey left Iams Wealth Management, Llc for Symmetry Partners (registered 2025-06-16)Jun 17, 2025 · Advisor changed firm · fact
- Patrick Michael Kaiser left Iams Wealth Management, Llc for Tucker Asset Management Llc (registered 2025-05-09)May 20, 2025 · Advisor changed firm · fact
- Iams Wealth Management, Llc reported RAUM $343.0M, up 61% from $213.2M (2024-09-30 to 2025-03-30)Mar 30, 2025 · RAUM change · derived
- Iams Wealth Management, Llc reported 41 offices beyond its principal office, down from 48 (2024-09-30 to 2025-03-30)Mar 30, 2025 · Office count change · derived
- Ian Jacob Grohman left Iams Wealth Management, Llc for Simplicity Wealth (registered 2025-02-13)Feb 11, 2025 · Advisor changed firm · fact
- Curtis Timothy Cottle left Iams Wealth Management, Llc for Simplicity Wealth (registered 2025-02-13)Feb 11, 2025 · Advisor changed firm · fact
- 2 advisors left Iams Wealth Management, LLC (Grand Rapids, MI) for Simplicity Wealth on the same dayFeb 11, 2025 · Team lift-out · derived
- Howard Reid Johnson left Iams Wealth Management, Llc for Crestview Wealth Management, Llc (registered 2025-01-16)Feb 5, 2025 · Advisor changed firm · fact
- Matt R Gsellman left Iams Wealth Management, Llc for Wealth Watch Advisors, Inc (registered 2025-07-07)Dec 31, 2024 · Advisor changed firm · fact
- Bart Andrew Newman left Iams Wealth Management, Llc for Brookstone Capital Management Llc (registered 2024-09-13)Sep 11, 2024 · Advisor changed firm · fact
- Sean Alexander Nouveau left Iams Wealth Management, Llc for Creativeone Wealth, Llc (registered 2026-04-06)Jul 30, 2024 · Advisor changed firm · fact
- Michael Andrew Graff left Iams Wealth Management, Llc for Valic Financial Advisors, Inc. (registered 2024-09-09)Jun 11, 2024 · Advisor changed firm · fact
- James Gerard Huhn left Iams Wealth Management, Llc for Foundations Investment Advisors Llc (registered 2024-05-09)Jan 22, 2024 · Advisor changed firm · fact
- Christopher Lee Banks left Iams Wealth Management, Llc for Legacy Wealth Management (registered 2024-02-29)Dec 31, 2023 · Advisor changed firm · fact
- 2 advisors left Personalized Financial (Phoenix, AZ) for Iams Wealth Management, LLC on the same dayDec 31, 2023 · Team lift-out · derived
- Catherine Mae Milano left Iams Wealth Management, Llc for Impact Partnership Wealth, Llc (registered 2024-02-20)Mar 2, 2023 · Advisor changed firm · fact
- Iams Wealth Management, Llc reported 44 offices beyond its principal office, down from 49 (2023-01-23 to 2023-02-16)Feb 16, 2023 · Office count change · derived
- Noah Behrend left Iams Wealth Management, Llc for Capital Analysts (registered 2022-10-05)Oct 6, 2022 · Advisor changed firm · fact
- Vasilios Nicholaos Zois left Iams Wealth Management, Llc for Meritum Wealth Management Llc (registered 2022-06-13)Jul 1, 2022 · Advisor changed firm · fact
- Daniel Aurelian Nicolaescu left Iams Wealth Management, Llc for Simplicity Wealth (registered 2022-06-21)Jun 24, 2022 · Advisor changed firm · fact
- Amie Jo Moran left Iams Wealth Management, Llc for Ae Wealth Management, Llc (registered 2022-06-14)Jun 14, 2022 · Advisor changed firm · fact
- Iams Wealth Management, Llc reported 49 offices beyond its principal office, up from 43 (2021-12-23 to 2022-02-03)Feb 3, 2022 · Office count change · derived
- William Elliott Torrance left Iams Wealth Management, Llc for Brookstone Wealth Advisors, Llc (registered 2022-01-26)Jan 3, 2022 · Advisor changed firm · fact
- Iams Wealth Management, Llc reported 52 state-registered advisory representatives, up from 42 (2020-06-17 to 2021-02-03)Feb 3, 2021 · Advisor headcount change · derived
- Iams Wealth Management, Llc reported 43 offices beyond its principal office, up from 37 (2020-06-17 to 2021-02-03)Feb 3, 2021 · Office count change · derived
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
- 888-255-7670reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/iamswealthmanagementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- iamswm.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (888)255-7670reportedpublic record, Form ADV, Apr 10, 2026
- Contact form
- iamswealthmanagement.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- iamswealthmanagement.com/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
- $7.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026