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
A• W••••• A•••••••
Legal name A••• W••••• A•••••••••
Latest filing Feb 10, 2026
First filing on the tape Mar 8, 2021 · 8 filings
SEC status approved since Apr 8, 2021
RAUM
$213M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
93%
$198M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$53.3M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$213M as of Feb 10, 2026
Feb 7, 2022$126M then
HNW client RAUM$120M as of Feb 10, 2026
Feb 7, 2022$49.2M then
State-registered IARs (5.B.3)4 as of Feb 10, 2026
Feb 7, 20222 then
Employees (5.A)7 as of Feb 10, 2026
Feb 7, 20222 then
Private funds: no history
RAUM +22% over the last fiscal year+21% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Feb 10, 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
- $53.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $189,683derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 7.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 5.G
- Custody
- $4.2M, 2 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$120M56%
- Individuals$78.5M37%
- Pension and profit-sharing plans$14.9M7.0%
- Individual clients
- 238reported
- HNW clients
- 60reported
- Pension plan clients
- 13reported
- Charitable clients
- n/areported
- Accounts
- 1,124reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.2M for 2 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• B••• O••••••Certified Financial Planner | Urbandale, Ia | Jun 16, 2017 | 27 y | 1 |
| E••• R•••••• W••••••• | Urbandale, Ia | Aug 8, 2017 | 11 y | 1 |
| D••••• S••••• D••••••• | Urbandale, Ia | Oct 10, 2022 | 23 y | 0 |
| J••• L••• L•••Chartered Financial Analyst | Urbandale, Ia | Jul 18, 2025 | 13 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
- M•••••• P••• J•••••• to T•••••• W•••••Jun 25, 2020 · RIA to a state-registered adviser
Joined, latest
- M•••••• P••• J•••••• from I••••••••• A••••••• C•••Aug 8, 2017 · Other
- E••• R•••••• W••••••• from I••••••••• A••••••• C•••Aug 8, 2017 · Other
- A••• B••• O•••••• from I••••••••• A••••••• C•••Jun 16, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from I••••••••• A••••••• C•••Aug 10, 2017 · Urbandale, Ia
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••••• A•••• B••• · Managing Member And Chief Compliance Officercontrolsince 06/2017 · owns 75% or more
- W•••••••• E•••• R•••••• · Part Ownersince 01/2021 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Urbandale, Ia · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,139 to 1,124Jul 18, 2025 to Feb 10, 2026
- Advisory employees · 3 to 4Jul 18, 2025 to Feb 10, 2026
- HNW clients · 46 to 60Jul 18, 2025 to Feb 10, 2026
- Individual clients · 255 to 238Jul 18, 2025 to Feb 10, 2026
- Pension plan clients · 10 to 13Jul 18, 2025 to Feb 10, 2026
- Assets in custody · $3.8M to $4.2MJul 18, 2025 to Feb 10, 2026
- Employees · 3 to 7Jul 18, 2025 to Feb 10, 2026
- State-registered IARs · 3 to 4Jul 18, 2025 to Feb 10, 2026
- Discretionary RAUM · $162M to $201MJul 18, 2025 to Feb 10, 2026
- HNW RAUM · $85.1M to $120MJul 18, 2025 to Feb 10, 2026
- Individual RAUM · $74.5M to $78.5MJul 18, 2025 to Feb 10, 2026
- Non-discretionary RAUM · $11.9M to $12.3MJul 18, 2025 to Feb 10, 2026
- Pension RAUM · $14.6M to $14.9MJul 18, 2025 to Feb 10, 2026
- RAUM · $174M to $213MJul 18, 2025 to Feb 10, 2026
- Financial planning clients · 251-500 to 251-500Mar 11, 2025 to Jul 18, 2025
- Accounts · 1,091 to 1,139Mar 14, 2024 to Mar 11, 2025
- HNW clients · 32 to 46Mar 14, 2024 to Mar 11, 2025
- Individual clients · 266 to 255Mar 14, 2024 to Mar 11, 2025
- Pension plan clients · 6 to 10Mar 14, 2024 to Mar 11, 2025
- Assets in custody · $3.1M to $3.8MMar 14, 2024 to Mar 11, 2025
- Discretionary RAUM · $135M to $162MMar 14, 2024 to Mar 11, 2025
- HNW RAUM · $61.9M to $85.1MMar 14, 2024 to Mar 11, 2025
- Individual RAUM · $71.3M to $74.5MMar 14, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $11.4M to $11.9MMar 14, 2024 to Mar 11, 2025
- Pension RAUM · $13.5M to $14.6MMar 14, 2024 to Mar 11, 2025
- RAUM · $147M to $174MMar 14, 2024 to Mar 11, 2025
- Accounts · 1,044 to 1,091Feb 17, 2023 to Mar 14, 2024
- HNW clients · 28 to 32Feb 17, 2023 to Mar 14, 2024
- Pension plan clients · 7 to 6Feb 17, 2023 to Mar 14, 2024
- Assets in custody · unset to 3110376.0Feb 17, 2023 to Mar 14, 2024
- Custody of client assets · false to trueFeb 17, 2023 to Mar 14, 2024
- Discretionary RAUM · $113M to $135MFeb 17, 2023 to Mar 14, 2024
- HNW RAUM · $47.2M to $61.9MFeb 17, 2023 to Mar 14, 2024
- Individual RAUM · $64.3M to $71.3MFeb 17, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $8.7M to $11.4MFeb 17, 2023 to Mar 14, 2024
- Pension RAUM · $9.9M to $13.5MFeb 17, 2023 to Mar 14, 2024
- RAUM · $121M to $147MFeb 17, 2023 to Mar 14, 2024
- Accounts · 942 to 1,044May 26, 2022 to Feb 17, 2023
- Advisory employees · 2 to 3May 26, 2022 to Feb 17, 2023
- HNW clients · 26 to 28May 26, 2022 to Feb 17, 2023
Signals
1 dated events
- A• W••••• A••••••• filed its initial SEC registration (Form ADV)Mar 8, 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 email
- anegrete@aowealthadvisory.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 515-224-7849reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/ao-wealth-advisoryreportedpublic record, Form ADV, Sep 19, 2026
- Website
- AOWEALTHADVISORY.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 515-224-7849reportedpublic record, Form ADV, Feb 10, 2026
- Contact form
- aowealthadvisory.com/connectreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- aowealthadvisory.com/teamreportedpublished 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
- $53.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026