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
Institute For Wealth Consultants, Inc.
Latest filing Mar 31, 2019
First filing on the tape May 24, 2017 · 7 filings
RAUM
$396M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$396M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM: $396M
HNW client RAUM: $216M
State-registered IARs (5.B.3)0 as of Mar 31, 2019
Mar 29, 20181 then
Employees (5.A)0 as of Mar 31, 2019
Mar 29, 20181 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 0
Practice profile
derived from the filing of Mar 31, 2019; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $362,679derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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 assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$216M54%
- Individuals$180M46%
- Individual clients
- 990reported
- HNW clients
- 101reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,091reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Douglas J Donnelly to The InstituteApr 30, 2019 · RIA to RIA
- Antonio Ramirez to Concert Investment Advisory LLCApr 30, 2019 · RIA to RIA
- Tommy Edward Fincher to Whitestone Wealth Advisors, LLCNov 7, 2018 · Other
Joined, latest
- Antonio Ramirez from Sowell ManagementJan 12, 2018 · Other
- Douglas J Donnelly from Concert Wealth ManagementJan 1, 2018 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Gregory Syler · Chief Compliance Officercontrolsince 10/2018 · owns less than 5%
- Douglas Matthew Medeiros · Ownercontrolsince 09/2016 · owns 25% to 50% of Institute For Wealth Holdings, Inc.
Entity owners
- Institute For Wealth Holdings, Inc. · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Institute For Wealth Advisors, Inc.investment advisernRAUM $220M
- The Instituteinvestment advisernRAUM $1.4B
Advisers that list Institute For Wealth Consultants, Inc. as a related person
- 149347 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1 to 1,091Feb 1, 2019 to Mar 31, 2019
- Advisory employees · 1 to 0Feb 1, 2019 to Mar 31, 2019
- HNW clients · unset to 101.0Feb 1, 2019 to Mar 31, 2019
- Individual clients · 1 to 990Feb 1, 2019 to Mar 31, 2019
- Employees · 1 to 0Feb 1, 2019 to Mar 31, 2019
- State-registered IARs · 1 to 0Feb 1, 2019 to Mar 31, 2019
- Discretionary RAUM · $400M to $396MFeb 1, 2019 to Mar 31, 2019
- HNW RAUM · unset to 215524832.0Feb 1, 2019 to Mar 31, 2019
- Individual RAUM · $400M to $180MFeb 1, 2019 to Mar 31, 2019
- RAUM · $400M to $396MFeb 1, 2019 to Mar 31, 2019
- Accounts · unset to 1.0Nov 14, 2018 to Feb 1, 2019
- Individual clients · unset to 1.0Nov 14, 2018 to Feb 1, 2019
- HQ city · DALLAS to DENVERNov 14, 2018 to Feb 1, 2019
- HQ state · TX to CONov 14, 2018 to Feb 1, 2019
- Discretionary RAUM · unset to 399554760.0Nov 14, 2018 to Feb 1, 2019
- Individual RAUM · unset to 399554760.0Nov 14, 2018 to Feb 1, 2019
- Non-discretionary RAUM · unset to 0.0Nov 14, 2018 to Feb 1, 2019
- RAUM · unset to 399554760.0Nov 14, 2018 to Feb 1, 2019
- BD registered reps · 1 to 0Oct 27, 2017 to Mar 29, 2018
- Employees · 4 to 1Oct 27, 2017 to Mar 29, 2018
- Insurance-licensed employees · 2 to 0Oct 27, 2017 to Mar 29, 2018
- State-registered IARs · 2 to 1Oct 27, 2017 to Mar 29, 2018
- Other offices · 0 to 1Oct 27, 2017 to Mar 29, 2018
- Wrap assets (manager) · 0.0 to unsetOct 27, 2017 to Mar 29, 2018
- Wrap assets (sponsor) · 0.0 to unsetOct 27, 2017 to Mar 29, 2018
- Wrap assets (manager) · unset to 0.0May 24, 2017 to Oct 27, 2017
- Other offices · unset to 0.0May 24, 2017 to Oct 27, 2017
- Wrap assets (sponsor) · unset to 0.0May 24, 2017 to Oct 27, 2017
Signals
2 dated events
- Malone Dewey Moore (Owner) no longer on Schedule A of Institute For Wealth Consultants, Inc. (listed 2018-11-14, absent 2019-02-01)Feb 1, 2019 · Control person left · inference
- Institute For Wealth Consultants, Inc. filed its initial SEC registration (Form ADV)May 24, 2017 · 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.
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026