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
W••• S••••• F•••••••• G••••• I•••
Latest filing Jan 20, 2026
First filing on the tape May 30, 2024 · 7 filings
SEC status approved since Jun 28, 2024
RAUM
$188M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$180M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$62.6M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$188M as of Jan 20, 2026
Jan 8, 2025$133M then
HNW client RAUM$84.6M as of Jan 20, 2026
Jan 8, 2025$62.9M then
State-registered IARs (5.B.3)3 as of Jan 20, 2026
Jan 8, 20253 then
Employees (5.A)3 as of Jan 20, 2026
Jan 8, 20253 then
Private funds: no history
RAUM +41% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Jan 20, 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
- RAUM per advisor
- $62.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 142derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $155,363derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +41%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$95.0M51%
- High-net-worth individuals$84.6M45%
- State and municipal entities$7.7M4.1%
- Charitable organizations$327,8240.2%
- Corporations and businesses$104,5150.1%
- Individual clients
- 379reported
- HNW clients
- 46reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 1,208reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 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 |
|---|---|---|---|---|
| J••• A••••• Z••••••Certified Financial Planner, Personal Financial Specialist | C•••Inville, Il | Jan 15, 2018 | 10 y | 0 |
| B•••••• B••••Certified Financial Planner | C•••Inville, Il | Jun 29, 2022 | 13 y | 0 |
| C••• W•••••• Z••••••Certified Financial Planner | C•••Inville, Il | Jan 1, 2026 | 39 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Z•••••• B•••• G••• to R••••• W••••• A•••••••Apr 21, 2020 · RIA to a newly registered adviser
- D••• M•••••• S•••• to A• W••••• M••••••••• L••Apr 21, 2020 · RIA to RIA
Joined, latest
- C••• W•••••• Z•••••• from K••••• A••••••• S•••••••• L••Jan 1, 2026 · Other
- Z•••••• B•••• G••• from A• W••••• M••••••••• L••Jul 27, 2017 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Z••••••• J•••• A••••• · President And Ccocontrolsince 10/2024 · 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 |
|---|---|---|---|---|---|
| C•••Inville, Il · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Edwardsville, IL2 employees
- Marion, IL2 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Jan 20, 2026RAUM (Item 5.F) moved from $133,114,659 to $187,678,567 (+41.0%) between the annual amendments of 2025-01-08 and 2026-01-20; the peer median change was +15.0% (4550 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 93% percentile
What changed
consecutive filings, newest first
- Accounts · 1,100 to 1,208Oct 28, 2025 to Jan 20, 2026
- HNW clients · 30 to 46Oct 28, 2025 to Jan 20, 2026
- Individual clients · 358 to 379Oct 28, 2025 to Jan 20, 2026
- Discretionary RAUM · $133M to $188MOct 28, 2025 to Jan 20, 2026
- HNW RAUM · $62.9M to $84.6MOct 28, 2025 to Jan 20, 2026
- Individual RAUM · $58.1M to $95.0MOct 28, 2025 to Jan 20, 2026
- RAUM · $133M to $188MOct 28, 2025 to Jan 20, 2026
- Financial planning clients · 0 to 0Jan 8, 2025 to Oct 28, 2025
- Accounts · 1,076 to 1,100Oct 31, 2024 to Jan 8, 2025
- HNW clients · 20 to 30Oct 31, 2024 to Jan 8, 2025
- Individual clients · 359 to 358Oct 31, 2024 to Jan 8, 2025
- Other offices · 3 to 2Oct 31, 2024 to Jan 8, 2025
- Discretionary RAUM · $116M to $133MOct 31, 2024 to Jan 8, 2025
- HNW RAUM · $46.3M to $62.9MOct 31, 2024 to Jan 8, 2025
- Individual RAUM · $62.1M to $58.1MOct 31, 2024 to Jan 8, 2025
- RAUM · $116M to $133MOct 31, 2024 to Jan 8, 2025
Signals
3 dated events
- William Carl Z•••••• (President) no longer on Schedule A of W••• S••••• F•••••••• G••••• I••• (listed 2024-10-25, absent 2024-10-31)Oct 31, 2024 · Control person left · inference
- A••••• J••• Z•••••• (President And Cco) appeared on Schedule A of W••• S••••• F•••••••• G••••• I•••Oct 31, 2024 · Control person joined · fact
- W••• S••••• F•••••••• G••••• I••• filed its initial SEC registration (Form ADV)May 30, 2024 · 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 phone
- 217-825-5500reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 217-825-7096reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 217-836-9535reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/main-street-financial-group-increportedpublic record, Form ADV, Sep 18, 2026
- Website
- W•••STFINANCIALGROUP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-303-9255reportedpublic record, Form ADV, Jan 20, 2026
- Team page
- wallstfinancialgroup.com/who-we-arereportedpublished 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
- $62.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026