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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
B•••••••• W•••••• L••
Latest filing Aug 28, 2026
First filing on the tape Aug 31, 2017 · 75 filings
SEC status approved since Sep 29, 2017
RAUM
$884M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
93%
$820M individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$68.0M
derived; firm RAUM over IAPD count
Employees
24
13 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
75 filings and snapshots on the tape
RAUM$884M as of Aug 28, 2026
Mar 21, 2018$212M then
HNW client RAUM$541M as of Aug 28, 2026
Mar 21, 2018$69.1M then
State-registered IARs (5.B.3)13 as of Aug 28, 2026
Mar 21, 20188 then
Employees (5.A)24 as of Aug 28, 2026
Mar 21, 201813 then
Private funds: no history
RAUM +14% over the last fiscal year+16% a year over threeIARs 12 to 13
Practice profile
derived from the filing of Aug 28, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $68.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 96derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $237,910derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 6.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 3.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +8.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.2%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, publications, educational seminars, otherreportedItem 5.G
- Wrap fee program
- $875MreportedItem 5.I
- Custody
- $18.2M, 25 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client securities (9.B.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
- High-net-worth individuals$541M61%
- Individuals$279M32%
- Pension and profit-sharing plans$50.0M5.7%
- Charitable organizations$9.3M1.1%
- Corporations and businesses$4.1M0.5%
- Individual clients
- 981reported
- HNW clients
- 261reported
- Pension plan clients
- 12reported
- Charitable clients
- 5reported
- Accounts
- 3,715reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $18.2M for 25 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- 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
13 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• A•••• W••••••Certified Financial Planner, Personal Financial Specialist | C•••• Rapids, Ia | Oct 9, 2017 | 26 y | 1 |
| K•••••• M•••• W••••••Certified Financial Planner, Chartered Financial Consultant | C•••• Rapids, Ia | Oct 9, 2017 | 23 y | 1 |
| K•••••••• E••• K••• | C•••• Rapids, Ia | Oct 10, 2017 | 15 y | 1 |
| L••••• T•••• W••••Certified Financial Planner | C•••• Rapids, Ia | Oct 10, 2017 | 15 y | 2 |
| B•••• J••••••• K••••••Certified Financial Planner | C•••• Rapids, Ia | Oct 11, 2017 | 23 y | 1 |
| S••••• M•••••• B••••Certified Financial Planner | C•••• Rapids, Ia | Jun 1, 2018 | 10 y | 0 |
| S•••• M•••••• C•••••Certified Financial Planner, Chartered Financial Consultant | C•••• Rapids, Ia | Sep 20, 2018 | 14 y | 1 |
| K••• A•••• S••••••Certified Financial Planner, Chartered Financial Consultant | C•••• Rapids, Ia | Jan 15, 2021 | 28 y | 1 |
| R••• R••••• W•••••••••Certified Financial Planner | C•••• Rapids, Ia | Mar 4, 2021 | 16 y | 1 |
| K•••• C••• P••••••••• | C•••• Rapids, Ia | Sep 27, 2022 | 19 y | 3 |
| R••••• L•• D•••••••• | C•••• Rapids, Ia | Feb 8, 2024 | 35 y | 1 |
| A•••• E•••••••• H••• | C•••• Rapids, Ia | Mar 20, 2025 | 12 y | 0 |
| R••• M•••••• T••••• | C•••• Rapids, Ia | May 26, 2025 | 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 headcount1 left over 36 months
Left, latest
- A•••• C•••• E•••••• to C•••• P•••• C•••••• P•••••••• L••Aug 30, 2024 · RIA to RIA
- N••••• A••••• B••••• to K•••• F•••••••• A•••• A•••••••• L•••Oct 30, 2020 · RIA to RIA
Joined, latest
- R••••• L•• D•••••••• from A•••••• P••••••• P•••••••• I•••Feb 8, 2024 · RIA to RIA
- K•••• C••• P••••••••• from C••••• A•••••• N••••••• L••Sep 27, 2022 · Affiliated broker-dealer or bank to independent RIA
- R••• R••••• W••••••••• from A••••• F•••••••• P•••••••Mar 4, 2021 · Other
- K••• A•••• S•••••• from P•••••••• S••••••••• I•••Jan 15, 2021 · Affiliated broker-dealer or bank to independent RIA
- N••••• A••••• B••••• from L•• F•••••••• L••Feb 14, 2020 · Affiliated broker-dealer or bank to independent RIA
- S•••• M•••••• C••••• from N••••••••• M••••• I••••••••• S•••••••••Sep 20, 2018 · Other
- B•••• J••••••• K•••••• from A••••••••• F•••••••• S•••••••• L••Oct 11, 2017 · Affiliated broker-dealer or bank to a newly registered adviser
- K•••••••• E••• K••• from A••••••••• F•••••••• S•••••••• L••Oct 10, 2017 · Affiliated broker-dealer or bank to a newly registered adviser
- L••••• T•••• W•••• from A••••••••• F•••••••• S•••••••• L••Oct 10, 2017 · Affiliated broker-dealer or bank to a newly registered adviser
- W•••••• A•••• W•••••• from A••••••••• F•••••••• S•••••••• L••Oct 9, 2017 · Affiliated broker-dealer or bank to a newly registered adviser
- K•••••• M•••• W•••••• from A••••••••• F•••••••• S•••••••• L••Oct 9, 2017 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from A••••••••• F•••••••• S•••••••• L••Oct 10, 2017 · C•••• Rapids, Ia
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••• B••••• J••••••• · Member, Senior Wealth A••••••controlsince 08/2017 · owns 5% to 10%
- K•••• K••••••••• E••• · Member, Chief Compliance Officercontrolsince 08/2017 · owns less than 5%
- W••••••• K••••••• M•••• · Managing Member, Senior Wealth A••••••controlsince 08/2017 · owns 25% to 50%
- W••••••• W••••••• A•••• · Chief Investment Officer And Managing Member"controlsince 08/2017 · owns 25% to 50%
- W••••• L•••••• T•••• · Member, Senior Wealth A••••••controlsince 08/2017 · 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 |
|---|---|---|---|---|---|
| C•••• Rapids, Ia · principal | 13 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Davenport, IA2 employees
- Des Moines, IA1 employees
- Dubuque, IA1 employees
What changed
consecutive filings, newest first
- Accounts · 3,881 to 3,715Nov 20, 2025 to Feb 6, 2026
- Advisory employees · 12 to 13Nov 20, 2025 to Feb 6, 2026
- Charity clients · 2 to 5Nov 20, 2025 to Feb 6, 2026
- HNW clients · 234 to 261Nov 20, 2025 to Feb 6, 2026
- Pension plan clients · 13 to 12Nov 20, 2025 to Feb 6, 2026
- Assets in custody · $32.4M to $18.2MNov 20, 2025 to Feb 6, 2026
- Employees · 22 to 24Nov 20, 2025 to Feb 6, 2026
- State-registered IARs · 12 to 13Nov 20, 2025 to Feb 6, 2026
- Discretionary RAUM · $768M to $875MNov 20, 2025 to Feb 6, 2026
- HNW RAUM · $434M to $541MNov 20, 2025 to Feb 6, 2026
- Individual RAUM · $259M to $279MNov 20, 2025 to Feb 6, 2026
- Non-discretionary RAUM · $7.9M to $9.1MNov 20, 2025 to Feb 6, 2026
- Pension RAUM · $73.0M to $50.0MNov 20, 2025 to Feb 6, 2026
- RAUM · $776M to $884MNov 20, 2025 to Feb 6, 2026
- Financial planning clients · 11-25 to 11-25Mar 24, 2025 to May 30, 2025
- Advisory employees · 11 to 12Feb 24, 2025 to Mar 24, 2025
- Employees · 23 to 22Feb 24, 2025 to Mar 24, 2025
- State-registered IARs · 11 to 12Feb 24, 2025 to Mar 24, 2025
- Accounts · 3,374 to 3,881Jun 10, 2024 to Feb 24, 2025
- Advisory activities · 4 to 6Jun 10, 2024 to Feb 24, 2025
- Charity clients · 1 to 2Jun 10, 2024 to Feb 24, 2025
- Corporate clients · 7 to 4Jun 10, 2024 to Feb 24, 2025
- HNW clients · 207 to 234Jun 10, 2024 to Feb 24, 2025
- Individual clients · 958 to 981Jun 10, 2024 to Feb 24, 2025
- Pension plan clients · 12 to 13Jun 10, 2024 to Feb 24, 2025
- Assets in custody · $5.4M to $32.4MJun 10, 2024 to Feb 24, 2025
- Employees · 22 to 23Jun 10, 2024 to Feb 24, 2025
- Discretionary RAUM · $648M to $768MJun 10, 2024 to Feb 24, 2025
- HNW RAUM · $357M to $434MJun 10, 2024 to Feb 24, 2025
- Individual RAUM · $244M to $259MJun 10, 2024 to Feb 24, 2025
- Non-discretionary RAUM · $16.6M to $7.9MJun 10, 2024 to Feb 24, 2025
- Pension RAUM · $33.3M to $73.0MJun 10, 2024 to Feb 24, 2025
- RAUM · $665M to $776MJun 10, 2024 to Feb 24, 2025
- Employees · 21 to 22May 6, 2024 to Jun 10, 2024
- Assets in custody · $2.2M to $5.4MApr 24, 2024 to May 6, 2024
- Employees · 20 to 21Mar 5, 2024 to Apr 24, 2024
- Accounts · 3,151 to 3,374Nov 8, 2023 to Mar 5, 2024
- Charity clients · 2 to 1Nov 8, 2023 to Mar 5, 2024
- Corporate clients · 5 to 7Nov 8, 2023 to Mar 5, 2024
- HNW clients · 174 to 207Nov 8, 2023 to Mar 5, 2024
Signals
3 dated events
- A•••• C•••• E•••••• left B•••••••• W•••••• L•• for C•••• P•••• C•••••• P•••••••• L•• (registered 2024-12-03)Aug 30, 2024 · a•••••• firm change · fact
- B•••••••• W•••••• L•• reported RAUM $501.7M, up 51% from $332.5M (2021-07-19 to 2021-08-16)Aug 16, 2021 · RAUM change · derived
- B•••••••• W•••••• L•• filed its initial SEC registration (Form ADV)Aug 31, 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.
How to reach
public business contact points only, each with its source
- Business email
- info@b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- kc.pochobradsky@b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 319-826-1898reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 515-895-3665reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 563-582-1606reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/B••••••••WEALTHreportedpublic record, Form ADV, Sep 18, 2026
- Website
- basepointwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (319) 826-1898reportedpublic record, Form ADV, Aug 28, 2026
- Contact form
- basepointwealth.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- basepointwealth.com/our-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
- $68.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026