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
Hendricks Wealth And Estate Management
Legal name J.G.Hendricks Financial Services, LLC
Latest filing Jun 9, 2026
First filing on the tape Sep 7, 2017 · 25 filings
SEC status approved since Oct 6, 2017
RAUM
$536M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$532M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$89.4M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$536M as of Jun 9, 2026
Jan 17, 2018$127M then
HNW client RAUM$341M as of Jun 9, 2026
Jan 17, 2018$19.4M then
State-registered IARs (5.B.3)6 as of Jun 9, 2026
Jan 17, 20182 then
Employees (5.A)7 as of Jun 9, 2026
Jan 17, 20182 then
Private funds: no history
RAUM +30% over the last fiscal year+25% a year over threeIARs 4 to 6
Practice profile
derived from the filing of Jun 9, 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
- $89.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 152derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $196,092derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $382M, 1,549 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)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$341M64%
- Individuals$191M36%
- Pension and profit-sharing plans$4.1M0.8%
- Individual clients
- 752reported
- HNW clients
- 161reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 2,734reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $382M for 1,549 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Nanette Joy Kastner | West Dundee, Il | Oct 12, 2017 | 19 y | 2 |
| Sean Michael Hendricks | Algonquin, Il | Jul 12, 2019 | 15 y | 2 |
| James Madl | Algonquin, Il | Jul 1, 2021 | 13 y | 0 |
| Thomas Donald Anderson | Lakewood Ranch, Fl | Jun 13, 2025 | 10 y | 0 |
| Daniel James Leitner | Algonquin, Il | Oct 2, 2025 | 10 y | 0 |
| James Gerald HendricksCertified Financial Planner | West Dundee, Il | Jan 1, 2026 | 24 y | 5 |
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
- Barton Liro to LPL Financial LLCMar 31, 2023 · RIA to RIA
Joined, latest
- James Gerald Hendricks from Hero Investment Planners LLCJan 1, 2026 · RIA to RIA
- Barton Liro from Hero Investment Planners LLCMar 5, 2021 · RIA to RIA
- Sean Michael Hendricks from Investors Capital AdvisoryJul 12, 2019 · Other
- Nanette Joy Kastner from Cetera Advisors LLCOct 12, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Gerald James Hendricks · Managing Membercontrolsince 01/2023 · owns 75% or more of Hendricks Wealth Enterprises, LLC
- Gerald James Hendricks · Managing Membersince 10/2017 · owns less than 5%
- Michael Sean Hendricks · Chief Compliance Officersince 08/2019 · owns less than 5%
Entity owners
- Hendricks Wealth Enterprises, LLC · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Algonquin, Il · principal | 4 | 1 | 0 | ||
| West Dundee, Il | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Lakewood Ranch, FL2 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 2,688 to 2,734Sep 23, 2025 to Mar 18, 2026
- HNW clients · 125 to 161Sep 23, 2025 to Mar 18, 2026
- Individual clients · 721 to 752Sep 23, 2025 to Mar 18, 2026
- Assets in custody · $275M to $382MSep 23, 2025 to Mar 18, 2026
- Employees · 8 to 7Sep 23, 2025 to Mar 18, 2026
- Financial planning clients · 1-10 to 0Sep 23, 2025 to Mar 18, 2026
- Discretionary RAUM · $407M to $532MSep 23, 2025 to Mar 18, 2026
- HNW RAUM · $271M to $341MSep 23, 2025 to Mar 18, 2026
- Individual RAUM · $135M to $191MSep 23, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $4.9M to $4.4MSep 23, 2025 to Mar 18, 2026
- Pension RAUM · $4.7M to $4.1MSep 23, 2025 to Mar 18, 2026
- RAUM · $412M to $536MSep 23, 2025 to Mar 18, 2026
- Advisory employees · 4 to 6Mar 19, 2025 to Sep 23, 2025
- Employees · 5 to 8Mar 19, 2025 to Sep 23, 2025
- HQ city · WEST DUNDEE to ALGONQUINMar 19, 2025 to Sep 23, 2025
- State-registered IARs · 4 to 6Mar 19, 2025 to Sep 23, 2025
- Accounts · 2,620 to 2,688Feb 28, 2024 to Mar 19, 2025
- HNW clients · 156 to 125Feb 28, 2024 to Mar 19, 2025
- Individual clients · 683 to 721Feb 28, 2024 to Mar 19, 2025
- Pension plan clients · 7 to 6Feb 28, 2024 to Mar 19, 2025
- Assets in custody · $221M to $275MFeb 28, 2024 to Mar 19, 2025
- Financial planning clients · 251-500 to 1-10Feb 28, 2024 to Mar 19, 2025
- Other offices · 2 to 1Feb 28, 2024 to Mar 19, 2025
- Discretionary RAUM · $343M to $407MFeb 28, 2024 to Mar 19, 2025
- HNW RAUM · $222M to $271MFeb 28, 2024 to Mar 19, 2025
- Individual RAUM · $123M to $135MFeb 28, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $8.7M to $4.9MFeb 28, 2024 to Mar 19, 2025
- Pension RAUM · $7.3M to $4.7MFeb 28, 2024 to Mar 19, 2025
- RAUM · $352M to $412MFeb 28, 2024 to Mar 19, 2025
- Accounts · 2,407 to 2,620Oct 2, 2023 to Feb 28, 2024
- Advisory employees · 5 to 4Oct 2, 2023 to Feb 28, 2024
- HNW clients · 127 to 156Oct 2, 2023 to Feb 28, 2024
- Individual clients · 678 to 683Oct 2, 2023 to Feb 28, 2024
- Assets in custody · $189M to $221MOct 2, 2023 to Feb 28, 2024
- Insurance-licensed employees · 2 to 0Oct 2, 2023 to Feb 28, 2024
- Financial planning clients · 1-10 to 251-500Oct 2, 2023 to Feb 28, 2024
- State-registered IARs · 5 to 4Oct 2, 2023 to Feb 28, 2024
- Discretionary RAUM · $268M to $343MOct 2, 2023 to Feb 28, 2024
- HNW RAUM · $152M to $222MOct 2, 2023 to Feb 28, 2024
- Individual RAUM · $116M to $123MOct 2, 2023 to Feb 28, 2024
Signals
3 dated events
- Hendricks Wealth And Estate Management reported RAUM $536.1M, up 30% from $411.6M (2025-09-23 to 2026-03-18)Mar 18, 2026 · RAUM change · derived
- Barton Liro left Hendricks Wealth And Estate Management for Lpl Financial Llc (registered 2022-11-22)Mar 31, 2023 · Advisor changed firm · fact
- J.G.Hendricks Financial Services, Llc filed its initial SEC registration (Form ADV)Sep 7, 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@hendrickswealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 847-428-3997reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 941-308-9862reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/hendrickswealth?trk=public_profile_expereportedpublic record, Form ADV, Sep 17, 2026
- Website
- hendrickswealth.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 847-428-3997reportedpublic record, Form ADV, Jun 9, 2026
- Contact form
- hendrickswealth.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- hendrickswealth.com/meet-the-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
- $89.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026