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
E••••••••• A•••••••• I•••
Latest filing Mar 27, 2026
First filing on the tape Jan 31, 2022 · 16 filings
SEC status approved since Mar 4, 2022
RAUM
$342M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
93%
$317M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$171M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$342M as of Mar 27, 2026
Mar 6, 2023$201M then
HNW client RAUM$217M as of Mar 27, 2026
Mar 6, 2023$116M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 6, 20236 then
Employees (5.A)5 as of Mar 27, 2026
Mar 6, 20239 then
Private funds: no history
RAUM +7.8% over the last fiscal year+19% a year over threeIARs 4 to 2offices 2 to 1
Practice profile
derived from the filing of Mar 27, 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
- $171MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 203derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $317,084derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 7.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -18%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$217M64%
- Individuals$99.5M29%
- Charitable organizations$13.1M3.8%
- Pension and profit-sharing plans$11.5M3.4%
- Individual clients
- 317reported
- HNW clients
- 89reported
- Pension plan clients
- 9reported
- Charitable clients
- n/areported
- Accounts
- 1,077reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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=2.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount2 left over 36 months
Left, latest
- P•••••• L•••• F••• to C••••• I••••••••• A••••••• L••Sep 19, 2025 · RIA to affiliated broker-dealer or bank
- C•••• D••• M•••• to C••••• I••••••••• A••••••• L••Aug 1, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- P•••••• L•••• F••• from C••••• A••••••• L••May 26, 2022 · Affiliated broker-dealer or bank to independent RIA
- C•••• D••• M•••• from C••••• A••••••• L••Jan 5, 2018 · Affiliated broker-dealer or bank to independent RIA
- J•••••• L••••• R••• from F•••• T•••• S••••••••• I•••Jan 5, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C••••• A••••••• L••Mar 21, 2024 · Oak Brook, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••••• I••• L•• · President, Chief Compliance Officer, Wealth Advisorcontrolsince 09/2017 · owns 75% or more
Related persons
Schedule D 7.A
- F••••••••• A•• A••••••••• P•insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Oak Brook, Il · principal | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Porter, IN2 employees
- Homewood, IL1 employees
- Normal, IL1 employees
What changed
consecutive filings, newest first
- Accounts · 1,216 to 1,077Dec 5, 2025 to Mar 27, 2026
- Advisory employees · 4 to 2Dec 5, 2025 to Mar 27, 2026
- BD registered reps · 4 to 2Dec 5, 2025 to Mar 27, 2026
- HNW clients · 94 to 89Dec 5, 2025 to Mar 27, 2026
- Individual clients · 400 to 317Dec 5, 2025 to Mar 27, 2026
- Pension plan clients · 11 to 9Dec 5, 2025 to Mar 27, 2026
- Employees · 7 to 5Dec 5, 2025 to Mar 27, 2026
- Insurance-licensed employees · 0 to 2Dec 5, 2025 to Mar 27, 2026
- HQ city · to OAK BROOKDec 5, 2025 to Mar 27, 2026
- HQ state · to ILDec 5, 2025 to Mar 27, 2026
- State-registered IARs · 4 to 2Dec 5, 2025 to Mar 27, 2026
- Other offices · 2 to 1Dec 5, 2025 to Mar 27, 2026
- Discretionary RAUM · $317M to $330MDec 5, 2025 to Mar 27, 2026
- HNW RAUM · $205M to $217MDec 5, 2025 to Mar 27, 2026
- Individual RAUM · $104M to $99.5MDec 5, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $12,052 to $11.5MDec 5, 2025 to Mar 27, 2026
- Pension RAUM · $12,052 to $11.5MDec 5, 2025 to Mar 27, 2026
- RAUM · $317M to $342MDec 5, 2025 to Mar 27, 2026
- Financial planning clients · 251-500 to 251-500Mar 21, 2025 to May 28, 2025
- Accounts · 1,144 to 1,216Oct 22, 2024 to Mar 21, 2025
- HNW clients · 80 to 94Oct 22, 2024 to Mar 21, 2025
- Individual clients · 406 to 400Oct 22, 2024 to Mar 21, 2025
- Pension plan clients · unset to 11.0Oct 22, 2024 to Mar 21, 2025
- HQ city · unset to Oct 22, 2024 to Mar 21, 2025
- HQ state · unset to Oct 22, 2024 to Mar 21, 2025
- Other offices · 3 to 2Oct 22, 2024 to Mar 21, 2025
- Discretionary RAUM · $265M to $317MOct 22, 2024 to Mar 21, 2025
- HNW RAUM · $161M to $205MOct 22, 2024 to Mar 21, 2025
- Individual RAUM · $99.7M to $104MOct 22, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $0 to $12,052Oct 22, 2024 to Mar 21, 2025
- Pension RAUM · unset to 12052.0Oct 22, 2024 to Mar 21, 2025
- RAUM · $265M to $317MOct 22, 2024 to Mar 21, 2025
- Related insurance company · true to falseOct 22, 2024 to Mar 21, 2025
- Advisory employees · 5 to 4Jul 29, 2024 to Oct 22, 2024
- BD registered reps · 5 to 4Jul 29, 2024 to Oct 22, 2024
- Employees · 8 to 7Jul 29, 2024 to Oct 22, 2024
- State-registered IARs · 5 to 4Jul 29, 2024 to Oct 22, 2024
- Related insurance company · false to trueMar 13, 2024 to Jul 22, 2024
- Accounts · 927 to 1,144Dec 1, 2023 to Mar 13, 2024
- Advisory employees · 6 to 5Dec 1, 2023 to Mar 13, 2024
Signals
4 dated events
- P•••••• L•••• F••• left E••••••••• A•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2024-03-21)Sep 19, 2025 · Advisor changed firm · fact
- C•••• D••• M•••• left E••••••••• A•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2024-03-21)Aug 1, 2025 · Advisor changed firm · fact
- 2 advisors left C••••• A••••••• L•• (Oak Brook, IL) for E••••••••• A•••••••• I••• on the same dayMar 21, 2024 · Team lift-out · derived
- E••••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Jan 31, 2022 · 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
- dsimpson@ergawealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- tlaterreur@ergawealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 219-405-5499reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 630-320-2078reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 940-391-3251reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (630) 320-2078reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- ergawealth.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- ergawealth.com/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
- $171Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026