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
Wealth Advisors Group, LLC
Latest filing Mar 27, 2026
First filing on the tape Dec 11, 2017 · 19 filings
SEC status approved since Jan 10, 2018
RAUM
$278M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$278M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$139M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$278M as of Mar 27, 2026
Jan 18, 2019$161M then
HNW client RAUM$213M as of Mar 27, 2026
Jan 18, 2019$57.3M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Jan 18, 20192 then
Employees (5.A)2 as of Mar 27, 2026
Jan 18, 20192 then
Private funds: no history
RAUM +29% over the last fiscal year+25% a year over threeIARs 2 to 2
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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 136derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $231,877derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -14%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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$213M76%
- Individuals$65.5M24%
- Individual clients
- 182reported
- HNW clients
- 90reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,201reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jason Alan Dumont | Coralville, Ia | Jan 18, 2018 | 33 y | 2 |
| Michael J Conlon | Coralville, Ia | Jun 15, 2023 | 15 y | 1 |
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 headcount0 left over 36 months
Left, latest
- Charles Thomas Puccio to United Planners' Financial Services Of America A Limited PartnerFeb 9, 2022 · RIA to RIA
Joined, latest
- Michael J Conlon from Creative PlanningJun 15, 2023 · RIA to RIA
- Jason Alan Dumont from Sii Investments, Inc.Jan 18, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
- Charles Thomas Puccio from Sii Investments, Inc.Jan 17, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Sii Investments, Inc.Jan 12, 2018 · Coralville, Ia
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Alan Jason Dumont · Managing Member/Chief Compliance Officercontrolsince 01/2022 · 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 |
|---|---|---|---|---|---|
| Coralville, Ia · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 27, 2026accounts (Item 5.F.2.f) moved from 787.0 to 1,201.0 (+53.0%) between the annual amendments of 2025-03-03 and 2026-03-27; the peer median change was +5.0% (3688 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,688) · 96% percentile
- HNW share shiftChange between filings · filing Mar 27, 2026HNW share of RAUM moved from 58.0% to 76.0% between the annual amendments of 2025-03-03 and 2026-03-27peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 787 to 1,201Jan 29, 2026 to Mar 27, 2026
- HNW clients · 64 to 90Jan 29, 2026 to Mar 27, 2026
- Individual clients · 252 to 182Jan 29, 2026 to Mar 27, 2026
- Discretionary RAUM · $216M to $278MJan 29, 2026 to Mar 27, 2026
- HNW RAUM · $126M to $213MJan 29, 2026 to Mar 27, 2026
- Individual RAUM · $90.3M to $65.5MJan 29, 2026 to Mar 27, 2026
- RAUM · $216M to $278MJan 29, 2026 to Mar 27, 2026
- Accounts · 713 to 787Jan 25, 2024 to Mar 3, 2025
- HNW clients · 46 to 64Jan 25, 2024 to Mar 3, 2025
- Individual clients · 233 to 252Jan 25, 2024 to Mar 3, 2025
- Financial planning clients · unset to Jan 25, 2024 to Mar 3, 2025
- Discretionary RAUM · $179M to $216MJan 25, 2024 to Mar 3, 2025
- HNW RAUM · $88.0M to $126MJan 25, 2024 to Mar 3, 2025
- Individual RAUM · $90.6M to $90.3MJan 25, 2024 to Mar 3, 2025
- RAUM · $179M to $216MJan 25, 2024 to Mar 3, 2025
- BD registered reps · 1 to 0Jun 29, 2023 to Jan 22, 2024
- Accounts · 629 to 713Jan 22, 2024 to Jan 22, 2024
- HNW clients · 38 to 46Jan 22, 2024 to Jan 22, 2024
- Individual clients · 215 to 233Jan 22, 2024 to Jan 22, 2024
- Discretionary RAUM · $143M to $179MJan 22, 2024 to Jan 22, 2024
- HNW RAUM · $66.3M to $88.0MJan 22, 2024 to Jan 22, 2024
- Individual RAUM · $77.0M to $90.6MJan 22, 2024 to Jan 22, 2024
- RAUM · $143M to $179MJan 22, 2024 to Jan 22, 2024
- Advisory employees · 1 to 2Feb 7, 2023 to Jun 16, 2023
- Employees · 1 to 2Feb 7, 2023 to Jun 16, 2023
- State-registered IARs · 1 to 2Feb 7, 2023 to Jun 16, 2023
- Accounts · 584 to 629Feb 9, 2022 to Feb 7, 2023
- HNW clients · 35 to 38Feb 9, 2022 to Feb 7, 2023
- Individual clients · 235 to 215Feb 9, 2022 to Feb 7, 2023
- Discretionary RAUM · $151M to $143MFeb 9, 2022 to Feb 7, 2023
- HNW RAUM · $68.3M to $66.3MFeb 9, 2022 to Feb 7, 2023
- Individual RAUM · $82.7M to $77.0MFeb 9, 2022 to Feb 7, 2023
- RAUM · $151M to $143MFeb 9, 2022 to Feb 7, 2023
- Accounts · 835 to 584Feb 24, 2021 to Feb 9, 2022
- Advisory employees · 2 to 1Feb 24, 2021 to Feb 9, 2022
- BD registered reps · 2 to 1Feb 24, 2021 to Feb 9, 2022
- HNW clients · 58 to 35Feb 24, 2021 to Feb 9, 2022
- Individual clients · 319 to 235Feb 24, 2021 to Feb 9, 2022
- Employees · 2 to 1Feb 24, 2021 to Feb 9, 2022
- State-registered IARs · 2 to 1Feb 24, 2021 to Feb 9, 2022
Signals
3 dated events
- Charles Thomas Puccio left Wealth Advisors Group, Llc for United Planners' Financial Services Of America A Limited Partner (registered 2022-02-01)Feb 9, 2022 · Advisor changed firm · fact
- Thomas Charles Puccio (Managing Member/Chief Compliance Officer/Investment Advisor Representative) no longer on Schedule A of Wealth Advisors Group, Llc (listed 2021-02-24, absent 2022-02-09)Feb 9, 2022 · Control person left · inference
- Wealth Advisors Group, Llc filed its initial SEC registration (Form ADV)Dec 11, 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 phone
- 319-626-3589reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/wealthadvgroupreportedpublic record, Form ADV, Sep 17, 2026
- Website
- wealthadvgroup.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 319-626-3589reportedpublic record, Form ADV, Mar 27, 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
- $139Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026