DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

S••••••• A••••••• S•••••••

Wealth manager with institutional or fund businessSEC-registeredwebsite

Wealth manager with institutional or fund business, reporting $128M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-13 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $128M
Advisors: 2
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +18%
Private clients: 48% of RAUM, $62.0M

Advisors (2)Advisor movement Where the RAUM sits

As of 2026-03-13 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +18% over the last fiscal year, to $128M.
2026-03-13
RAUM a year earlier $108MRAUM now $128M
institutional share of RAUM of 51% against a peer median of 0% (5682 comparable advisers, 99.0th percentile, 17.2 robust deviations)
2026-03-13
institutional share of RAUM 0.512912779495922Peer median 0.00318691961830629
5 published business contact points are on record, each with its source.
Contact points 5

Every filed figure, and the identifiersCRD 295694 · SEC 801-129671 · 3 filingsShow

CRD 295694SEC 801-129671Legal name L••••••••• W••••• M••••••••• L••First filing on the tape Feb 12, 2024, latest Mar 13, 2026SEC status approved since Mar 13, 2024IAPD

RAUM

$128M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

48%

$62.0M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$64.0M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

3 filings and snapshots on the tape

RAUM$128M as of Mar 13, 2026

Apr 28, 2025$108M then

HNW client RAUM$51.3M as of Mar 13, 2026

Apr 28, 2025$39.8M then

State-registered IARs (5.B.3)2 as of Mar 13, 2026

Apr 28, 20252 then

Employees (5.A)2 as of Mar 13, 2026

Apr 28, 20252 then

Private funds: no history

RAUM +18% over the last fiscal yearIARs 2 to 2

Practice profile

derived from the filing of Mar 13, 2026; every figure names its basis

Archetypes, each a printed rule

Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent

RAUM per advisor: $64.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 31derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.8MderivedHNW RAUM over HNW clients
Average account: $437,016derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 51%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +18%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -3.2%derived
Compensation: percentage of assets, hourlyreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody: $7.9M, 11 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)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Charitable organizations$64.9M51%
High-net-worth individuals$51.3M40%
Individuals$10.7M8.3%
Pension and profit-sharing plans$749,6270.6%
Corporations and businesses$350,3960.3%

Individual clients: 33reported
HNW clients: 28reported
Pension plan clients: n/areported
Charitable clients: 10reported
Accounts: 293reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: $7.9M for 11 clientsreported
Compensation: % of AUM, hourlyreported
Class basis: private_client_share=0.48 fund_share=0.0 institutional_share=0.51 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
A••••• C••• T•••••Certified Financial Planner	Marion, Ia	Aug 31, 2018	25 y	1
J••• P•••• J••••••Certified Financial Planner	Yonkers, Ny	Dec 23, 2021	15 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 headcount0 left over 36 months

Left, latest

none on the tape

Joined, latest

A••••• C••• T••••• from B•••••••• S••••••••• S•••••••• I•••
Aug 31, 2018 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S•••••••• R•••••• C••••••••• · Managing Membercontrol
since 03/2020 · owns 25% to 50%
T•••••• A•••••• C••• · Managing Member And Chief Compliance Officercontrol
since 04/2018 · owns 50% to 75%

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
Marion, Ia	2	0	0

Offices

Schedule D 1.F, the 25 largest

Dubuque, IA1 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

high institutional concentrationStatic outlier · filing Mar 13, 2026
institutional share of RAUM of 51% against a peer median of 0% (5682 comparable advisers, 99.0th percentile, 17.2 robust deviations)
peers: independent wealth managers, $100M to $500M (5,682) · 99% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 247 to 293
Apr 28, 2025 to Mar 13, 2026
HNW clients · 25 to 28
Apr 28, 2025 to Mar 13, 2026
Individual clients · 38 to 33
Apr 28, 2025 to Mar 13, 2026
Assets in custody · $7.1M to $7.9M
Apr 28, 2025 to Mar 13, 2026
Discretionary RAUM · $108M to $128M
Apr 28, 2025 to Mar 13, 2026
HNW RAUM · $39.8M to $51.3M
Apr 28, 2025 to Mar 13, 2026
Individual RAUM · $12.2M to $10.7M
Apr 28, 2025 to Mar 13, 2026
Pension RAUM · $611,394 to $749,627
Apr 28, 2025 to Mar 13, 2026
RAUM · $108M to $128M
Apr 28, 2025 to Mar 13, 2026
Accounts · 246 to 247
Feb 12, 2024 to Apr 28, 2025
Charity clients · 12 to 10
Feb 12, 2024 to Apr 28, 2025
HNW clients · 19 to 25
Feb 12, 2024 to Apr 28, 2025
Individual clients · 54 to 38
Feb 12, 2024 to Apr 28, 2025
Assets in custody · $7.7M to $7.1M
Feb 12, 2024 to Apr 28, 2025
Financial planning clients · 26-50 to 51-100
Feb 12, 2024 to Apr 28, 2025
HQ city · unset to
Feb 12, 2024 to Apr 28, 2025
HQ state · unset to
Feb 12, 2024 to Apr 28, 2025
Discretionary RAUM · $100M to $108M
Feb 12, 2024 to Apr 28, 2025
HNW RAUM · $28.2M to $39.8M
Feb 12, 2024 to Apr 28, 2025
Individual RAUM · $17.1M to $12.2M
Feb 12, 2024 to Apr 28, 2025
Pension RAUM · $513,159 to $611,394
Feb 12, 2024 to Apr 28, 2025
RAUM · $100M to $108M
Feb 12, 2024 to Apr 28, 2025

Signals

3 dated events

••• Locked
Mar 13, 2026 · ria principal change · fact
••• Locked
Mar 13, 2026 · Control person joined · fact
••• Locked
Feb 12, 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: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 13, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 13, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Team page: ••• Lockedreportedpublished 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: Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
RAUM per advisor: $64.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026