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
N•••• A••••••• W••••• A••••••• I•••
Latest filing Mar 9, 2026
First filing on the tape Jun 15, 2018 · 14 filings
SEC status approved since Jul 13, 2018
RAUM
$237M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
25%
$60.2M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$237M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$237M as of Mar 9, 2026
Mar 7, 2019$112M then
HNW client RAUM$50.8M as of Mar 9, 2026
Mar 7, 2019$8.3M then
State-registered IARs (5.B.3)1 as of Mar 9, 2026
Mar 7, 20191 then
Employees (5.A)3 as of Mar 9, 2026
Mar 7, 20191 then
Private funds: no history
RAUM +30% over the last fiscal year+14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 9, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $237MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 50%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$119M66%
- High-net-worth individuals$50.8M28%
- Individuals$9.4M5.3%
- Individual clients
- 41reported
- HNW clients
- 26reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 131reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.25 fund_share=0.0 institutional_share=0.5 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- J•••• R•••••• C•••• from V••• F•••••••• A•••••••• I•••Jul 16, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• J••••• R•••••• · Ceo, Chief Compliance Officer, Shareholdercontrolsince 05/2018 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 9, 2026institutional share of RAUM of 50% against a peer median of 0% (5676 comparable advisers, 99.0th percentile, 16.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 99% percentile
- low discretionary shareStatic outlier · filing Mar 9, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 112 to 131Mar 18, 2025 to Mar 9, 2026
- HNW clients · 18 to 26Mar 18, 2025 to Mar 9, 2026
- Individual clients · 46 to 41Mar 18, 2025 to Mar 9, 2026
- Employees · 2 to 3Mar 18, 2025 to Mar 9, 2026
- HNW RAUM · $33.6M to $50.8MMar 18, 2025 to Mar 9, 2026
- Individual RAUM · $12.3M to $9.4MMar 18, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $182M to $237MMar 18, 2025 to Mar 9, 2026
- Pension RAUM · $86.0M to $119MMar 18, 2025 to Mar 9, 2026
- RAUM · $182M to $237MMar 18, 2025 to Mar 9, 2026
- Accounts · 107 to 112Mar 27, 2024 to Mar 18, 2025
- HNW clients · 20 to 18Mar 27, 2024 to Mar 18, 2025
- Individual clients · 52 to 46Mar 27, 2024 to Mar 18, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 18, 2025
- HNW RAUM · $28.4M to $33.6MMar 27, 2024 to Mar 18, 2025
- Individual RAUM · $11.3M to $12.3MMar 27, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $182M to $182MMar 27, 2024 to Mar 18, 2025
- Pension RAUM · $82.0M to $86.0MMar 27, 2024 to Mar 18, 2025
- RAUM · $182M to $182MMar 27, 2024 to Mar 18, 2025
- Accounts · 111 to 107Mar 29, 2023 to Mar 27, 2024
- HNW clients · 19 to 20Mar 29, 2023 to Mar 27, 2024
- Individual clients · 51 to 52Mar 29, 2023 to Mar 27, 2024
- Pension plan clients · 0.0 to unsetMar 29, 2023 to Mar 27, 2024
- Employees · 1 to 2Mar 29, 2023 to Mar 27, 2024
- HNW RAUM · $24.9M to $28.4MMar 29, 2023 to Mar 27, 2024
- Individual RAUM · $11.0M to $11.3MMar 29, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $162M to $182MMar 29, 2023 to Mar 27, 2024
- Pension RAUM · $0 to $82.0MMar 29, 2023 to Mar 27, 2024
- RAUM · $162M to $182MMar 29, 2023 to Mar 27, 2024
- Accounts · 103 to 111Mar 17, 2022 to Mar 29, 2023
- HNW clients · 13 to 19Mar 17, 2022 to Mar 29, 2023
- Individual clients · 58 to 51Mar 17, 2022 to Mar 29, 2023
- HNW RAUM · $29.2M to $24.9MMar 17, 2022 to Mar 29, 2023
- Individual RAUM · $12.0M to $11.0MMar 17, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $194M to $162MMar 17, 2022 to Mar 29, 2023
- RAUM · $194M to $162MMar 17, 2022 to Mar 29, 2023
- Accounts · 105 to 103Sep 17, 2021 to Mar 17, 2022
- HNW clients · 16 to 13Sep 17, 2021 to Mar 17, 2022
- Individual clients · 39 to 58Sep 17, 2021 to Mar 17, 2022
- Financial planning clients · 0 to unsetSep 17, 2021 to Mar 17, 2022
- HNW RAUM · $20.3M to $29.2MSep 17, 2021 to Mar 17, 2022
Signals
1 dated events
- J•••• C•••• I••• filed its initial SEC registration (Form ADV)Jun 15, 2018 · 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
- jim@nawadvisor.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 952-492-3500reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- nawadvisor.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (952) 492-3500reportedpublic record, Form ADV, Mar 9, 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
- $237Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026