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
Mindful Wealth LLC
Latest filing May 27, 2026
First filing on the tape Mar 7, 2023 · 7 filings
SEC status approved since Apr 7, 2023
RAUM
$225M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$225M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$225M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$225M as of May 27, 2026
Mar 28, 2024$133M then
HNW client RAUM$225M as of May 27, 2026
Mar 28, 2024$133M then
State-registered IARs (5.B.3)1 as of May 27, 2026
Mar 28, 20241 then
Employees (5.A)1 as of May 27, 2026
Mar 28, 20241 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of May 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $225MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $807,496derivedRAUM 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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
- 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$225M100%
- Individual clients
- n/areported
- HNW clients
- 57reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 279reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| David Michael Dickman | Northbrook, Il | Aug 2, 2018 | 30 y | 4 |
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
- David Michael Dickman from Vivaldi Capital Management LPAug 2, 2018 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michael David Dickman · Founder, Managing Partner, Ccocontrolsince 06/2018 · 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.
What changed
consecutive filings, newest first
- HQ city · NORTHBROOK to GLENCOEMar 30, 2026 to May 27, 2026
- Accounts · 230 to 279Mar 31, 2025 to Mar 30, 2026
- HNW clients · 44 to 57Mar 31, 2025 to Mar 30, 2026
- Employees · 2 to 1Mar 31, 2025 to Mar 30, 2026
- Financial planning clients · 11-25 to 26-50Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $188M to $225MMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $188M to $225MMar 31, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $335,704 to $0Mar 31, 2025 to Mar 30, 2026
- RAUM · $188M to $225MMar 31, 2025 to Mar 30, 2026
- Accounts · 187 to 230Sep 12, 2024 to Mar 31, 2025
- HNW clients · 42 to 44Sep 12, 2024 to Mar 31, 2025
- Employees · 1 to 2Sep 12, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 11-25Sep 12, 2024 to Mar 31, 2025
- Discretionary RAUM · $122M to $188MSep 12, 2024 to Mar 31, 2025
- HNW RAUM · $133M to $188MSep 12, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $11.1M to $335,704Sep 12, 2024 to Mar 31, 2025
- RAUM · $133M to $188MSep 12, 2024 to Mar 31, 2025
- Accounts · 136 to 187May 5, 2023 to Mar 28, 2024
- HNW clients · 35 to 42May 5, 2023 to Mar 28, 2024
- Financial planning clients · 11-25 to 0May 5, 2023 to Mar 28, 2024
- Discretionary RAUM · $100M to $122MMay 5, 2023 to Mar 28, 2024
- HNW RAUM · $111M to $133MMay 5, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $10.2M to $11.1MMay 5, 2023 to Mar 28, 2024
- RAUM · $111M to $133MMay 5, 2023 to Mar 28, 2024
Signals
1 dated events
- Mindful Wealth Llc filed its initial SEC registration (Form ADV)Mar 7, 2023 · 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
- 312-953-9900reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- mindfulwealthllc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-953-9900reportedpublic record, Form ADV, May 27, 2026
- Contact form
- mindfulwealthllc.com/contactreportedpublished 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
- $225Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026