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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Former SEC-registered adviser
F•••• F•••••••• A•••••••
Legal name F•••• W••••• P••••••• I••
Latest filing Mar 21, 2024
First filing on the tape Aug 8, 2018 · 10 filings
SEC status approved since Jul 31, 2018
RAUM
$127M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$127M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
10 filings and snapshots on the tape
RAUM$127M as of Mar 21, 2024
Mar 25, 2019$94.5M then
HNW client RAUM$99.3M as of Mar 21, 2024
Mar 25, 2019$71.4M then
State-registered IARs (5.B.3)1 as of Mar 21, 2024
Mar 25, 20191 then
Employees (5.A)3 as of Mar 21, 2024
Mar 25, 20193 then
Private funds: no history
RAUM +11% over the last fiscal year+3.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 21, 2024; every figure names its basis
- RAUM per advisor
- $127MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 172derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $740,602derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $6.5M, 7 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$99.3M78%
- Individuals$28.1M22%
- Individual clients
- 114reported
- HNW clients
- 58reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 172reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.5M for 7 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- J•• L• A•••••• to F••••••Dec 31, 2024 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• J••• L• · Presidentcontrolsince 08/2018 · owns less than 5%
- A••••••• J••• L• · Trustee/Presidentcontrolsince 08/2018 · owns F of R•••••••• D••••••••• O• T•••• F•• J•• L• A••••••
- W••••••• M•••••• L• · Chief Compliance Officersince 08/2018 · owns less than 5%
Entity owners
- R•••••••• D••••••••• O• T•••• F•• J•• L• A•••••• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Rockford, Il · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 162 to 172Mar 16, 2023 to Mar 21, 2024
- HNW clients · 38 to 58Mar 16, 2023 to Mar 21, 2024
- Assets in custody · $6.4M to $6.5MMar 16, 2023 to Mar 21, 2024
- Discretionary RAUM · $114M to $127MMar 16, 2023 to Mar 21, 2024
- HNW RAUM · $86.5M to $99.3MMar 16, 2023 to Mar 21, 2024
- Individual RAUM · $27.9M to $28.1MMar 16, 2023 to Mar 21, 2024
- RAUM · $114M to $127MMar 16, 2023 to Mar 21, 2024
- Accounts · 430 to 162Mar 24, 2022 to Mar 16, 2023
- HNW clients · 56 to 38Mar 24, 2022 to Mar 16, 2023
- Individual clients · 94 to 114Mar 24, 2022 to Mar 16, 2023
- Assets in custody · $7.4M to $6.4MMar 24, 2022 to Mar 16, 2023
- Discretionary RAUM · $130M to $114MMar 24, 2022 to Mar 16, 2023
- HNW RAUM · $104M to $86.5MMar 24, 2022 to Mar 16, 2023
- Individual RAUM · $25.7M to $27.9MMar 24, 2022 to Mar 16, 2023
- RAUM · $130M to $114MMar 24, 2022 to Mar 16, 2023
- Accounts · 418 to 430Jun 3, 2021 to Mar 24, 2022
- HNW clients · 45 to 56Jun 3, 2021 to Mar 24, 2022
- Individual clients · 95 to 94Jun 3, 2021 to Mar 24, 2022
- Assets in custody · $8.7M to $7.4MJun 3, 2021 to Mar 24, 2022
- Discretionary RAUM · $115M to $130MJun 3, 2021 to Mar 24, 2022
- HNW RAUM · $91.1M to $104MJun 3, 2021 to Mar 24, 2022
- Individual RAUM · $24.4M to $25.7MJun 3, 2021 to Mar 24, 2022
- RAUM · $115M to $130MJun 3, 2021 to Mar 24, 2022
- Accounts · 403 to 418Jul 1, 2020 to Mar 23, 2021
- HNW clients · 44 to 45Jul 1, 2020 to Mar 23, 2021
- Individual clients · 91 to 95Jul 1, 2020 to Mar 23, 2021
- Assets in custody · $4.7M to $8.7MJul 1, 2020 to Mar 23, 2021
- Discretionary RAUM · $110M to $115MJul 1, 2020 to Mar 23, 2021
- HNW RAUM · $86.1M to $91.1MJul 1, 2020 to Mar 23, 2021
- Individual RAUM · $23.6M to $24.4MJul 1, 2020 to Mar 23, 2021
- RAUM · $110M to $115MJul 1, 2020 to Mar 23, 2021
- Accounts · 394 to 403Oct 2, 2019 to Mar 23, 2020
- HNW clients · 40 to 44Oct 2, 2019 to Mar 23, 2020
- Assets in custody · $4.5M to $4.7MOct 2, 2019 to Mar 23, 2020
- Other offices · 1 to 0Oct 2, 2019 to Mar 23, 2020
- Discretionary RAUM · $94.5M to $110MOct 2, 2019 to Mar 23, 2020
- HNW RAUM · $71.4M to $86.1MOct 2, 2019 to Mar 23, 2020
- Individual RAUM · $23.1M to $23.6MOct 2, 2019 to Mar 23, 2020
- RAUM · $94.5M to $110MOct 2, 2019 to Mar 23, 2020
- Advisory activities · 2 to 3Mar 25, 2019 to Oct 2, 2019
Signals
4 dated events
- F•••• F•••••••• A••••••• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $127.4M)Feb 3, 2025 · Left the SEC roster · derived
- J•• L• A•••••• left F•••• F•••••••• A••••••• for Farther (registered 2026-08-12)Dec 31, 2024 · Advisor changed firm · fact
- F•••• F•••••••• A•••••••• I•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 8, 2018 · Succession (Item 4) · fact
- F•••• F•••••••• A•••••••• I•• filed its initial SEC registration (Form ADV)Aug 8, 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026