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
R•• P•••••• W•••••• L••
Latest filing Mar 11, 2026
First filing on the tape Apr 24, 2019 · 27 filings
SEC status approved since May 24, 2019
RAUM
$286M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
96%
$275M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$286M
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
27 filings and snapshots on the tape
RAUM$286M as of Mar 11, 2026
Mar 24, 2020$152M then
HNW client RAUM$164M as of Mar 11, 2026
Mar 24, 2020$77.5M then
State-registered IARs (5.B.3)1 as of Mar 11, 2026
Mar 24, 20203 then
Employees (5.A)1 as of Mar 11, 2026
Mar 24, 20203 then
Private funds: no history
RAUM +13% over the last fiscal year+15% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 11, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $286MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 326derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $233,109derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 4.0%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
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- yesreportedItem 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$164M57%
- Individuals$111M39%
- Pension and profit-sharing plans$11.5M4.0%
- Individual clients
- 255reported
- HNW clients
- 71reported
- Pension plan clients
- 5reported
- Charitable clients
- 0reported
- Accounts
- 1,228reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 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 |
|---|---|---|---|---|
| T••••• E••••• W•••••••Certified Financial Planner | Hinsdale, Il | Nov 13, 2018 | 27 y | 2 |
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
- M•••••• J••••• M••••• to H•••••••• A•••••••• L••Oct 7, 2020 · RIA to affiliated broker-dealer or bank
Joined, latest
- M•••••• J••••• M••••• from P•••••• V••••• L••Jan 11, 2019 · RIA to RIA
- T••••• E••••• W••••••• from P•••••• V••••• L••Nov 13, 2018 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••••• T•••••• E••••• · Managing Member & Chief Compliance Officercontrolsince 09/2018 · 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
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 11, 2026financial planning (Item 5.G.1): yes on the filing of 2025-02-27, no on the filing of 2026-03-11peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,116 to 1,228Feb 27, 2025 to Mar 11, 2026
- Advisory activities · 2 to 1Feb 27, 2025 to Mar 11, 2026
- HNW clients · 88 to 71Feb 27, 2025 to Mar 11, 2026
- Individual clients · 236 to 255Feb 27, 2025 to Mar 11, 2026
- Pension plan clients · 4 to 5Feb 27, 2025 to Mar 11, 2026
- Financial planning clients · 0 to Feb 27, 2025 to Mar 11, 2026
- Discretionary RAUM · $250M to $284MFeb 27, 2025 to Mar 11, 2026
- HNW RAUM · $157M to $164MFeb 27, 2025 to Mar 11, 2026
- Individual RAUM · $87.9M to $111MFeb 27, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $2.1M to $2.7MFeb 27, 2025 to Mar 11, 2026
- Pension RAUM · $7.8M to $11.5MFeb 27, 2025 to Mar 11, 2026
- RAUM · $252M to $286MFeb 27, 2025 to Mar 11, 2026
- Accounts · 1,095 to 1,116Mar 25, 2024 to Feb 27, 2025
- HNW clients · 59 to 88Mar 25, 2024 to Feb 27, 2025
- Individual clients · 263 to 236Mar 25, 2024 to Feb 27, 2025
- Financial planning clients · 0 to 0Mar 25, 2024 to Feb 27, 2025
- Discretionary RAUM · $219M to $250MMar 25, 2024 to Feb 27, 2025
- HNW RAUM · $130M to $157MMar 25, 2024 to Feb 27, 2025
- Individual RAUM · $84.4M to $87.9MMar 25, 2024 to Feb 27, 2025
- Non-discretionary RAUM · $1.9M to $2.1MMar 25, 2024 to Feb 27, 2025
- Pension RAUM · $6.7M to $7.8MMar 25, 2024 to Feb 27, 2025
- RAUM · $221M to $252MMar 25, 2024 to Feb 27, 2025
- Accounts · 1,059 to 1,095Feb 16, 2023 to Mar 25, 2024
- HNW clients · 57 to 59Feb 16, 2023 to Mar 25, 2024
- Individual clients · 277 to 263Feb 16, 2023 to Mar 25, 2024
- Pension plan clients · 3 to 4Feb 16, 2023 to Mar 25, 2024
- Discretionary RAUM · $186M to $219MFeb 16, 2023 to Mar 25, 2024
- HNW RAUM · $103M to $130MFeb 16, 2023 to Mar 25, 2024
- Individual RAUM · $78.9M to $84.4MFeb 16, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $1.7M to $1.9MFeb 16, 2023 to Mar 25, 2024
- Pension RAUM · $5.2M to $6.7MFeb 16, 2023 to Mar 25, 2024
- RAUM · $187M to $221MFeb 16, 2023 to Mar 25, 2024
- Individual clients · 274 to 277Feb 14, 2023 to Feb 16, 2023
- Accounts · 1,032 to 1,059Dec 21, 2022 to Feb 14, 2023
- HNW clients · 60 to 57Dec 21, 2022 to Feb 14, 2023
- Individual clients · 276 to 274Dec 21, 2022 to Feb 14, 2023
- Assets in custody · $222M to $0Dec 21, 2022 to Feb 14, 2023
- Discretionary RAUM · $220M to $186MDec 21, 2022 to Feb 14, 2023
- HNW RAUM · $125M to $103MDec 21, 2022 to Feb 14, 2023
- Individual RAUM · $91.5M to $78.9MDec 21, 2022 to Feb 14, 2023
Signals
1 dated events
- R•• P•••••• W•••••• L•• filed its initial SEC registration (Form ADV)Apr 24, 2019 · 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
- Principal office phone
- 630-887-8488reportedpublic record, Form ADV, Mar 11, 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
- $286Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026