DFX Intelligence

RIA Intelligence

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SEC-registered adviser

W••••• L••• P••••••• • W••••• M••••••••• L••

Independent wealth managerHighland Park, IllinoisCRD 299595SEC 801-114386website IAPD

Latest filing Mar 6, 2026

First filing on the tape Nov 6, 2018 · 31 filings

SEC status approved since Dec 6, 2018

RAUM

$732M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$729M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$146M

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

31 filings and snapshots on the tape

RAUM$732M as of Mar 6, 2026

Apr 1, 2019$322M then

HNW client RAUM$332M as of Mar 6, 2026

Apr 1, 2019$259M then

State-registered IARs (5.B.3)5 as of Mar 6, 2026

Apr 1, 20194 then

Employees (5.A)8 as of Mar 6, 2026

Apr 1, 20195 then

Private funds: no history

RAUM +9.4% over the last fiscal year+15% a year over threeIARs 5 to 5

Practice profile

derived from the filing of Mar 6, 2026; every figure names its basis

Archetypes, each a printed rule

Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $146MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 73derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $7.7MderivedHNW RAUM over HNW clients
Average account: $338,811derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.6derivedItem 5.A over advisors
Advisors per office: 5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +9.4%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +1.1%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program: $732MreportedItem 5.I
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

is an insurance broker or agent (6.A.6)
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

Individuals$398M54%
High-net-worth individuals$332M45%
Pension and profit-sharing plans$2.9M0.4%

Individual clients: 321reported
HNW clients: 43reported
Pension plan clients: 4reported
Charitable clients: 0reported
Accounts: 2,161reported
Financial planning clients: 251-500reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUMreported
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

5 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
H••••• R••••• K••••••	Highland Park, Il	Dec 7, 2018	44 y	3
Z•••••• H••••• W••••••Certified Financial Planner	Highland Park, Il	Jan 19, 2019	20 y	2
L•••• B••••• K••••••Certified Financial Planner	Highland Park, Il	Jan 19, 2019	11 y	1
N••• A••• C•••••Certified Financial Planner	Highland Park, Il	Jan 19, 2019	27 y	4
B•••• S• S•••••	Highland Park, Il	Jan 21, 2026	11 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

L•••• B••••• K•••••• from R•• C•••••• M••••••• L••
Jan 19, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
N••• A••• C••••• from R•• C•••••• M••••••• L••
Jan 19, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
Z•••••• H••••• W•••••• from R•• C•••••• M••••••• L••
Jan 19, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
H••••• R••••• K•••••• from R•• C•••••• M••••••• L••
Dec 7, 2018 · Affiliated broker-dealer or bank to a newly registered adviser

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

3 joined from R•• C•••••• M••••••• L••
Dec 19, 2018 · Chicago, Il

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C•••••• N•••• A••• · Managing Director / Co-Foundercontrol
since 01/2019 · owns 25% to 50%
K••••••• H•••••• R••••• · Managing Director / Co-Foundercontrol
since 12/2018 · owns 50% to 75%
S••••••••• G•••• J••••• · Chief Compliance Officer
since 01/2023 · owns less than 5%
W••••••• Z••••••• H••••• · Chief Investment Officer And Principal
since 12/2018 · owns 5% to 10%

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
Highland Park, Il · principal	5	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 2,092 to 2,161
Nov 11, 2025 to Mar 6, 2026
HNW clients · 45 to 43
Nov 11, 2025 to Mar 6, 2026
Individual clients · 315 to 321
Nov 11, 2025 to Mar 6, 2026
Assets in custody · $230M to $25.9M
Nov 11, 2025 to Mar 6, 2026
Discretionary RAUM · $669M to $732M
Nov 11, 2025 to Mar 6, 2026
HNW RAUM · $350M to $332M
Nov 11, 2025 to Mar 6, 2026
Individual RAUM · $317M to $398M
Nov 11, 2025 to Mar 6, 2026
Pension RAUM · $2.6M to $2.9M
Nov 11, 2025 to Mar 6, 2026
RAUM · $669M to $732M
Nov 11, 2025 to Mar 6, 2026
Accounts · 1,882 to 2,092
Nov 25, 2024 to Mar 20, 2025
HNW clients · 44 to 45
Nov 25, 2024 to Mar 20, 2025
Individual clients · 296 to 315
Nov 25, 2024 to Mar 20, 2025
Pension plan clients · 3 to 4
Nov 25, 2024 to Mar 20, 2025
Employees · 7 to 8
Nov 25, 2024 to Mar 20, 2025
Financial planning clients · 101-250 to 251-500
Nov 25, 2024 to Mar 20, 2025
Discretionary RAUM · $557M to $669M
Nov 25, 2024 to Mar 20, 2025
HNW RAUM · $278M to $350M
Nov 25, 2024 to Mar 20, 2025
Individual RAUM · $278M to $317M
Nov 25, 2024 to Mar 20, 2025
Pension RAUM · $1.2M to $2.6M
Nov 25, 2024 to Mar 20, 2025
RAUM · $557M to $669M
Nov 25, 2024 to Mar 20, 2025
Accounts · 1,646 to 1,882
Jan 5, 2024 to Mar 18, 2024
HNW clients · 37 to 44
Jan 5, 2024 to Mar 18, 2024
Individual clients · 273 to 296
Jan 5, 2024 to Mar 18, 2024
Pension plan clients · 2 to 3
Jan 5, 2024 to Mar 18, 2024
Assets in custody · $230M to $230M
Jan 5, 2024 to Mar 18, 2024
Employees · 6 to 7
Jan 5, 2024 to Mar 18, 2024
Discretionary RAUM · $477M to $557M
Jan 5, 2024 to Mar 18, 2024
HNW RAUM · $214M to $278M
Jan 5, 2024 to Mar 18, 2024
Individual RAUM · $257M to $278M
Jan 5, 2024 to Mar 18, 2024
Pension RAUM · $6.0M to $1.2M
Jan 5, 2024 to Mar 18, 2024
RAUM · $477M to $557M
Jan 5, 2024 to Mar 18, 2024
Accounts · 1,535 to 1,646
Feb 21, 2023 to Mar 31, 2023
HNW clients · 38 to 37
Feb 21, 2023 to Mar 31, 2023
Individual clients · 262 to 273
Feb 21, 2023 to Mar 31, 2023
Pension plan clients · 8 to 2
Feb 21, 2023 to Mar 31, 2023
Assets in custody · $0 to $230M
Feb 21, 2023 to Mar 31, 2023
Discretionary RAUM · $465M to $477M
Feb 21, 2023 to Mar 31, 2023
HNW RAUM · $249M to $214M
Feb 21, 2023 to Mar 31, 2023
Individual RAUM · $281M to $257M
Feb 21, 2023 to Mar 31, 2023
Non-discretionary RAUM · $69.2M to $0
Feb 21, 2023 to Mar 31, 2023

Signals

4 dated events

Leigh Stacy Sizemore (Chief Compliance Officer) no longer on Schedule A of W••••• L••• P••••••• • W••••• M••••••••• L•• (listed 2020-06-15, absent 2020-09-02)
Sep 2, 2020 · Control person left · inference
Daniel Joseph Mcdermott (Chief Compliance Officer) appeared on Schedule A of W••••• L••• P••••••• • W••••• M••••••••• L••
Sep 2, 2020 · Control person joined · fact
Adam Noel Cooper (Chief Operating Office) appeared on Schedule A of W••••• L••• P••••••• • W••••• M••••••••• L••
Apr 1, 2019 · Control person joined · fact
W••••• L••• P••••••• • W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Nov 6, 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 phone: 847-616-2590reportedpublished by the firm, firm site, Sep 15, 2026
Website: w••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: (847) 616-2590reportedpublic record, Form ADV, Mar 6, 2026
Team page: w••••.comreportedpublished by the firm, firm site, Sep 15, 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: $146Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026