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
Pecaut Wealth Management
Legal name Pecaut & Co.
Latest filing Nov 19, 2025
First filing on the tape Nov 23, 2011 · 29 filings
SEC status approved since Jun 23, 1995
RAUM
$382M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
96%
$367M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$127M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$382M as of Nov 19, 2025
Nov 23, 2011$132M then
HNW client RAUM$297M as of Nov 19, 2025
Nov 22, 2017$162M then
State-registered IARs (5.B.3)4 as of Nov 19, 2025
Nov 23, 20110 then
Employees (5.A)6 as of Nov 19, 2025
Nov 26, 20125 then
Private funds: no history
RAUM +25% over the last fiscal year+7.7% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Nov 19, 2025; 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
- 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
- RAUM per advisor
- $127MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $689,085derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publications, otherreportedItem 5.G
- Custody
- $46.9M, 72 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)
- 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$297M78%
- Individuals$70.1M18%
- Charitable organizations$11.1M2.9%
- Corporations and businesses$3.8M1.0%
- Individual clients
- 144reported
- HNW clients
- 75reported
- Pension plan clients
- n/areported
- Charitable clients
- 10reported
- Accounts
- 554reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $46.9M for 72 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Daniel Scott Pecaut | Sioux City, Ia | Jan 1, 1999 | 47 y | 0 |
| John Christian Pecaut | Sioux City, Ia | Oct 11, 2016 | 10 y | 0 |
| Michael William GallagherChartered Financial Analyst | Sioux City, Ia | Apr 6, 2021 | 19 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
- Stewart Churchill Hartman to Fsb Premier Wealth Management, Inc.Nov 21, 2003 · Other
- Jeff Alan Brower to Fsb Premier Wealth Management, Inc.Nov 21, 2003 · Other
Joined, latest
- Michael William Gallagher from Tpg Financial Advisors, LLCApr 6, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- William Michael Gallagher · Vice President & Financial Advisorcontrolsince 04/2021 · owns 50% to 75%
- Scott Daniel Pecaut · Chairman And Chief Investment Officercontrolsince 08/2018 · owns less than 5%
- Christian John Pecaut · Chief Operating Officer, Chief Compliance Officer And Vice Presidentcontrolsince 08/2018 · owns 50% to 75%
- John Corey Wrenn · Chief Executive Officer And Presidentcontrolsince 08/2018 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Sioux City, Ia · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Lake Oswego, OR1 employees
What changed
consecutive filings, newest first
- Accounts · 495 to 554Nov 14, 2024 to Nov 19, 2025
- Charity clients · 9 to 10Nov 14, 2024 to Nov 19, 2025
- Individual clients · 134 to 144Nov 14, 2024 to Nov 19, 2025
- Assets in custody · $26.6M to $46.9MNov 14, 2024 to Nov 19, 2025
- Employees · 4 to 6Nov 14, 2024 to Nov 19, 2025
- Financial planning clients · 101-250 to 101-250Nov 14, 2024 to Nov 19, 2025
- Discretionary RAUM · $336M to $365MNov 14, 2024 to Nov 19, 2025
- HNW RAUM · $279M to $297MNov 14, 2024 to Nov 19, 2025
- Individual RAUM · $57.4M to $70.1MNov 14, 2024 to Nov 19, 2025
- Non-discretionary RAUM · $14.3M to $16.7MNov 14, 2024 to Nov 19, 2025
- RAUM · $351M to $382MNov 14, 2024 to Nov 19, 2025
- Accounts · 478 to 495Nov 17, 2023 to Nov 14, 2024
- Charity clients · 8 to 9Nov 17, 2023 to Nov 14, 2024
- HNW clients · 81 to 75Nov 17, 2023 to Nov 14, 2024
- Individual clients · 119 to 134Nov 17, 2023 to Nov 14, 2024
- Pension plan clients · 1.0 to unsetNov 17, 2023 to Nov 14, 2024
- Assets in custody · $10.5M to $26.6MNov 17, 2023 to Nov 14, 2024
- Discretionary RAUM · $295M to $336MNov 17, 2023 to Nov 14, 2024
- HNW RAUM · $249M to $279MNov 17, 2023 to Nov 14, 2024
- Individual RAUM · $43.4M to $57.4MNov 17, 2023 to Nov 14, 2024
- Non-discretionary RAUM · $11.2M to $14.3MNov 17, 2023 to Nov 14, 2024
- Pension RAUM · 1671261.0 to unsetNov 17, 2023 to Nov 14, 2024
- RAUM · $307M to $351MNov 17, 2023 to Nov 14, 2024
- Accounts · 441 to 478Nov 23, 2022 to Nov 17, 2023
- Charity clients · 4 to 8Nov 23, 2022 to Nov 17, 2023
- Corporate clients · 1 to 2Nov 23, 2022 to Nov 17, 2023
- HNW clients · 71 to 81Nov 23, 2022 to Nov 17, 2023
- Assets in custody · $6.4M to $10.5MNov 23, 2022 to Nov 17, 2023
- Discretionary RAUM · $262M to $295MNov 23, 2022 to Nov 17, 2023
- HNW RAUM · $211M to $249MNov 23, 2022 to Nov 17, 2023
- Individual RAUM · $45.1M to $43.4MNov 23, 2022 to Nov 17, 2023
- Non-discretionary RAUM · $6.5M to $11.2MNov 23, 2022 to Nov 17, 2023
- Pension RAUM · $1.6M to $1.7MNov 23, 2022 to Nov 17, 2023
- RAUM · $269M to $307MNov 23, 2022 to Nov 17, 2023
- Accounts · 387 to 441Mar 1, 2022 to Nov 23, 2022
- Charity clients · 3 to 4Mar 1, 2022 to Nov 23, 2022
- Corporate clients · 2 to 1Mar 1, 2022 to Nov 23, 2022
- HNW clients · 78 to 71Mar 1, 2022 to Nov 23, 2022
- Individual clients · 90 to 119Mar 1, 2022 to Nov 23, 2022
- Pension plan clients · 2 to 1Mar 1, 2022 to Nov 23, 2022
Signals
1 dated events
- William Michael Gallagher (Vice President & Financial Advisor) appeared on Schedule A of Pecaut Wealth ManagementNov 23, 2021 · Control person joined · 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
- 503-334-1023reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 712-252-3268reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/pecautwmreportedpublic record, Form ADV, Sep 18, 2026
- Website
- pecautwm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 712-252-3268reportedpublic record, Form ADV, Nov 19, 2025
- Contact form
- pecautwm.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- pecautwm.com/our-teamreportedpublished 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
- $127Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026