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
M•••••• F•••••••• N••••••• L••
Latest filing Feb 14, 2026
First filing on the tape Sep 26, 2024 · 6 filings
SEC status approved since Oct 25, 2024
RAUM
$142M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$142M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$71.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$142M as of Feb 14, 2026
Feb 14, 2025$108M then
HNW client RAUM$98.2M as of Feb 14, 2026
Feb 14, 2025$70.4M then
State-registered IARs (5.B.3)2 as of Feb 14, 2026
Feb 14, 20253 then
Employees (5.A)2 as of Feb 14, 2026
Feb 14, 20253 then
Private funds: no history
RAUM +31% over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of Feb 14, 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
- 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
- $71.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 109derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $264,292derivedRAUM 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
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$98.2M69%
- Individuals$43.6M31%
- Pension and profit-sharing plans$44,4680.0%
- Individual clients
- 138reported
- HNW clients
- 80reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 537reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• J••••• K•••••• | Tinley Park, Il | Aug 7, 2019 | 20 y | 4 |
| R••• E••••• B••••• | Tinley Park, Il | Aug 7, 2019 | 14 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- J•••• R••••••• R••••• to G••••••• A•••••••• L••Oct 1, 2025 · RIA to RIA
Joined, latest
- R•••••• J••••• K•••••• from E•••••••• C•••••• M••••••••• I••Aug 7, 2019 · Other
- R••• E••••• B••••• from E•••••••• C•••••• M••••••••• I••Aug 7, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• R•••• E••••• · Partner/Assistant Portfolio Manager/Operations Managercontrolsince 03/2019 · owns 50% to 75%
- K••••••• R••••••• J••••• · Partner/Chief Compliance Officer/Portfolio Manager/Managing Membercontrolsince 03/2019 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Tinley Park, Il · principal | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Davenport, IA1 employees
- West Des Moines, IA1 employees
What changed
consecutive filings, newest first
- Accounts · 490 to 537Oct 11, 2025 to Feb 14, 2026
- HNW clients · 66 to 80Oct 11, 2025 to Feb 14, 2026
- Individual clients · 135 to 138Oct 11, 2025 to Feb 14, 2026
- Employees · 3 to 2Oct 11, 2025 to Feb 14, 2026
- Financial planning clients · 251-500 to 101-250Oct 11, 2025 to Feb 14, 2026
- Discretionary RAUM · $108M to $142MOct 11, 2025 to Feb 14, 2026
- HNW RAUM · $70.4M to $98.2MOct 11, 2025 to Feb 14, 2026
- Individual RAUM · $37.4M to $43.6MOct 11, 2025 to Feb 14, 2026
- Non-discretionary RAUM · $576,590 to $44,468Oct 11, 2025 to Feb 14, 2026
- Pension RAUM · $576,590 to $44,468Oct 11, 2025 to Feb 14, 2026
- RAUM · $108M to $142MOct 11, 2025 to Feb 14, 2026
- Advisory employees · 3 to 2Feb 14, 2025 to Oct 11, 2025
- State-registered IARs · 3 to 2Feb 14, 2025 to Oct 11, 2025
- Accounts · 488 to 490Nov 14, 2024 to Feb 14, 2025
- HNW clients · 68 to 66Nov 14, 2024 to Feb 14, 2025
- Individual clients · 134 to 135Nov 14, 2024 to Feb 14, 2025
- Financial planning clients · 251-500 to 251-500Nov 14, 2024 to Feb 14, 2025
- Discretionary RAUM · $105M to $108MNov 14, 2024 to Feb 14, 2025
- HNW RAUM · $68.1M to $70.4MNov 14, 2024 to Feb 14, 2025
- Individual RAUM · $37.1M to $37.4MNov 14, 2024 to Feb 14, 2025
- Non-discretionary RAUM · $630,990 to $576,590Nov 14, 2024 to Feb 14, 2025
- Pension RAUM · $630,990 to $576,590Nov 14, 2024 to Feb 14, 2025
- RAUM · $106M to $108MNov 14, 2024 to Feb 14, 2025
Signals
2 dated events
- J•••• R••••••• R••••• left M•••••• F•••••••• N••••••• L•• for G••••••• A•••••••• L•• (registered 2025-11-17)Oct 1, 2025 · Advisor changed firm · fact
- M•••••• F•••••••• N••••••• L•• filed its initial SEC registration (Form ADV)Sep 26, 2024 · 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 email
- info@midwfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 515-650-3888reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 563-559-7079reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 708-670-3083reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- midwfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 708-670-3083reportedpublic record, Form ADV, Feb 14, 2026
- Contact form
- midwfinancial.com/contact-usreportedpublished 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
- $71.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026