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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
I••••••••• W••••• A•••••••• L••
Latest filing Jun 11, 2026
First filing on the tape Apr 4, 2024 · 17 filings
SEC status approved since May 6, 2024
RAUM
$210M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$210M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$42.1M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$210M as of Jun 11, 2026
Jan 2, 2025$128M then
HNW client RAUM$93.1M as of Jun 11, 2026
Jan 2, 2025$51.1M then
State-registered IARs (5.B.3)5 as of Jun 11, 2026
Jan 2, 20256 then
Employees (5.A)5 as of Jun 11, 2026
Jan 2, 20256 then
Private funds: no history
RAUM +29% over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of Jun 11, 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
- RAUM per advisor
- $42.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $188,951derivedRAUM 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
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- Individuals$117M56%
- High-net-worth individuals$93.1M44%
- Individual clients
- 327reported
- HNW clients
- 52reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,113reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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 |
|---|---|---|---|---|
| C••••••••• C•••••• K••••••••• | I•••••••••, Oh | Dec 5, 2019 | 21 y | 5 |
| W•••••• E••••• T•••••••• | I•••••••••, Oh | Mar 23, 2020 | 19 y | 0 |
| J••••• Q••••Certified Financial Planner | I•••••••••, Oh | May 14, 2020 | 21 y | 7 |
| A••••• C•••••• K•••••• | I•••••••••, Oh | Aug 23, 2020 | 10 y | 0 |
| A••• A•••••••Chartered Financial Consultant | I•••••••••, Oh | May 29, 2026 | 11 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount3 left over 36 months
Left, latest
- M••••••• A•••• K•••••••• to B••••••• J•••• L••Apr 28, 2026 · RIA to RIA
- N••••••• P•••• M•••••• to I•••••••• A•••••••• L••Mar 3, 2025 · RIA to affiliated broker-dealer or bank
- R•••••• A••••• to C••••••••• C••••••••• A••••••• S••••••••Sep 19, 2024 · RIA to RIA
- M•••••• H•••••• M••••••• to G••••••• W••••• P•••••••• L••Apr 25, 2023 · RIA to RIA
- P•••••• H••• to G••••• R•••••• R••••••••• L••Jan 6, 2022 · RIA to RIA
- A••••• R••••• M••• to J••••• M••••••••• S•••• L••Dec 21, 2021 · RIA to affiliated broker-dealer or bank
- J••••• F•••• G•••••• to P•••• S••••••••• L••Jul 12, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- M••••••• A•••• K•••••••• from D••••• M•••• A•••••••• L••Nov 5, 2024 · Other
- A••••• R••••• M••• from G••••• R•••••• R••••••••• L••Apr 1, 2021 · RIA to RIA
- J••••• Q•••• from S•••••••• W••••• P•••••••• L•••May 14, 2020 · RIA to RIA
- R•••••• A••••• from S•••••••• W••••• P•••••••• L•••May 5, 2020 · RIA to RIA
- J••••• F•••• G•••••• from A•••••••• C•••••• M•••••••••Jan 26, 2020 · RIA to RIA
- P•••••• H••• from A•••••••• C•••••• M•••••••••Jan 17, 2020 · RIA to RIA
- C••••••••• C•••••• K••••••••• from A•••••••• C•••••• M•••••••••Dec 5, 2019 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S•••••••• W••••• P•••••••• L•••Feb 11, 2022 · I•••••••••, Oh
- 2 joined from A•••••••• C•••••• M•••••••••Apr 9, 2020 · Cornelius, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••• A•••••• C•••••• · Chief Compliance Officer And Operations Specialistcontrolsince 09/2024 · owns less than 5%
- K••••••••• C••••••••• C•••••• · Managing Member & Presidentcontrolsince 12/2017 · owns 75% or more
Related persons
Schedule D 7.A
- U••••• B•••••••• G••••• L•••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| I•••••••••, Oh · principal | 5 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Apr 28, 2026 to Jun 11, 2026
- Employees · 4 to 5Apr 28, 2026 to Jun 11, 2026
- State-registered IARs · 4 to 5Apr 28, 2026 to Jun 11, 2026
- Advisory employees · 5 to 4Mar 10, 2026 to Apr 28, 2026
- Employees · 5 to 4Mar 10, 2026 to Apr 28, 2026
- State-registered IARs · 5 to 4Mar 10, 2026 to Apr 28, 2026
- Accounts · 967 to 1,113Jan 20, 2026 to Mar 10, 2026
- HNW clients · 33 to 52Jan 20, 2026 to Mar 10, 2026
- Individual clients · 318 to 327Jan 20, 2026 to Mar 10, 2026
- Discretionary RAUM · $163M to $210MJan 20, 2026 to Mar 10, 2026
- HNW RAUM · $54.6M to $93.1MJan 20, 2026 to Mar 10, 2026
- Individual RAUM · $108M to $117MJan 20, 2026 to Mar 10, 2026
- RAUM · $163M to $210MJan 20, 2026 to Mar 10, 2026
- Financial planning clients · 251-500 to 251-500Mar 7, 2025 to May 16, 2025
- Accounts · 861 to 967Mar 3, 2025 to Mar 7, 2025
- HNW clients · 39 to 33Mar 3, 2025 to Mar 7, 2025
- Individual clients · 277 to 318Mar 3, 2025 to Mar 7, 2025
- Discretionary RAUM · $128M to $163MMar 3, 2025 to Mar 7, 2025
- HNW RAUM · $51.1M to $54.6MMar 3, 2025 to Mar 7, 2025
- Individual RAUM · $76.8M to $108MMar 3, 2025 to Mar 7, 2025
- RAUM · $128M to $163MMar 3, 2025 to Mar 7, 2025
- Advisory employees · 6 to 5Jan 2, 2025 to Mar 3, 2025
- Employees · 6 to 5Jan 2, 2025 to Mar 3, 2025
- State-registered IARs · 6 to 5Jan 2, 2025 to Mar 3, 2025
- Advisory employees · 5 to 6Nov 8, 2024 to Dec 17, 2024
- Employees · 5 to 6Nov 8, 2024 to Dec 17, 2024
- State-registered IARs · 5 to 6Nov 8, 2024 to Dec 17, 2024
- State-registered IARs · 4 to 5Oct 11, 2024 to Nov 8, 2024
- Advisory employees · 4 to 5Oct 11, 2024 to Nov 8, 2024
- Employees · 4 to 5Oct 11, 2024 to Nov 8, 2024
- Advisory employees · 5 to 4Sep 17, 2024 to Sep 19, 2024
- Employees · 5 to 4Sep 17, 2024 to Sep 19, 2024
- State-registered IARs · 5 to 4Sep 17, 2024 to Sep 19, 2024
- Insurance-licensed employees · 0 to 2May 9, 2024 to May 21, 2024
Signals
9 dated events
- M••••••• A•••• K•••••••• left I••••••••• W••••• A•••••••• L•• for B••••••• J•••• L•• (registered 2026-05-09)Apr 28, 2026 · Advisor changed firm · fact
- N••••••• P•••• M•••••• left I••••••••• W••••• A•••••••• L•• for I•••••••• A•••••••• L•• (registered 2026-04-20)Mar 3, 2025 · Advisor changed firm · fact
- R•••••• A••••• left I••••••••• W••••• A•••••••• L•• for C••••••••• C••••••••• A••••••• S•••••••• (registered 2024-10-14)Sep 19, 2024 · Advisor changed firm · fact
- C•••••• A••••• K•••••• (Chief Compliance Officer And Operations Specialist) appeared on Schedule A of I••••••••• W••••• A•••••••• L••Sep 17, 2024 · Control person joined · fact
- R•••••• A••••• (Chief Compliance Officer/Senior Financial Planner) no longer on Schedule A of I••••••••• W••••• A•••••••• L•• (listed 2024-05-21, absent 2024-09-17)Sep 17, 2024 · Control person left · inference
- I••••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 4, 2024 · First SEC registration · fact
- M•••••• H•••••• M••••••• left I••••••••• W••••• A•••••••• L•• for G••••••• W••••• P•••••••• L•• (registered 2023-09-12)Apr 25, 2023 · Advisor changed firm · fact
- 2 advisors left S•••••••• W••••• P•••••••• L••• (I•••••••••, OH) for I••••••••• W••••• A•••••••• L•• on the same dayFeb 11, 2022 · Team lift-out · derived
- P•••••• H••• left I••••••••• W••••• A•••••••• L•• for G••••• R•••••• R••••••••• L•• (registered 2022-03-03)Jan 6, 2022 · Advisor changed firm · 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
- i•••@i••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-239-8438reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 216-268-3888reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 216-472-8700reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/independencewealth-advisors/?viewAsMembreportedpublic record, Form ADV, Sep 19, 2026
- Website
- i••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 216-268-3888reportedpublic record, Form ADV, Jun 11, 2026
- Contact form
- i••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- i••••••••.comreportedpublished 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
- $42.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026