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
V••••• W•••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 28, 2025 · 3 filings
SEC status approved since Apr 28, 2025
RAUM
$141M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$140M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$23.4M
derived; firm RAUM over IAPD count
Employees
17
6 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$141M as of Mar 30, 2026
Mar 28, 2025$115M then
HNW client RAUM$36.9M as of Mar 30, 2026
Mar 28, 2025$23.9M then
State-registered IARs (5.B.3)6 as of Mar 30, 2026
Mar 28, 20256 then
Employees (5.A)17 as of Mar 30, 2026
Mar 28, 202518 then
Private funds: no history
RAUM +22% over the last fiscal yearIARs 6 to 6offices 7 to 6
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $23.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 139derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $65,125derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 0.9derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +22%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- 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)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$103M74%
- High-net-worth individuals$36.9M26%
- Charitable organizations$351,4280.2%
- Individual clients
- 813reported
- HNW clients
- 20reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 2,160reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• D•••• D•••••Certified Financial Planner | Chicago, Il | Jul 17, 2020 | 13 y | 4 |
| W•••••• S••••••• E••• | Fort Smith, Ar | Oct 22, 2021 | 43 y | 8 |
| K••• M••••••••• R••• | Chicago, Il | Jun 16, 2022 | 12 y | 0 |
| A•••• S•••• P••• | Lisle, Il | Nov 2, 2022 | 11 y | 0 |
| A•••• L•• H••••••• | Chicago, Il | Oct 7, 2024 | 14 y | 2 |
| T••••• C••••• H••••••• | Bay City, Mi | Aug 1, 2025 | 10 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 headcount1 left over 36 months
Left, latest
- J•••••••• C•••••• to P•••• S••••••••• L••Sep 29, 2023 · RIA to affiliated broker-dealer or bank
- B•••••• L• C•••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 8, 2023 · RIA to wirehouse
- S•••• J••••••• S••• to C••••••••• W•••••• L••Jun 2, 2023 · RIA to RIA
- J••••• J••• S••••• to C••••••••• W•••••• L••May 1, 2023 · RIA to RIA
- C•••••• T•••••• A••••• to E•• F•••••••• A•••••••Mar 6, 2023 · RIA to affiliated broker-dealer or bank
- I•• R••••• W••••• to C•••••• A••••••• S•••••••• L••Nov 11, 2022 · RIA to RIA
- S•••• A• R••••• to T••••••••• R••••••••• A•••••••• L••Oct 13, 2022 · RIA to affiliated broker-dealer or bank
- M•••••• L• R•• to L•••••• I•••••••••Oct 13, 2022 · RIA to RIA
Joined, latest
- A•••• L•• H••••••• from C••••••• S••••••••• I•••Oct 7, 2024 · Affiliated broker-dealer or bank to independent RIA
- J•••••••• C•••••• from W•••• F•••• A•••••••Jul 19, 2023 · Wirehouse to independent RIA
- I•• R••••• W••••• from C••• C••••• A•••••••• L••Jul 27, 2022 · RIA to RIA
- S•••• A• R••••• from P•••• S••••••••• L••Mar 14, 2022 · Affiliated broker-dealer or bank to independent RIA
- W•••••• S••••••• E••• from A• W••••• M••••••••• L••Apr 8, 2021 · Affiliated broker-dealer or bank to independent RIA
- M•••••• L• R•• from B••••••••• C•••••• M••••••••• L••Feb 26, 2021 · Other
- J••••• J••• S••••• from A• W••••• M••••••••• L••Nov 4, 2020 · Affiliated broker-dealer or bank to independent RIA
- J•••• D•••• D••••• from A• W••••• M••••••••• L••Jul 17, 2020 · Affiliated broker-dealer or bank to independent RIA
- B•••••• L• C•••••••• from A• W••••• M••••••••• L••Jul 17, 2020 · Affiliated broker-dealer or bank to independent RIA
- S•••• J••••••• S••• from A• W••••• M••••••••• L••Jul 17, 2020 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from A• W••••• M••••••••• L••Mar 31, 2021 · Fort Myers, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• G•••• L••• · President And Ownercontrolsince 06/2013 · owns 75% or more
- H•••••••• S••••• W•••••• · Ownercontrolsince 06/2013 · owns 5% to 10%
- P••••••• J•••••• A••• · Ownercontrolsince 06/2013 · owns 5% to 10%
- D•••••• J••••• D•••• · Advisory Supervisorsince 04/2020 · 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 |
|---|---|---|---|---|---|
| Chicago, Il · principal | 6 | 0 | 0 | ||
| Fort Myers, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,850 to 2,160Aug 27, 2025 to Mar 30, 2026
- Charity clients · 1 to 2Aug 27, 2025 to Mar 30, 2026
- HNW clients · 9 to 20Aug 27, 2025 to Mar 30, 2026
- Individual clients · 672 to 813Aug 27, 2025 to Mar 30, 2026
- Employees · 18 to 17Aug 27, 2025 to Mar 30, 2026
- Financial planning clients · 251-500 to More than 500Aug 27, 2025 to Mar 30, 2026
- HQ city · KALAMAZOO to CHICAGOAug 27, 2025 to Mar 30, 2026
- HQ state · MI to ILAug 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $115M to $141MAug 27, 2025 to Mar 30, 2026
- HNW RAUM · $23.9M to $36.9MAug 27, 2025 to Mar 30, 2026
- Individual RAUM · $91.1M to $103MAug 27, 2025 to Mar 30, 2026
- RAUM · $115M to $141MAug 27, 2025 to Mar 30, 2026
- Other offices · 7 to 6Mar 28, 2025 to Aug 27, 2025
Signals
8 dated events
- J•••••••• C•••••• left V••••• W•••••• L•• for P•••• S••••••••• L•• (registered 2023-11-15)Sep 29, 2023 · Advisor changed firm · fact
- B•••••• L• C•••••••• left V••••• W•••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2025-05-09)Aug 8, 2023 · Advisor changed firm · fact
- S•••• J••••••• S••• left V••••• W•••••• L•• for C••••••••• W•••••• L•• (registered 2023-08-28)Jun 2, 2023 · Advisor changed firm · fact
- J••••• J••• S••••• left V••••• W•••••• L•• for C••••••••• W•••••• L•• (registered 2025-01-17)May 1, 2023 · Advisor changed firm · fact
- C•••••• T•••••• A••••• left V••••• W•••••• L•• for E•• F•••••••• A••••••• (registered 2023-03-14)Mar 6, 2023 · Advisor changed firm · fact
- I•• R••••• W••••• left V••••• W•••••• L•• for C•••••• A••••••• S•••••••• L•• (registered 2023-09-06)Nov 11, 2022 · Advisor changed firm · fact
- M•••••• L• R•• left V••••• W•••••• L•• for L•••••• I••••••••• (registered 2022-11-29)Oct 13, 2022 · Advisor changed firm · fact
- S•••• A• R••••• left V••••• W•••••• L•• for T••••••••• R••••••••• A•••••••• L•• (registered 2023-03-30)Oct 13, 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•••@v•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 774-874-3686reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- V•••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 774-874-3686reportedpublic record, Form ADV, Mar 30, 2026
- Team page
- v•••••••••.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
- $23.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026