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
Serenity Investment Advisors
Wealth manager with institutional or fund businessChicago, IllinoisCRD 307924SEC 801-123727websiteIAPD
Legal name Serenity Investment Advisors LLC
Latest filing May 22, 2026
First filing on the tape Mar 16, 2022 · 15 filings
SEC status approved since Apr 21, 2022
RAUM
$514M
reported, Item 5.F
Discretionary
50%
of RAUM
Private clients
50%
$255M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$85.6M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$514M as of May 22, 2026
Mar 28, 2023$235M then
HNW client RAUM$145M as of May 22, 2026
Mar 28, 2023$42.4M then
State-registered IARs (5.B.3)5 as of May 22, 2026
Mar 28, 20233 then
Employees (5.A)7 as of May 22, 2026
Mar 28, 20233 then
Private funds: no history
RAUM +37% over the last fiscal year+30% a year over threeIARs 4 to 5offices 2 to 3
Practice profile
derived from the filing of May 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $85.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $463,139derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 50%derivedof RAUM
- Institutional
- 50%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +37%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$258M50%
- High-net-worth individuals$145M28%
- Individuals$110M21%
- Corporations and businesses$240,1120.0%
- Individual clients
- 364reported
- HNW clients
- 66reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 1,109reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.5 fund_share=0.0 institutional_share=0.5 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 |
|---|---|---|---|---|
| Richard David Little | Chicago, Il | May 22, 2020 | 15 y | 2 |
| Jason Robert Paplaski | Chicago, Il | Dec 14, 2020 | 15 y | 2 |
| Sean Kyle O'Connor | Salem, Wi | Nov 1, 2024 | 10 y | 2 |
| Trevor Lawrence McghieCertified Financial Planner | Chicago, Il | Sep 10, 2025 | 12 y | 1 |
| Ryan A KaysenCertified Financial Planner | Chicago, Il | Apr 16, 2026 | 14 y | 4 |
| Kelly Elizabeth Zownorega | Chicago, Il | May 20, 2026 | 10 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Brandon Hatcher to J. W. Cole Advisors, Inc.Sep 8, 2025 · RIA to affiliated broker-dealer or bank
- Lang Phu Nguyen to Organize, Protect & Grow Your Wealth, LLCSep 14, 2023 · RIA to a state-registered adviser
Joined, latest
- Ryan A Kaysen from Integritas FinancialApr 16, 2026 · Other
- Trevor Lawrence Mcghie from Verity Asset ManagementSep 10, 2025 · RIA to RIA
- Sean Kyle O'Connor from O'Connor Wealth Planning LLCNov 1, 2024 · Other
- Brandon Hatcher from Edward JonesDec 20, 2023 · Affiliated broker-dealer or bank to independent RIA
- Lang Phu Nguyen from Red Oak Capital Management, Inc.Jun 16, 2022 · RIA to RIA
- Jason Robert Paplaski from LPL Financial LLCDec 14, 2020 · Affiliated broker-dealer or bank to independent RIA
- Richard David Little from Kingsview Wealth Management, LLCMay 22, 2020 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Richard David Little · President And Ccocontrolsince 04/2020 · owns 75% or more
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 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Charolotte, NC1 employees
- Salem, WI1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Feb 27, 2026accounts (Item 5.F.2.f) moved from 396.0 to 1,109.0 (+180.0%) between the annual amendments of 2025-03-12 and 2026-02-27; the peer median change was +6.0% (1256 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 98% percentile
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Feb 27, 2026 to May 22, 2026
- State-registered IARs · 4 to 5Feb 27, 2026 to May 22, 2026
- Accounts · 396 to 1,109Dec 16, 2025 to Feb 27, 2026
- Advisory employees · 5 to 4Dec 16, 2025 to Feb 27, 2026
- Corporate clients · unset to 3.0Dec 16, 2025 to Feb 27, 2026
- HNW clients · 56 to 66Dec 16, 2025 to Feb 27, 2026
- Individual clients · 338 to 364Dec 16, 2025 to Feb 27, 2026
- Pension plan clients · 2 to 1Dec 16, 2025 to Feb 27, 2026
- Employees · 6 to 7Dec 16, 2025 to Feb 27, 2026
- State-registered IARs · 5 to 4Dec 16, 2025 to Feb 27, 2026
- Discretionary RAUM · $174M to $255MDec 16, 2025 to Feb 27, 2026
- HNW RAUM · $104M to $145MDec 16, 2025 to Feb 27, 2026
- Individual RAUM · $69.6M to $110MDec 16, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $202M to $258MDec 16, 2025 to Feb 27, 2026
- Pension RAUM · $202M to $258MDec 16, 2025 to Feb 27, 2026
- RAUM · $376M to $514MDec 16, 2025 to Feb 27, 2026
- Related adviser · true to falseNov 7, 2025 to Dec 16, 2025
- Related insurance company · false to trueNov 7, 2025 to Dec 16, 2025
- Advisory employees · 4 to 5Mar 12, 2025 to Jun 16, 2025
- Employees · 5 to 6Mar 12, 2025 to Jun 16, 2025
- Financial planning clients · 251-500 to 251-500Mar 12, 2025 to Jun 16, 2025
- State-registered IARs · 4 to 5Mar 12, 2025 to Jun 16, 2025
- Other offices · 2 to 3Mar 12, 2025 to Jun 16, 2025
- Related adviser · false to trueMar 12, 2025 to Jun 16, 2025
- Accounts · 270 to 396Nov 1, 2024 to Mar 12, 2025
- HNW clients · 44 to 56Nov 1, 2024 to Mar 12, 2025
- Individual clients · 224 to 338Nov 1, 2024 to Mar 12, 2025
- Other offices · 3 to 2Nov 1, 2024 to Mar 12, 2025
- Discretionary RAUM · $120M to $174MNov 1, 2024 to Mar 12, 2025
- HNW RAUM · $76.6M to $104MNov 1, 2024 to Mar 12, 2025
- Individual RAUM · $43.1M to $69.6MNov 1, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $177M to $202MNov 1, 2024 to Mar 12, 2025
- Pension RAUM · $177M to $202MNov 1, 2024 to Mar 12, 2025
- RAUM · $297M to $376MNov 1, 2024 to Mar 12, 2025
- Advisory employees · 3 to 4Aug 30, 2024 to Nov 1, 2024
- Employees · 4 to 5Aug 30, 2024 to Nov 1, 2024
- State-registered IARs · 3 to 4Aug 30, 2024 to Nov 1, 2024
- Other offices · 2 to 3Aug 30, 2024 to Nov 1, 2024
- Advisory activities · 4 to 5Jan 12, 2024 to Aug 30, 2024
- Accounts · 300 to 270Dec 15, 2023 to Jan 12, 2024
Signals
4 dated events
- Serenity Investment Advisors reported RAUM $513.6M, up 37% from $376.0M (2025-12-16 to 2026-02-27)Feb 27, 2026 · RAUM change · derived
- Brandon Hatcher left Serenity Investment Advisors for J. W. Cole Advisors, Inc. (registered 2025-08-18)Sep 8, 2025 · Advisor changed firm · fact
- Lang Phu Nguyen left Serenity Investment Advisors for Organize, Protect & Grow Your Wealth, Llc (registered 2023-08-21)Sep 14, 2023 · Advisor changed firm · fact
- Serenity Investment Advisors filed its initial SEC registration (Form ADV)Mar 16, 2022 · 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@serenitywm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 312-734-1360reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 312-734-1415reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 319-302-1009reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- serenitywm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-734-1415reportedpublic record, Form ADV, May 22, 2026
- Contact form
- serenitywm.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- serenitywm.com/team/richard-littlereportedpublished 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $85.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026