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
P••••••• A•••• M••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 12, 2020 · 14 filings
SEC status approved since Apr 22, 2022
RAUM
$206M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
80%
$166M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$68.7M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$206M as of Mar 31, 2026
Mar 29, 2023$103M then
HNW client RAUM$149M as of Mar 31, 2026
Mar 29, 2023$83.9M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 29, 20233 then
Employees (5.A)4 as of Mar 31, 2026
Mar 29, 20234 then
Private funds: no history
RAUM +28% over the last fiscal year+26% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $68.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $717,965derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +77%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $206MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$149M72%
- Pension and profit-sharing plans$40.2M20%
- Individuals$17.2M8.3%
- Individual clients
- 49reported
- HNW clients
- 91reported
- Pension plan clients
- 39reported
- Charitable clients
- n/areported
- Accounts
- 287reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.8 fund_share=0.0 institutional_share=0.2 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 |
|---|---|---|---|---|
| M•••••• T••• J•••••••• | Oakbrook Terrace, Il | Jun 26, 2020 | 33 y | 3 |
| B••••• H••••• | Oakbrook Terrace, Il | Feb 6, 2024 | 11 y | 3 |
| A•••••• R••••••• | Oakbrook Terrace, Il | Sep 3, 2026 | 20 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
- T••••• J• C•••••• to H•••••••• P••••••• P•••••••Jun 11, 2024 · RIA to RIA
- S•••• R••••• W••••••• to D••••••••• W••••• M•••••••••Jun 20, 2022 · RIA to RIA
Joined, latest
- B••••• H••••• from P•••• S••••••••• L••Feb 6, 2024 · Affiliated broker-dealer or bank to independent RIA
- T••••• J• C•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 13, 2022 · Wirehouse to independent RIA
- M•••••• T••• J•••••••• from L•••••• S•• I••••••••• A•••••••• L•••••Jun 26, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- S•••• R••••• W••••••• from C•••••• S••••• • C••• I•••Jun 23, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••••• M••••••• T••• · Founder, President And Chief Compliance Officercontrolsince 03/2020 · owns 75% or more
Related persons
Schedule D 7.A
- W••••• P••••••• N•••••• I• I•••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Oakbrook Terrace, Il · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 258 to 287Mar 31, 2025 to Mar 31, 2026
- HNW clients · 34 to 91Mar 31, 2025 to Mar 31, 2026
- Individual clients · 45 to 49Mar 31, 2025 to Mar 31, 2026
- Pension plan clients · 33 to 39Mar 31, 2025 to Mar 31, 2026
- Employees · 6 to 4Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $161M to $206MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $121M to $149MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $15.4M to $17.2MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $23.7M to $40.2MMar 31, 2025 to Mar 31, 2026
- RAUM · $161M to $206MMar 31, 2025 to Mar 31, 2026
- Wrap assets (sponsor) · $5.9M to $0Mar 31, 2025 to Mar 31, 2026
- Accounts · 213 to 258Sep 26, 2024 to Mar 31, 2025
- Advisory employees · 3 to 2Sep 26, 2024 to Mar 31, 2025
- HNW clients · 28 to 34Sep 26, 2024 to Mar 31, 2025
- Individual clients · 54 to 45Sep 26, 2024 to Mar 31, 2025
- Pension plan clients · 17 to 33Sep 26, 2024 to Mar 31, 2025
- Employees · 5 to 6Sep 26, 2024 to Mar 31, 2025
- Financial planning clients · 26-50 to 11-25Sep 26, 2024 to Mar 31, 2025
- State-registered IARs · 3 to 2Sep 26, 2024 to Mar 31, 2025
- Discretionary RAUM · $127M to $161MSep 26, 2024 to Mar 31, 2025
- HNW RAUM · $101M to $121MSep 26, 2024 to Mar 31, 2025
- Individual RAUM · $19.4M to $15.4MSep 26, 2024 to Mar 31, 2025
- Pension RAUM · $5.1M to $23.7MSep 26, 2024 to Mar 31, 2025
- RAUM · $127M to $161MSep 26, 2024 to Mar 31, 2025
- Wrap assets (sponsor) · $0 to $5.9MSep 26, 2024 to Mar 31, 2025
- Accounts · 249 to 213Aug 22, 2023 to Mar 15, 2024
- Advisory activities · 3 to 4Aug 22, 2023 to Mar 15, 2024
- BD registered reps · 3 to 0Aug 22, 2023 to Mar 15, 2024
- HNW clients · 62 to 28Aug 22, 2023 to Mar 15, 2024
- Individual clients · 28 to 54Aug 22, 2023 to Mar 15, 2024
- Pension plan clients · 13 to 17Aug 22, 2023 to Mar 15, 2024
- Employees · 4 to 5Aug 22, 2023 to Mar 15, 2024
- Discretionary RAUM · $103M to $127MAug 22, 2023 to Mar 15, 2024
- HNW RAUM · $83.9M to $101MAug 22, 2023 to Mar 15, 2024
- Individual RAUM · $12.0M to $19.4MAug 22, 2023 to Mar 15, 2024
- Pension RAUM · $5.9M to $5.1MAug 22, 2023 to Mar 15, 2024
- RAUM · $103M to $127MAug 22, 2023 to Mar 15, 2024
- Accounts · 264 to 249Dec 13, 2022 to Mar 29, 2023
- Advisory employees · 4 to 3Dec 13, 2022 to Mar 29, 2023
- BD registered reps · 0 to 3Dec 13, 2022 to Mar 29, 2023
Signals
3 dated events
- T••••• J• C•••••• left P••••••• A•••• M••••••••• I••• for H•••••••• P••••••• P••••••• (registered 2024-06-03)Jun 11, 2024 · Advisor changed firm · fact
- S•••• R••••• W••••••• left P••••••• A•••• M••••••••• I••• for D••••••••• W••••• M••••••••• (registered 2025-02-10)Jun 20, 2022 · Advisor changed firm · fact
- P••••••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)Mar 12, 2020 · 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@wpn360.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 708-481-4000reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 708-481-4599reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/wealth-planning-networkreportedpublic record, Form ADV, Sep 18, 2026
- Website
- WPN360.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (708) 481-4000reportedpublic record, Form ADV, Mar 31, 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
- $68.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026