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
C••••••••• F••••••••
Legal name C••••••••• F••••••••• I•••
Latest filing Mar 25, 2026
First filing on the tape Dec 16, 2025 · 2 filings
SEC status approved since Dec 8, 2025
RAUM
$120M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$118M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$39.9M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$120M as of Mar 25, 2026
Dec 16, 2025$108M then
HNW client RAUM$58.5M as of Mar 25, 2026
Dec 16, 2025$52.9M then
State-registered IARs (5.B.3)3 as of Mar 25, 2026
Dec 16, 20253 then
Employees (5.A)3 as of Mar 25, 2026
Dec 16, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 25, 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
- $39.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $150,482derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- 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
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$59.2M49%
- High-net-worth individuals$58.5M49%
- Corporations and businesses$1.2M1.0%
- Charitable organizations$730,0000.6%
- Individual clients
- 216reported
- HNW clients
- 46reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 795reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| L••••••• E••••• G•••Certified Financial Planner | Burr Ridge, Il | Oct 15, 2020 | 14 y | 4 |
| P•••••••• B•••• C•••••••• | Burr Ridge, Il | Jan 12, 2024 | 26 y | 8 |
| J••• R••• C••••••• | Homer Glen, Il | Feb 3, 2025 | 11 y | 2 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J••• R••• C••••••• from H•••••• W••••• M•••••••••Feb 3, 2025 · RIA to RIA
- P•••••••• B•••• C•••••••• from A••••••• C•••••• M••••••••• I•••Jan 12, 2024 · Other
- L••••••• E••••• G••• from S••••••••• W••••• P••••••• L••Oct 15, 2020 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Burr Ridge, Il · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 748 to 795Dec 16, 2025 to Mar 25, 2026
- HNW clients · 43 to 46Dec 16, 2025 to Mar 25, 2026
- Individual clients · 204 to 216Dec 16, 2025 to Mar 25, 2026
- Discretionary RAUM · $108M to $119MDec 16, 2025 to Mar 25, 2026
- HNW RAUM · $52.9M to $58.5MDec 16, 2025 to Mar 25, 2026
- Individual RAUM · $53.6M to $59.2MDec 16, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $312,000 to $303,000Dec 16, 2025 to Mar 25, 2026
- RAUM · $108M to $120MDec 16, 2025 to Mar 25, 2026
Signals
No event on the tape.
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 phone
- 312-262-6740reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 630-581-8998reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/copperwood-financial/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- copperwoodfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 630-581-8998reportedpublic record, Form ADV, Mar 25, 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
- $39.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026