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.

Former SEC-registered adviser

Ica Group Wealth Management, LLC

Former SEC-registered adviserDenver, ColoradoCRD 311419SEC 801-120855IAPD
Latest filing Apr 23, 2024
First filing on the tape Mar 19, 2021 · 17 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
45
45 advisory (5.B.1)
Offices
22
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$1.2B as of Mar 22, 2024
Mar 30, 2022$653M then
HNW client RAUM$576M as of Mar 22, 2024
Mar 30, 2022$390M then
State-registered IARs (5.B.3)43 as of Mar 22, 2024
Mar 30, 202229 then
Employees (5.A)45 as of Mar 22, 2024
Mar 30, 202231 then
Private funds: no history
RAUM +13% over the last fiscal yearIARs 46 to 43offices 21 to 22
Practice profile
derived from the filing of Apr 23, 2024; every figure names its basis
RAUM per advisor
$27.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
99derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$633,800derivedHNW RAUM over HNW clients
Average account
$184,075derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.9derived23 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
-6.5%derivedItem 5.B.3 between annual amendments
Client growth, one year
+11%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$566M, 3,050 clientsreportedItem 9.A
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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$576M50%
  • Individuals$530M46%
  • Charitable organizations$30.8M2.7%
  • Corporations and businesses$15.2M1.3%
  • Pension and profit-sharing plans$8.7M0.8%
Individual clients
3,341reported
HNW clients
909reported
Pension plan clients
15reported
Charitable clients
24reported
Accounts
6,308reported
Financial planning clients
11-25reported
Wrap fee programs
$0 sponsored, $288M managedreported
Custody of client assets
$566M for 3,050 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Lynn Kelly Bauman · Co- Chief Compliance Officercontrol
    since 10/2020 · owns less than 5%
  • J Paul Gunderson · Vp, Compliancecontrol
    since 01/2023 · owns less than 5%
  • Chadwick Thomas Renner · President And Chief Executive Officercontrol
    since 10/2020 · owns less than 5%
  • J. Adam Bay · Management Committee Membercontrol
    since 10/2020 · owns F of Ica Group Holding Company, LLC
  • Richard John Berry · Management Committee Membercontrol
    since 10/2020 · owns F of Ica Group Holding Company, LLC
  • Edward Bradley Connors · Management Committee Membercontrol
    since 10/2020 · owns F of Ica Group Holding Company, LLC
  • Paul John Hansen · Management Committee Membercontrol
    since 10/2020 · owns F of Ica Group Holding Company, LLC
  • M Travis Huck · Management Committee Membercontrol
    since 10/2020 · owns F of Ica Group Holding Company, LLC
  • Eric John Newell · Management Committee Membercontrol
    since 01/2022 · owns F of Ica Group Holding Company, LLC
  • Allen Randy Schmidt · Management Committee Membercontrol
    since 10/2020 · owns F of Ica Group Holding Company, LLC
  • Thomas Michael Bindas · Management Committee Member
    since 01/2023 · owns F of Ica Group Holding Company, LLC
Entity owners
  • Ica Group Holding Company, LLC · Sole Member And Manager
    direct · 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
OfficeAdvisorsJoinedLeftTeams outForming
Appleton, Wi000
Bismarck, Nd000
Denver, Co · principal000
Fargo, Nd000
Mineral Wells, Tx000
Moose Lake, Mn000
Viroqua, Wi000
Yoakum, Tx000
Bradenton, Fl000
Offices
Schedule D 1.F, the 25 largest
  • Fargo, ND9 employees
  • Waseca, MN3 employees
  • Yoakum, TX2 employees
  • Fort Collins, CO2 employees
  • Grand Forks, ND2 employees
  • Mineral Wells, TX2 employees
  • Sparta, MI2 employees
  • Viroqua, WI2 employees
  • Grand Forks, ND1 employees
  • Virden, IL1 employees
  • Grand Island, NE1 employees
  • Bismarck, ND1 employees
  • Moose Lake, MN1 employees
  • Omaha, NE1 employees
  • Richland Center, WI1 employees
  • Sheridan, WY1 employees
  • Buffalo, WY1 employees
  • Cheyenne, WY1 employees
  • Durango, CO1 employees
  • Charleston, IL1 employees
  • Tracy, CA1 employees
  • Fort Morgan, CO1 employees
What changed
consecutive filings, newest first
  • Assets in custody · $634M to $566M
    Mar 22, 2024 to Apr 23, 2024
  • Financial planning clients · 1-10 to 11-25
    Mar 22, 2024 to Apr 23, 2024
  • Accounts · 5,612 to 6,308
    Oct 31, 2023 to Mar 22, 2024
  • Advisory employees · 48 to 45
    Oct 31, 2023 to Mar 22, 2024
  • BD registered reps · 46 to 43
    Oct 31, 2023 to Mar 22, 2024
  • Charity clients · 27 to 24
    Oct 31, 2023 to Mar 22, 2024
  • Corporate clients · 18 to 25
    Oct 31, 2023 to Mar 22, 2024
  • HNW clients · 1,002 to 909
    Oct 31, 2023 to Mar 22, 2024
  • Individual clients · 2,822 to 3,341
    Oct 31, 2023 to Mar 22, 2024
  • Pension plan clients · 14 to 15
    Oct 31, 2023 to Mar 22, 2024
  • Employees · 48 to 45
    Oct 31, 2023 to Mar 22, 2024
  • State-registered IARs · 46 to 43
    Oct 31, 2023 to Mar 22, 2024
  • Discretionary RAUM · $1.0B to $1.2B
    Oct 31, 2023 to Mar 22, 2024
  • HNW RAUM · $578M to $576M
    Oct 31, 2023 to Mar 22, 2024
  • Individual RAUM · $397M to $530M
    Oct 31, 2023 to Mar 22, 2024
  • Pension RAUM · $6.9M to $8.7M
    Oct 31, 2023 to Mar 22, 2024
  • RAUM · $1.0B to $1.2B
    Oct 31, 2023 to Mar 22, 2024
  • Wrap assets (manager) · $214M to $288M
    Oct 31, 2023 to Mar 22, 2024
  • Other offices · 21 to 22
    Mar 15, 2023 to Jun 22, 2023
  • Accounts · 9,363 to 5,612
    Sep 9, 2022 to Mar 15, 2023
  • Advisory employees · 39 to 48
    Sep 9, 2022 to Mar 15, 2023
  • BD registered reps · 37 to 46
    Sep 9, 2022 to Mar 15, 2023
  • Charity clients · 20 to 27
    Sep 9, 2022 to Mar 15, 2023
  • Corporate clients · 15 to 18
    Sep 9, 2022 to Mar 15, 2023
  • HNW clients · 821 to 1,002
    Sep 9, 2022 to Mar 15, 2023
  • Individual clients · 1,764 to 2,822
    Sep 9, 2022 to Mar 15, 2023
  • Assets in custody · unset to 634286527.0
    Sep 9, 2022 to Mar 15, 2023
  • Custody of client assets · false to true
    Sep 9, 2022 to Mar 15, 2023
  • Employees · 39 to 48
    Sep 9, 2022 to Mar 15, 2023
  • State-registered IARs · 38 to 46
    Sep 9, 2022 to Mar 15, 2023
  • Other offices · 20 to 21
    Sep 9, 2022 to Mar 15, 2023
  • Discretionary RAUM · $1.3B to $1.0B
    Sep 9, 2022 to Mar 15, 2023
  • HNW RAUM · $525M to $578M
    Sep 9, 2022 to Mar 15, 2023
  • Individual RAUM · $688M to $397M
    Sep 9, 2022 to Mar 15, 2023
  • Pension RAUM · $7.2M to $6.9M
    Sep 9, 2022 to Mar 15, 2023
  • RAUM · $1.3B to $1.0B
    Sep 9, 2022 to Mar 15, 2023
  • Wrap assets (manager) · $228M to $214M
    Sep 9, 2022 to Mar 15, 2023
  • Accounts · 2,546 to 9,363
    Aug 22, 2022 to Aug 29, 2022
  • Advisory employees · 31 to 39
    Aug 22, 2022 to Aug 29, 2022
  • BD registered reps · 29 to 37
    Aug 22, 2022 to Aug 29, 2022
Signals
59 dated events
  • 2 advisors left LPL Financial LLC (Moulton, TX) for Ica Group Wealth Management, LLC on the same day
    Jun 24, 2026 · Team lift-out · derived
  • Andrew Thomas Maynerich left Ica Group Wealth Management, Llc for Maynerich Financial (registered 2024-10-18)
    Sep 23, 2024 · Advisor changed firm · fact
  • Christopher John Birmingham no longer registered at Ica Group Wealth Management, Llc; no later IA registration on IAPD
    Sep 23, 2024 · Advisor departure · fact
  • Kelly Lynn Bauman left Ica Group Wealth Management, Llc for Lpl Financial Llc (registered 2024-06-24)
    Sep 23, 2024 · Advisor changed firm · fact
  • Patrick Lee Mcintyre no longer registered at Ica Group Wealth Management, Llc; no later IA registration on IAPD
    Sep 23, 2024 · Advisor departure · fact
  • Freeman James left Ica Group Wealth Management, Llc for Cetera Investment Advisers Llc (registered 2026-06-15)
    Sep 23, 2024 · Advisor changed firm · fact
  • Jeremy Shane Willson left Ica Group Wealth Management, Llc for Lpl Financial Llc (registered 2024-06-24)
    Sep 23, 2024 · Advisor changed firm · fact
  • Guy Lamar James left Ica Group Wealth Management, Llc for Cetera Investment Advisers Llc (registered 2026-06-15)
    Sep 23, 2024 · Advisor changed firm · fact
  • John Richard Berry left Ica Group Wealth Management, Llc for Lpl Financial Llc (registered 2024-06-24)
    Sep 23, 2024 · Advisor changed firm · fact
  • Nicholas Edward Huss left Ica Group Wealth Management, Llc for Lpl Financial Llc (registered 2024-06-24)
    Sep 23, 2024 · Advisor changed firm · fact
  • Kevin Michael Bettinger no longer registered at Ica Group Wealth Management, Llc; no later IA registration on IAPD
    Sep 23, 2024 · Advisor departure · fact
  • Ryan Michael Callan no longer registered at Ica Group Wealth Management, Llc; no later IA registration on IAPD
    Sep 23, 2024 · Advisor departure · fact
  • Paul J Gunderson left Ica Group Wealth Management, Llc for Northwestern Mutual Investment Services,Llc (registered 2025-07-07)
    Sep 23, 2024 · Advisor changed firm · fact
  • Christopher James Siverson left Ica Group Wealth Management, Llc for Lpl Financial Llc (registered 2026-01-01)
    Sep 23, 2024 · Advisor changed firm · fact
  • Matthew Bowar no longer registered at Ica Group Wealth Management, Llc; no later IA registration on IAPD
    Sep 23, 2024 · Advisor departure · fact
  • Randy Allen Schmidt left Ica Group Wealth Management, Llc for Lpl Financial Llc (registered 2024-06-25)
    Sep 23, 2024 · Advisor changed firm · fact
  • Jonathan Robert Donnaway left Ica Group Wealth Management, Llc for Lpl Financial Llc (registered 2024-06-25)
    Sep 23, 2024 · Advisor changed firm · fact
  • Colin Robb Peldo no longer registered at Ica Group Wealth Management, Llc; no later IA registration on IAPD
    Sep 23, 2024 · Advisor departure · fact
  • Eric Russell Mindham no longer registered at Ica Group Wealth Management, Llc; no later IA registration on IAPD
    Sep 23, 2024 · Advisor departure · fact
  • Kimberly Lynn O'Brien no longer registered at Ica Group Wealth Management, Llc; no later IA registration on IAPD
    Sep 23, 2024 · Advisor departure · fact
  • Michael Thomas Bindas no longer registered at Ica Group Wealth Management, Llc; no later IA registration on IAPD
    Sep 23, 2024 · Advisor departure · fact
  • Amanda Michelle Holmes left Ica Group Wealth Management, Llc for Lpl Financial Llc (registered 2024-06-25)
    Sep 23, 2024 · Advisor changed firm · fact
  • Kyle Russell Linton no longer registered at Ica Group Wealth Management, Llc; no later IA registration on IAPD
    Sep 23, 2024 · Advisor departure · fact
  • Dream Lyn Obrien no longer registered at Ica Group Wealth Management, Llc; no later IA registration on IAPD
    Sep 23, 2024 · Advisor departure · fact
  • 6 advisors left Ica Group Wealth Management, LLC (Denver, CO) for LPL Financial LLC on the same day
    Sep 23, 2024 · Team lift-out · derived
  • James Robert Tabb left Ica Group Wealth Management, Llc for Lpl Financial Llc (registered 2024-06-03)
    Aug 30, 2024 · Advisor changed firm · fact
  • Jacob Preston left Ica Group Wealth Management, Llc for Lpl Financial Llc (registered 2025-01-01)
    Aug 30, 2024 · Advisor changed firm · fact
  • Laura Beth Watson left Ica Group Wealth Management, Llc for Lpl Financial Llc (registered 2024-06-24)
    Aug 30, 2024 · Advisor changed firm · fact
  • Karla Jill Brown left Ica Group Wealth Management, Llc for Lpl Financial Llc (registered 2024-07-03)
    Aug 30, 2024 · Advisor changed firm · fact
  • Craig E Prudhomme no longer registered at Ica Group Wealth Management, Llc; no later IA registration on IAPD
    Aug 30, 2024 · Advisor departure · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026