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
R••••• W••••• A•••••••
Legal name R••••• W••••• A•••••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Apr 2, 2021 · 17 filings
SEC status approved since May 4, 2021
RAUM
$409M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$402M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$51.1M
derived; firm RAUM over IAPD count
Employees
22
8 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$409M as of Mar 30, 2026
Mar 14, 2022$153M then
HNW client RAUM$204M as of Mar 30, 2026
Mar 14, 2022$78.0M then
State-registered IARs (5.B.3)8 as of Mar 30, 2026
Mar 14, 20224 then
Employees (5.A)22 as of Mar 30, 2026
Mar 14, 20228 then
Private funds: no history
RAUM +28% over the last fiscal year+36% a year over threeIARs 7 to 8offices 6 to 7
Practice profile
derived from the filing of Mar 30, 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
- RAUM per advisor
- $51.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 201derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $109,904derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 1.0derived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Financial planning clients
- 1,500reportedItem 5.H
- Custody
- $8.4M, 74 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$204M50%
- Individuals$198M48%
- Corporations and businesses$5.9M1.4%
- Charitable organizations$1.4M0.3%
- Individual clients
- 1,500reported
- HNW clients
- 105reported
- Pension plan clients
- n/areported
- Charitable clients
- 16reported
- Accounts
- 3,720reported
- Financial planning clients
- 1,500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $8.4M for 74 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• L•• S••••••• | Bourbonnais, Il | May 4, 2021 | 10 y | 1 |
| Z•••••• B•••• G••• | St. John, In | May 11, 2021 | 18 y | 2 |
| J••••• S•••••• M••••• | Bourbonnais, Il | Nov 18, 2021 | 11 y | 0 |
| A••••• J•••• L•• | Bloomington, Il | Jan 18, 2023 | 14 y | 0 |
| C••••• W•••••• Z•••••Certified Financial Planner | Greenwood Village , Co | Jul 6, 2023 | 12 y | 2 |
| A•••••••• M• A•••••• | Bloomington, Il | Feb 5, 2025 | 11 y | 0 |
| R••• R••••• C••••• | Bourbonnais, Il | Jun 27, 2025 | 11 y | 0 |
| N••• A••••• P•••••••• | Bourbonnais, Il | Aug 1, 2025 | 12 y | 0 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 13% of current headcount3 left over 36 months
Left, latest
- D•••• K•••• S•••••• to B••••••••• W••••• A•••••••• L••Jan 26, 2026 · Other
- L•••• R•••••• G••• to O•••• I••••••••• I•••Jul 9, 2024 · RIA to affiliated broker-dealer or bank
- J•••••• S••••••• to H•••••••• A•••••••• L••Feb 26, 2024 · RIA to affiliated broker-dealer or bank
- D••• M•••••• S•••• to A•••••••• C•••••• M•••••••••Sep 1, 2021 · RIA to RIA
Joined, latest
- D•••• K•••• S•••••• from B••••••••• W••••• A•••••••• L••Oct 27, 2025 · Other
- C••••• W•••••• Z••••• from C••••••••• F•••••••• N••••••Jul 6, 2023 · Affiliated broker-dealer or bank to independent RIA
- Z•••••• B•••• G••• from W••• S••••• F•••••••• G••••• I•••May 11, 2021 · RIA to a newly registered adviser
- J••• L•• S••••••• from A• W••••• M••••••••• L••May 4, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••••• S••••••• from A• W••••• M••••••••• L••May 4, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- D••• M•••••• S•••• from A• W••••• M••••••••• L••May 4, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from A• W••••• M••••••••• L••Sep 7, 2021 · Bourbonnais, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••• Z••••••• B•••• · Founder And Ceocontrolsince 11/2023 · owns 75% or more
- K•••••• J•••••• · Chief Compliance Officercontrolsince 10/2023 · owns less than 5%
- M••••••• H•••• · Vp Of Business Developmentcontrolsince 03/2024 · owns less than 5%
- F•••••• J••••• S•••• · Director Of Operationssince 05/2024 · owns less than 5%
- G•••• J•••• · Vp, Strategy & Growthsince 11/2023 · owns less than 5%
- P••••••••• W••••••• M•••••• · Chief Culture Officersince 11/2023 · 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 |
|---|---|---|---|---|---|
| Bourbonnais, Il · principal | 8 | 0 | 1 | ||
| Bloomington, Il | 3 | 0 | 0 | ||
| Greenwood Village, Co | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Brentwood, TN3 employees
- Bloomington, IL1 employees
- Champaign, IL1 employees
- Denver, CO1 employees
- Oak Brook, IL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 30, 2026custody of client assets (Item 9.A): no on the filing of 2025-12-19, yes on the filing of 2026-03-30peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 3,276 to 3,720Dec 19, 2025 to Mar 30, 2026
- Advisory employees · 7 to 8Dec 19, 2025 to Mar 30, 2026
- Charity clients · unset to 16.0Dec 19, 2025 to Mar 30, 2026
- Corporate clients · unset to 31.0Dec 19, 2025 to Mar 30, 2026
- HNW clients · 125 to 105Dec 19, 2025 to Mar 30, 2026
- Individual clients · 1,300 to 1,500Dec 19, 2025 to Mar 30, 2026
- Assets in custody · unset to 8396379.0Dec 19, 2025 to Mar 30, 2026
- Custody of client assets · false to trueDec 19, 2025 to Mar 30, 2026
- Employees · 20 to 22Dec 19, 2025 to Mar 30, 2026
- State-registered IARs · 7 to 8Dec 19, 2025 to Mar 30, 2026
- Discretionary RAUM · $317M to $406MDec 19, 2025 to Mar 30, 2026
- HNW RAUM · $150M to $204MDec 19, 2025 to Mar 30, 2026
- Individual RAUM · $166M to $198MDec 19, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $1.3M to $2.8MDec 19, 2025 to Mar 30, 2026
- RAUM · $318M to $409MDec 19, 2025 to Mar 30, 2026
- Other offices · 6 to 7Jun 10, 2025 to Nov 4, 2025
- Related insurance company · false to trueJun 10, 2025 to Nov 4, 2025
- Financial planning clients · More than 500 to More than 500Feb 17, 2025 to Jun 10, 2025
- Accounts · 1,909 to 3,276Oct 28, 2024 to Feb 17, 2025
- Advisory employees · 5 to 7Oct 28, 2024 to Feb 17, 2025
- HNW clients · 65 to 125Oct 28, 2024 to Feb 17, 2025
- Individual clients · 713 to 1,300Oct 28, 2024 to Feb 17, 2025
- Employees · 11 to 20Oct 28, 2024 to Feb 17, 2025
- State-registered IARs · 5 to 7Oct 28, 2024 to Feb 17, 2025
- Other offices · 5 to 6Oct 28, 2024 to Feb 17, 2025
- Discretionary RAUM · $223M to $317MOct 28, 2024 to Feb 17, 2025
- HNW RAUM · $93.9M to $150MOct 28, 2024 to Feb 17, 2025
- Individual RAUM · $129M to $166MOct 28, 2024 to Feb 17, 2025
- Non-discretionary RAUM · $0 to $1.3MOct 28, 2024 to Feb 17, 2025
- RAUM · $223M to $318MOct 28, 2024 to Feb 17, 2025
- Advisory employees · 6 to 5Mar 9, 2024 to Jul 24, 2024
- Employees · 8 to 11Mar 9, 2024 to Jul 24, 2024
- State-registered IARs · 6 to 5Mar 9, 2024 to Jul 24, 2024
- Other offices · 6 to 5Mar 9, 2024 to Jul 24, 2024
- Accounts · 1,483 to 1,909Jan 3, 2024 to Mar 9, 2024
- Advisory employees · 4 to 6Jan 3, 2024 to Mar 9, 2024
- HNW clients · 59 to 65Jan 3, 2024 to Mar 9, 2024
- Individual clients · 548 to 713Jan 3, 2024 to Mar 9, 2024
- State-registered IARs · 4 to 6Jan 3, 2024 to Mar 9, 2024
- Other offices · 4 to 6Jan 3, 2024 to Mar 9, 2024
Signals
6 dated events
- D•••• K•••• S•••••• left R••••• W••••• A••••••• for B••••••••• W••••• A•••••••• L•• (registered 2026-02-02)Jan 26, 2026 · Advisor changed firm · fact
- H•••• M•••••• (Vp Of Business Development) appeared on Schedule A of R••••• W••••• A•••••••Jul 24, 2024 · Control person joined · fact
- L•••• R•••••• G••• left R••••• W••••• A••••••• for O•••• I••••••••• I••• (registered 2024-07-08)Jul 9, 2024 · Advisor changed firm · fact
- J•••••• S••••••• left R••••• W••••• A••••••• for H•••••••• A•••••••• L•• (registered 2024-06-17)Feb 26, 2024 · Advisor changed firm · fact
- Jeffrey Kelvin (Chief Compliance Officer) appeared on Schedule A of R••••• W••••• A•••••••Jan 3, 2024 · Control person joined · fact
- R••••• W••••• A••••••• filed its initial SEC registration (Form ADV)Apr 2, 2021 · 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 phone
- 866-766-8332reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/rootedwealthadvisorsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- rootedprivatewealth.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 866.766.8332reportedpublic record, Form ADV, Mar 30, 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
- $51.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026