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
F•••••••• D••••• G••••• L••
Latest filing Jan 6, 2026
First filing on the tape Oct 22, 2025 · 2 filings
SEC status approved since Sep 24, 2025
RAUM
$113M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$112M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$56.7M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$113M as of Jan 6, 2026
Oct 22, 2025$110M then
HNW client RAUM$51.6M as of Jan 6, 2026
Oct 22, 2025$46.7M then
State-registered IARs (5.B.3)2 as of Jan 6, 2026
Oct 22, 20252 then
Employees (5.A)3 as of Jan 6, 2026
Oct 22, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 6, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $56.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 102derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $215,162derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$60.4M53%
- High-net-worth individuals$51.6M46%
- Pension and profit-sharing plans$1.3M1.2%
- Individual clients
- 175reported
- HNW clients
- 28reported
- Pension plan clients
- 7reported
- Charitable clients
- 0reported
- Accounts
- 527reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• B•••• F••••• | Lavista, Ne | Apr 18, 2022 | 14 y | 1 |
| B•••• T•••••• F••••• | Lavista, Ne | Apr 18, 2022 | 28 y | 3 |
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
- C••••••••• B•••• F••••• from C••••• A••••••• L••Apr 18, 2022 · Affiliated broker-dealer or bank to independent RIA
- B•••• T•••••• F••••• from C••••• A••••••• L••Apr 18, 2022 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• B••••• T•••••• · Managing Membercontrolsince 06/2021 · owns 50% to 75%
- F•••••• C••••••••• B•••• · Chief Compliance Officer And Managing Membercontrolsince 04/2022 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Lavista, Ne · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 540 to 527Oct 22, 2025 to Jan 6, 2026
- HNW clients · 26 to 28Oct 22, 2025 to Jan 6, 2026
- Individual clients · 178 to 175Oct 22, 2025 to Jan 6, 2026
- Discretionary RAUM · $110M to $113MOct 22, 2025 to Jan 6, 2026
- HNW RAUM · $46.7M to $51.6MOct 22, 2025 to Jan 6, 2026
- Individual RAUM · $61.7M to $60.4MOct 22, 2025 to Jan 6, 2026
- Pension RAUM · $1.3M to $1.3MOct 22, 2025 to Jan 6, 2026
- RAUM · $110M to $113MOct 22, 2025 to Jan 6, 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
- 402-509-2250reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.f•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 402-509-2250reportedpublic record, Form ADV, Jan 6, 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
- $56.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026