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
W•••••••• P•••••• W•••••
Legal name W•••••••• P•••••• W••••• L••
Latest filing Aug 31, 2026
First filing on the tape Aug 13, 2021 · 21 filings
SEC status approved since Sep 10, 2021
RAUM
$414M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$414M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$138M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$414M as of Aug 31, 2026
Jan 5, 2022$102M then
HNW client RAUM$379M as of Aug 31, 2026
Jan 5, 2022$101M then
State-registered IARs (5.B.3)3 as of Aug 31, 2026
Jan 5, 20221 then
Employees (5.A)3 as of Aug 31, 2026
Jan 5, 20221 then
Private funds: no history
RAUM +37% over the last fiscal year+31% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Aug 31, 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
- $138MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.9MderivedHNW RAUM over HNW clients
- Average account
- $745,398derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +37%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $63.3M, 34 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
- 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)
- 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$379M92%
- Individuals$34.2M8.3%
- Corporations and businesses$121,2610.0%
- Individual clients
- 65reported
- HNW clients
- 78reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 555reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $63.3M for 34 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| B•••••• G•••••••• M•••• | Oak Brook, Il | Sep 16, 2021 | 18 y | 3 |
| J•••• K•••••Certified Financial Planner | Oak Brook, Il | Aug 1, 2022 | 19 y | 3 |
| S•••• E•••••••• P••••• | Oak Brook, Il | Nov 3, 2023 | 15 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
- S•••• E•••••••• P••••• from N••••••••• M••••• I••••••••• S•••••••••Nov 3, 2023 · Other
- J•••• K••••• from C••••••• P•••••••Aug 1, 2022 · RIA to RIA
- B•••••• G•••••••• M•••• from S•••••••• A•••• G••••Sep 16, 2021 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• B••••••• G•••••••• · Managing Member & Chief Compliance Officercontrolsince 08/2021 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Oak Brook, Il · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 19, 2026RAUM (Item 5.F) moved from $302,042,079 to $413,695,756 (+37.0%) between the annual amendments of 2025-02-26 and 2026-03-19; the peer median change was +15.0% (4550 comparable advisers, 91.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 91% percentile
What changed
consecutive filings, newest first
- Accounts · 505 to 555Jul 30, 2025 to Feb 27, 2026
- Business name · WATERSHED PRIVATE WEALTH LLC to WATERSHED PRIVATE WEALTHJul 30, 2025 to Feb 27, 2026
- HNW clients · 72 to 78Jul 30, 2025 to Feb 27, 2026
- Individual clients · 54 to 65Jul 30, 2025 to Feb 27, 2026
- Assets in custody · $39.1M to $63.3MJul 30, 2025 to Feb 27, 2026
- Discretionary RAUM · $302M to $414MJul 30, 2025 to Feb 27, 2026
- HNW RAUM · $276M to $379MJul 30, 2025 to Feb 27, 2026
- Individual RAUM · $25.7M to $34.2MJul 30, 2025 to Feb 27, 2026
- RAUM · $302M to $414MJul 30, 2025 to Feb 27, 2026
- Financial planning clients · 101-250 to 101-250Jun 6, 2025 to Jul 30, 2025
- Accounts · 444 to 505Oct 28, 2024 to Feb 26, 2025
- Corporate clients · 0 to 1Oct 28, 2024 to Feb 26, 2025
- HNW clients · 68 to 72Oct 28, 2024 to Feb 26, 2025
- Individual clients · 49 to 54Oct 28, 2024 to Feb 26, 2025
- Assets in custody · $122M to $39.1MOct 28, 2024 to Feb 26, 2025
- Discretionary RAUM · $263M to $302MOct 28, 2024 to Feb 26, 2025
- HNW RAUM · $239M to $276MOct 28, 2024 to Feb 26, 2025
- Individual RAUM · $24.1M to $25.7MOct 28, 2024 to Feb 26, 2025
- RAUM · $263M to $302MOct 28, 2024 to Feb 26, 2025
- Advisory activities · 3 to 4Apr 3, 2024 to Oct 28, 2024
- Assets in custody · unset to 122175376.0Apr 3, 2024 to Oct 28, 2024
- Custody of client assets · false to trueApr 3, 2024 to Oct 28, 2024
- Accounts · 350 to 444Nov 9, 2023 to Mar 14, 2024
- HNW clients · 58 to 68Nov 9, 2023 to Mar 14, 2024
- Individual clients · 29 to 49Nov 9, 2023 to Mar 14, 2024
- Pension plan clients · unset to 0.0Nov 9, 2023 to Mar 14, 2024
- Financial planning clients · 26-50 to 101-250Nov 9, 2023 to Mar 14, 2024
- Discretionary RAUM · $183M to $263MNov 9, 2023 to Mar 14, 2024
- HNW RAUM · $158M to $239MNov 9, 2023 to Mar 14, 2024
- Individual RAUM · $26.1M to $24.1MNov 9, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $2.7M to $0Nov 9, 2023 to Mar 14, 2024
- Pension RAUM · $1.2M to $0Nov 9, 2023 to Mar 14, 2024
- RAUM · $186M to $263MNov 9, 2023 to Mar 14, 2024
- Advisory employees · 2 to 3May 3, 2023 to Nov 9, 2023
- Employees · 2 to 3May 3, 2023 to Nov 9, 2023
- State-registered IARs · 2 to 3May 3, 2023 to Nov 9, 2023
- Insurance-licensed employees · 1 to 0Mar 27, 2023 to May 3, 2023
- Accounts · 137 to 350Jul 22, 2022 to Mar 16, 2023
- Advisory activities · 2 to 3Jul 22, 2022 to Mar 16, 2023
- HNW clients · 34 to 58Jul 22, 2022 to Mar 16, 2023
Signals
2 dated events
- Watershed Private Wealth reported RAUM $413.7M, up 37% from $302.0M (2025-07-30 to 2026-02-27)Feb 27, 2026 · RAUM change · derived
- Projected Tbd filed its initial SEC registration (Form ADV)Aug 13, 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 email
- info@watershedprivatewealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 630-478-0195reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 630-645-3848reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/watershed-private-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- watershedprivatewealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 630-478-0195reportedpublic record, Form ADV, Aug 31, 2026
- Contact form
- watershedprivatewealth.com/contact-usreportedpublished by the firm, firm site, Sep 15, 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
- $138Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026