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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Former SEC-registered adviser
W••••• T••••• W••••• S••••••••• L••
Latest filing Sep 15, 2026
First filing on the tape Sep 15, 2026 · 1 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $0
HNW client RAUM: no history
State-registered IARs (5.B.3): 2
Employees (5.A): 5
Private funds: no history
Practice profile
derived from the filing of Sep 15, 2026; every figure names its basis
- RAUM per advisor
- $0derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.6derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 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 individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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 a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••••• L••••••••Certified Financial Planner | Chicago, Il | Sep 8, 2026 | 12 y | 3 |
| W•••••• T••••• H••••Chartered Financial Analyst | Chicago, Il | Sep 10, 2026 | 16 y | 0 |
| J••••••• A•• B•••• | Chicago, Il | Sep 17, 2026 | 21 y | 5 |
| G•••••••• D••••• P••••• | Chicago, Il | Sep 17, 2026 | 11 y | 8 |
| R••• W••••• | Chicago, Il | Sep 17, 2026 | 15 y | 3 |
| P•••• K•••• L• | Chicago, Il | Sep 17, 2026 | 20 y | 3 |
Advisor movement
0 left, 5 joined in 12 months
net +5 in 12 months0 left in 90 days5 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- S•••• A• S••••••••• to T••••• W••••• I••••••••• S•••••••• I•••Jan 5, 2024 · Other
Joined, latest
- P•••• K•••• L• from V••••••• A•••••••• I•••Sep 17, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- J••••••• A•• B•••• from A•••• I••••••••• A•••••••• L••Sep 17, 2026 · RIA to a newly registered adviser
- G•••••••• D••••• P••••• from C••••• I••••••••• A••••••• L••Sep 17, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- R••• W••••• from M••••••••• R•••••••••Sep 17, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- D•••••• L•••••••• from L•• F•••••••• L••Sep 8, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- S•••• A• S••••••••• from K••••• A••••••• S•••••••• L••Dec 21, 2022 · Other
- R•••• D•••• C••••• from T•••• S••••• S••••••••• I•••Dec 21, 2022 · Other
- K•••• G••••• E•••• from W••••• S••••••••• I•••Apr 27, 2022 · Other
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.
Advisers that list W••••• T••••• W••••• S••••••••• L•• as a related person
- 110473 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 5 | 5 | 0 | ||
| New York, Ny | 2 | 0 | 0 | ||
| Tampa, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
23 dated events
- P•••• K•••• L• no longer holds an investment adviser registration (last listed at W••••• T••••• W••••• S••••••••• L•• on the 2026-09-18 feed)Sep 18, 2026 · Advisor registration ended · derived
- G•••••••• D••••• P••••• added a CA registration at W••••• T••••• W••••• S••••••••• L••Sep 18, 2026 · New state registration · fact
- G•••••••• D••••• P••••• added a IL registration at W••••• T••••• W••••• S••••••••• L••Sep 18, 2026 · New state registration · fact
- J••••••• A•• B•••• added a CA registration at W••••• T••••• W••••• S••••••••• L••Sep 18, 2026 · New state registration · fact
- J••••••• A•• B•••• added a TX registration at W••••• T••••• W••••• S••••••••• L••Sep 18, 2026 · New state registration · fact
- R••• W••••• added a CA registration at W••••• T••••• W••••• S••••••••• L••Sep 18, 2026 · New state registration · fact
- R••• W••••• added a IL registration at W••••• T••••• W••••• S••••••••• L••Sep 18, 2026 · New state registration · fact
- R••• W••••• registered as an investment adviser representative at W••••• T••••• W••••• S••••••••• L••Sep 17, 2026 · Advisor registered · fact
- J••••••• A•• B•••• registered as an investment adviser representative at W••••• T••••• W••••• S••••••••• L••Sep 17, 2026 · Advisor registered · fact
- P•••• K•••• L• registered as an investment adviser representative at W••••• T••••• W••••• S••••••••• L••Sep 17, 2026 · Advisor registered · fact
- G•••••••• D••••• P••••• registered as an investment adviser representative at W••••• T••••• W••••• S••••••••• L••Sep 17, 2026 · Advisor registered · fact
- D•••••• L•••••••• added a TX registration at W••••• T••••• W••••• S••••••••• L••Sep 17, 2026 · New state registration · fact
- D•••••• L•••••••• added a IL registration at W••••• T••••• W••••• S••••••••• L••Sep 17, 2026 · New state registration · fact
- D•••••• L•••••••• added a CA registration at W••••• T••••• W••••• S••••••••• L••Sep 17, 2026 · New state registration · fact
- W•••••• T••••• H•••• added a TX registration at W••••• T••••• W••••• S••••••••• L••Sep 17, 2026 · New state registration · fact
- W•••••• T••••• H•••• added a IL registration at W••••• T••••• W••••• S••••••••• L••Sep 17, 2026 · New state registration · fact
- W•••••• T••••• H•••• added a CA registration at W••••• T••••• W••••• S••••••••• L••Sep 17, 2026 · New state registration · fact
- G•••••••• D••••• P••••• added a TX registration at W••••• T••••• W••••• S••••••••• L••Sep 17, 2026 · New state registration · fact
- J••••••• A•• B•••• added a IL registration at W••••• T••••• W••••• S••••••••• L••Sep 17, 2026 · New state registration · fact
- R••• W••••• added a TX registration at W••••• T••••• W••••• S••••••••• L••Sep 17, 2026 · New state registration · fact
- W•••••• T••••• H•••• added a NY registration at W••••• T••••• W••••• S••••••••• L••Sep 10, 2026 · New state registration · fact
- D•••••• L•••••••• added a NY registration at W••••• T••••• W••••• S••••••••• L••Sep 8, 2026 · New state registration · fact
- S•••• A• S••••••••• left W••••• T••••• W••••• S••••••••• L•• for T••••• W••••• I••••••••• S•••••••• I••• (registered 2024-11-14)Jan 5, 2024 · Advisor changed firm · 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
- Website
- viaretirement.comreportedpublic record, Form ADV, Sep 19, 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
- 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 15, 2026