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
U••••• W••••• S•••••••••
Latest filing Aug 3, 2026
First filing on the tape Nov 18, 2022 · 15 filings
SEC status approved since Dec 16, 2022
RAUM
$382M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$340M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$76.3M
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$382M as of Aug 3, 2026
Mar 16, 2023$182M then
HNW client RAUM$280M as of Aug 3, 2026
Mar 16, 2023$97.3M then
State-registered IARs (5.B.3)3 as of Aug 3, 2026
Mar 16, 20233 then
Employees (5.A)10 as of Aug 3, 2026
Mar 16, 20238 then
Private funds: no history
RAUM +22% over the last fiscal year+28% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Aug 3, 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
- 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $76.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $453,088derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$280M73%
- Individuals$60.0M16%
- Pension and profit-sharing plans$23.5M6.2%
- Charitable organizations$15.5M4.1%
- Insurance companies$2.5M0.7%
- Individual clients
- 187reported
- HNW clients
- 98reported
- Pension plan clients
- 51reported
- Charitable clients
- 14reported
- Accounts
- 842reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $382M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• T••••••• A••••••• | Burr Ridge, Il | Jan 17, 2023 | 18 y | 4 |
| P••••••••• P•••••• | Burr Ridge, Il | Jan 17, 2023 | 12 y | 2 |
| R••••• B•••••• | Burr Ridge, Il | Jan 17, 2023 | 28 y | 3 |
| A••• S••••••••• | Hillsborough, Ca | Sep 19, 2023 | 10 y | 1 |
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
- A••• S••••••••• from J••• M••••• S••••••••• L••Sep 19, 2023 · Wirehouse to independent RIA
- R••••• B•••••• from P•••••• A•••••• G••••• L••Dec 19, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• T••••••• A••••••• from P•••••• A•••••• G••••• L••Dec 19, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- P••••••••• P•••••• from P•••••• A•••••• G••••• L••Dec 19, 2022 · 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 P•••••• A•••••• G••••• L••Mar 29, 2023 · Burr Ridge, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• J••••• T••••••• · Portfolio Manager/ Chief Compliance Officercontrolsince 11/2022 · owns less than 5%
- B••••••• R••••• · President & Founder, Wealth Managercontrolsince 05/2016 · owns 75% or more
Related persons
Schedule D 7.A
- C••••••• L••••• P•••••••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Burr Ridge, Il · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 805 to 842Aug 24, 2025 to Mar 27, 2026
- Advisory employees · 3 to 4Aug 24, 2025 to Mar 27, 2026
- Charity clients · 10 to 14Aug 24, 2025 to Mar 27, 2026
- Corporate clients · 35 to 44Aug 24, 2025 to Mar 27, 2026
- HNW clients · 88 to 98Aug 24, 2025 to Mar 27, 2026
- Individual clients · 181 to 187Aug 24, 2025 to Mar 27, 2026
- Pension plan clients · 47 to 51Aug 24, 2025 to Mar 27, 2026
- Assets in custody · $6.2M to $8.2MAug 24, 2025 to Mar 27, 2026
- Financial planning clients · 26-50 to 51-100Aug 24, 2025 to Mar 27, 2026
- Discretionary RAUM · $308M to $381MAug 24, 2025 to Mar 27, 2026
- HNW RAUM · $186M to $280MAug 24, 2025 to Mar 27, 2026
- Individual RAUM · $51.0M to $60.0MAug 24, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $5.0M to $900,000Aug 24, 2025 to Mar 27, 2026
- Pension RAUM · $18.0M to $23.5MAug 24, 2025 to Mar 27, 2026
- RAUM · $313M to $382MAug 24, 2025 to Mar 27, 2026
- Wrap assets (manager) · $0 to $382MAug 24, 2025 to Mar 27, 2026
- Accounts · 708 to 805Jan 15, 2025 to Mar 31, 2025
- BD registered reps · 0 to 1Jan 15, 2025 to Mar 31, 2025
- Charity clients · 8 to 10Jan 15, 2025 to Mar 31, 2025
- Corporate clients · 20 to 35Jan 15, 2025 to Mar 31, 2025
- HNW clients · 75 to 88Jan 15, 2025 to Mar 31, 2025
- Individual clients · 200 to 181Jan 15, 2025 to Mar 31, 2025
- Pension plan clients · 21 to 47Jan 15, 2025 to Mar 31, 2025
- Assets in custody · unset to 6200000.0Jan 15, 2025 to Mar 31, 2025
- Employees · 7 to 10Jan 15, 2025 to Mar 31, 2025
- Financial planning clients · 51-100 to 26-50Jan 15, 2025 to Mar 31, 2025
- Discretionary RAUM · $247M to $308MJan 15, 2025 to Mar 31, 2025
- HNW RAUM · $140M to $186MJan 15, 2025 to Mar 31, 2025
- Individual RAUM · $56.0M to $51.0MJan 15, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $4.0M to $5.0MJan 15, 2025 to Mar 31, 2025
- Pension RAUM · $9.0M to $18.0MJan 15, 2025 to Mar 31, 2025
- RAUM · $251M to $313MJan 15, 2025 to Mar 31, 2025
- Accounts · 487 to 708Jul 7, 2023 to Jan 31, 2024
- BD registered reps · 1 to 0Jul 7, 2023 to Jan 31, 2024
- Charity clients · 5 to 8Jul 7, 2023 to Jan 31, 2024
- Corporate clients · 10 to 20Jul 7, 2023 to Jan 31, 2024
- HNW clients · 62 to 75Jul 7, 2023 to Jan 31, 2024
- Individual clients · 400 to 200Jul 7, 2023 to Jan 31, 2024
- Pension plan clients · 10 to 21Jul 7, 2023 to Jan 31, 2024
- Employees · 8 to 7Jul 7, 2023 to Jan 31, 2024
Signals
2 dated events
- 3 advisors left P•••••• A•••••• G••••• L•• (Burr Ridge, IL) for U••••• W••••• S••••••••• on the same dayMar 29, 2023 · Team lift-out · derived
- U••••• W••••• S••••••••• filed its initial SEC registration (Form ADV)Nov 18, 2022 · 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
- 630-318-0565reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/unique-wealth-strategiesreportedpublic record, Form ADV, Sep 18, 2026
- Website
- uniquewealthstrategies.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 630-318-0565reportedpublic record, Form ADV, Aug 3, 2026
- Contact form
- uniquewealthstrategies.com/contact-us.htmlreportedpublished by the firm, firm site, Sep 17, 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
- $76.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026