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
N••• L•••• W••••• P•••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Aug 16, 2023 · 20 filings
SEC status approved since Sep 19, 2023
RAUM
$323M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$323M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$64.5M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$323M as of Mar 5, 2026
Jan 31, 2024$200M then
HNW client RAUM$179M as of Mar 5, 2026
Jan 31, 2024$90.8M then
State-registered IARs (5.B.3)4 as of Mar 5, 2026
Jan 31, 20243 then
Employees (5.A)5 as of Mar 5, 2026
Jan 31, 20244 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Mar 5, 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
- p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $64.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 114derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $213,730derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%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
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Financial planning clients
- 600reportedItem 5.H
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$179M56%
- Individuals$143M44%
- Individual clients
- 487reported
- HNW clients
- 85reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,510reported
- Financial planning clients
- 600reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••• T••••• M••••• | Meridian, Id | Oct 2, 2023 | 24 y | 1 |
| J•••• E••••• M•••••••Certified Financial Planner | Meridian, Id | Oct 2, 2023 | 22 y | 1 |
| M•••••• F••••• A•••••••Certified Financial Planner | Meridian, Id | Oct 2, 2023 | 16 y | 2 |
| K•••• J•••• M••••••• | Meridian, Id | Oct 1, 2025 | 11 y | 0 |
| B•••••• C•••• R••••••Certified Financial Planner | Meridian, Id | Aug 13, 2026 | 10 y | 0 |
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••• T••••• M••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 2, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• E••••• M••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 2, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• F••••• A••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 2, 2023 · 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 R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 2, 2023 · Meridian, Id
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• K••••• J••• · Chief Compliance Officer, Managercontrolsince 08/2023 · owns less than 5%
- A•••••••• M••••••• F••••• · Managing Membercontrolsince 04/2023 · owns 75% or more of M•• W••••• M••••••••• L••
- M•••••• C•••• T••••• · Managing Membercontrolsince 11/2005 · owns 75% or more of M••••• F•••••••• G•••• L••
- M•••••••• J••••• E••••• · Managing Membercontrolsince 04/2022 · owns 75% or more of M••••••• F•••••••• G•••• L••
Entity owners
- M••••• F•••••••• G•••• L•• · Memberdirect · owns 25% to 50%
- M••••••• F•••••••• G•••• L•• · Memberdirect · owns 25% to 50%
- M•• W••••• M••••••••• L•• · Memberdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Meridian, Id · principal | 5 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,466 to 1,510Dec 16, 2025 to Jan 21, 2026
- HNW clients · 75 to 85Dec 16, 2025 to Jan 21, 2026
- Individual clients · 554 to 487Dec 16, 2025 to Jan 21, 2026
- Discretionary RAUM · $298M to $315MDec 16, 2025 to Jan 21, 2026
- HNW RAUM · $153M to $179MDec 16, 2025 to Jan 21, 2026
- Individual RAUM · $152M to $143MDec 16, 2025 to Jan 21, 2026
- Non-discretionary RAUM · $7.6M to $7.3MDec 16, 2025 to Jan 21, 2026
- RAUM · $305M to $323MDec 16, 2025 to Jan 21, 2026
- Accounts · 1,342 to 1,466Jan 20, 2025 to Oct 29, 2025
- Advisory employees · 3 to 4Jan 20, 2025 to Oct 29, 2025
- HNW clients · 69 to 75Jan 20, 2025 to Oct 29, 2025
- Individual clients · 486 to 554Jan 20, 2025 to Oct 29, 2025
- Employees · 4 to 5Jan 20, 2025 to Oct 29, 2025
- State-registered IARs · 3 to 4Jan 20, 2025 to Oct 29, 2025
- Discretionary RAUM · $253M to $298MJan 20, 2025 to Oct 29, 2025
- HNW RAUM · $138M to $153MJan 20, 2025 to Oct 29, 2025
- Individual RAUM · $121M to $152MJan 20, 2025 to Oct 29, 2025
- Non-discretionary RAUM · $5.1M to $7.6MJan 20, 2025 to Oct 29, 2025
- RAUM · $258M to $305MJan 20, 2025 to Oct 29, 2025
- Accounts · 1,319 to 1,342Nov 20, 2024 to Jan 20, 2025
- HNW clients · 67 to 69Nov 20, 2024 to Jan 20, 2025
- Individual clients · 465 to 486Nov 20, 2024 to Jan 20, 2025
- Financial planning clients · 0 to More than 500Nov 20, 2024 to Jan 20, 2025
- Discretionary RAUM · $229M to $253MNov 20, 2024 to Jan 20, 2025
- HNW RAUM · $156M to $138MNov 20, 2024 to Jan 20, 2025
- Individual RAUM · $88.6M to $121MNov 20, 2024 to Jan 20, 2025
- Non-discretionary RAUM · $14.8M to $5.1MNov 20, 2024 to Jan 20, 2025
- RAUM · $244M to $258MNov 20, 2024 to Jan 20, 2025
- Accounts · 1,187 to 1,319Sep 25, 2024 to Nov 20, 2024
- HNW clients · 52 to 67Sep 25, 2024 to Nov 20, 2024
- Individual clients · 474 to 465Sep 25, 2024 to Nov 20, 2024
- Discretionary RAUM · $157M to $229MSep 25, 2024 to Nov 20, 2024
- HNW RAUM · $90.8M to $156MSep 25, 2024 to Nov 20, 2024
- Individual RAUM · $109M to $88.6MSep 25, 2024 to Nov 20, 2024
- Non-discretionary RAUM · $42.3M to $14.8MSep 25, 2024 to Nov 20, 2024
- RAUM · $200M to $244MSep 25, 2024 to Nov 20, 2024
- Accounts · 1,185 to 1,187Jan 30, 2024 to Jan 31, 2024
- HNW clients · 50 to 52Jan 30, 2024 to Jan 31, 2024
- Individual clients · 454 to 474Jan 30, 2024 to Jan 31, 2024
- Discretionary RAUM · $132M to $157MJan 30, 2024 to Jan 31, 2024
Signals
2 dated events
- 3 advisors left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (Meridian, ID) for N••• L•••• W••••• P•••••••• L•• a day apartOct 2, 2023 · Team lift-out · derived
- N••• L•••• W••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Aug 16, 2023 · 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
- 208-376-6949reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/nlwealthplanningreportedpublic record, Form ADV, Sep 18, 2026
- Website
- nlwealthplanning.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 208-376-6949reportedpublic record, Form ADV, Mar 5, 2026
- Contact form
- nlwealthplanning.com/contact-usreportedpublished 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
- $64.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026