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
P••••••••• W••••• • T•• A•••••••
Legal name P••••••••• W••••• P•••••••• L••
Latest filing Apr 30, 2026
First filing on the tape Aug 3, 2023 · 11 filings
SEC status approved since Sep 29, 2023
RAUM
$207M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$207M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$51.9M
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$207M as of Apr 30, 2026
Jan 25, 2024$135M then
HNW client RAUM$130M as of Apr 30, 2026
Jan 25, 2024$58.1M then
State-registered IARs (5.B.3)4 as of Apr 30, 2026
Jan 25, 20243 then
Employees (5.A)9 as of Apr 30, 2026
Jan 25, 20245 then
Private funds: no history
RAUM +27% over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Apr 30, 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
- RAUM per advisor
- $51.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $235,209derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $110M, 445 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$130M63%
- Individuals$77.3M37%
- Individual clients
- 213reported
- HNW clients
- 75reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 882reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $110M for 445 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• E••••• M••••••Certified Financial Planner | Frankfort, Il | Oct 11, 2023 | 14 y | 2 |
| K•••••• H••••• | Frankfort, Il | Oct 11, 2023 | 13 y | 1 |
| T•••••• A•••• R••••Certified Financial Planner, Chartered Financial Consultant | Frankfort, Il | Oct 16, 2023 | 29 y | 2 |
| A•••••• P•••• | Frankfort, Il | Jul 1, 2026 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount1 left over 36 months
Left, latest
- G••••• T••••• Q•••• to M••••• G••••• A••••••• I•••May 12, 2026 · RIA to RIA
Joined, latest
- G••••• T••••• Q•••• from O•••• W•••••• I•••Oct 29, 2024 · Affiliated broker-dealer or bank to independent RIA
- T•••••• A•••• R•••• from T••••••• A•••••• N••••••• L••Oct 16, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- R••••• E••••• M•••••• from T••••••• A•••••• N••••••• L••Oct 11, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- K•••••• H••••• from T••••••• A•••••• N••••••• L••Oct 11, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from T••••••• A•••••• N••••••• L••Nov 9, 2023 · Minneapolis, Mn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••• T••••••• A•••• · Ceocontrolsince 10/2023 · owns 75% or more
- M•••••••• M•••••••• A••• · Chief Compliance Officersince 01/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Frankfort, Il · principal | 4 | 1 | 0 | ||
| Columbus, Oh | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Bloomingdale, IL2 employees
- Rockford, IL2 employees
What changed
consecutive filings, newest first
- Accounts · 778 to 882Jul 3, 2025 to Feb 3, 2026
- Advisory employees · 3 to 4Jul 3, 2025 to Feb 3, 2026
- Advisory activities · 5 to 2Jul 3, 2025 to Feb 3, 2026
- Corporate clients · 2.0 to unsetJul 3, 2025 to Feb 3, 2026
- HNW clients · 52 to 75Jul 3, 2025 to Feb 3, 2026
- Individual clients · 215 to 213Jul 3, 2025 to Feb 3, 2026
- Assets in custody · $29.7M to $110MJul 3, 2025 to Feb 3, 2026
- Employees · 5 to 9Jul 3, 2025 to Feb 3, 2026
- State-registered IARs · 3 to 4Jul 3, 2025 to Feb 3, 2026
- Discretionary RAUM · $164M to $207MJul 3, 2025 to Feb 3, 2026
- HNW RAUM · $84.2M to $130MJul 3, 2025 to Feb 3, 2026
- Individual RAUM · $79.2M to $77.3MJul 3, 2025 to Feb 3, 2026
- RAUM · $164M to $207MJul 3, 2025 to Feb 3, 2026
- Financial planning clients · 51-100 to 51-100Jan 30, 2025 to Jul 3, 2025
- Accounts · 668 to 778Oct 28, 2024 to Jan 30, 2025
- Advisory employees · 2 to 3Oct 28, 2024 to Jan 30, 2025
- Business name · P••••••••• W••••• P•••••••• L•• to P••••••••• W••••• • T•• A•••••••Oct 28, 2024 to Jan 30, 2025
- Corporate clients · unset to 2.0Oct 28, 2024 to Jan 30, 2025
- HNW clients · 36 to 52Oct 28, 2024 to Jan 30, 2025
- Individual clients · 209 to 215Oct 28, 2024 to Jan 30, 2025
- Financial planning clients · 11-25 to 51-100Oct 28, 2024 to Jan 30, 2025
- HQ city · ORLAND PARK to FRANKFORTOct 28, 2024 to Jan 30, 2025
- Discretionary RAUM · $135M to $164MOct 28, 2024 to Jan 30, 2025
- HNW RAUM · $58.1M to $84.2MOct 28, 2024 to Jan 30, 2025
- Individual RAUM · $76.8M to $79.2MOct 28, 2024 to Jan 30, 2025
- RAUM · $135M to $164MOct 28, 2024 to Jan 30, 2025
- Related insurance company · false to trueOct 28, 2024 to Jan 30, 2025
- Accounts · 0 to 668Oct 9, 2023 to Jan 19, 2024
- Advisory employees · 3 to 2Oct 9, 2023 to Jan 19, 2024
- Business name · L•••• W••••• P••••••• to P••••••••• W••••• P•••••••• L••Oct 9, 2023 to Jan 19, 2024
- HNW clients · unset to 36.0Oct 9, 2023 to Jan 19, 2024
- Individual clients · unset to 209.0Oct 9, 2023 to Jan 19, 2024
- Assets in custody · unset to 29704315.0Oct 9, 2023 to Jan 19, 2024
- Custody of client assets · false to trueOct 9, 2023 to Jan 19, 2024
- Employees · 6 to 5Oct 9, 2023 to Jan 19, 2024
- Financial planning clients · 0 to 11-25Oct 9, 2023 to Jan 19, 2024
- Legal name · L•••• W••••• P•••••••, LLC to P••••••••• W••••• P•••••••• L••Oct 9, 2023 to Jan 19, 2024
- Discretionary RAUM · $0 to $135MOct 9, 2023 to Jan 19, 2024
- HNW RAUM · unset to 58131367.0Oct 9, 2023 to Jan 19, 2024
- Individual RAUM · unset to 76804344.0Oct 9, 2023 to Jan 19, 2024
Signals
5 dated events
- G••••• T••••• Q•••• left P••••••••• W••••• • T•• A••••••• for M••••• G••••• A••••••• I••• (registered 2026-05-19)May 12, 2026 · a•••••• firm change · fact
- 3 advisors left T••••••• A•••••• N••••••• L•• (Minneapolis, MN) for P••••••••• W••••• • T•• A••••••• on the same dayNov 9, 2023 · Team lift-out · derived
- Allen Timothy Regan (Ceo) appeared on Schedule A of P••••••••• W••••• • T•• A•••••••Oct 9, 2023 · Control person joined · fact
- Sean Kevin Woodard (Member And Manager) no longer on Schedule A of P••••••••• W••••• • T•• A••••••• (listed 2023-09-12, absent 2023-10-09)Oct 9, 2023 · Control person left · inference
- L•••• W••••• P••••••• filed its initial SEC registration (Form ADV)Aug 3, 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
- Firm profile
- linkedin.com/company/prairieview-wealth-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- pv-wp.com.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 708-326-4750reportedpublic record, Form ADV, Apr 30, 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
- $51.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026