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.
SEC-registered adviser
Tradewell Tax & Financial
Legal name Tradewell Securities, LLC
Latest filing May 8, 2026
First filing on the tape Jul 18, 2024 · 8 filings
SEC status approved since Aug 16, 2024
RAUM
$276M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$276M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$55.2M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$276M as of May 8, 2026
Apr 23, 2025$267M then
HNW client RAUM$140M as of May 8, 2026
Apr 23, 2025$149M then
State-registered IARs (5.B.3)5 as of May 8, 2026
Apr 23, 20254 then
Employees (5.A)9 as of May 8, 2026
Apr 23, 20258 then
Private funds: no history
RAUM +3.3% over the last fiscal yearIARs 4 to 5
Practice profile
derived from the filing of May 8, 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
- RAUM per advisor
- $55.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 86derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $254,709derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- 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$140M51%
- Individuals$136M49%
- Individual clients
- 358reported
- HNW clients
- 71reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,083reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael Lawrence Albertson | Fort Wayne, In | Jan 16, 2025 | 24 y | 8 |
| Wesley Douglass Phelps | Fort Wayne, In | Jan 16, 2025 | 13 y | 4 |
| Thomas Joe Badders | Fort Wayne, In | Jan 16, 2025 | 12 y | 1 |
| Joshua Scott Hasselbach | Fort Wayne, In | Apr 14, 2025 | 21 y | 4 |
| Hannah Cole Firstbrook Grubb | Fort Wayne, In | Sep 2, 2025 | 14 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
- Joshua Scott Hasselbach from Cx Institutional, LLCApr 14, 2025 · RIA to a newly registered adviser
- Michael Lawrence Albertson from Secure Asset Management, L.L.C.Jan 16, 2025 · RIA to a newly registered adviser
- Wesley Douglass Phelps from Secure Asset Management, L.L.C.Jan 16, 2025 · RIA to a newly registered adviser
- Thomas Joe Badders from Secure Asset Management, L.L.C.Jan 16, 2025 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Secure Asset Management, L.L.C.Jan 24, 2025 · Troy, Mi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L Michael Albertson · Managing Member, Ceo And Chief Compliance Officercontrolsince 07/2024 · 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 |
|---|---|---|---|---|---|
| Fort Wayne, In · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,080 to 1,083Sep 8, 2025 to Mar 25, 2026
- Business name · TRADEWELL SECURITIES, LLC to TRADEWELL TAX & FINANCIALSep 8, 2025 to Mar 25, 2026
- HNW clients · 81 to 71Sep 8, 2025 to Mar 25, 2026
- Individual clients · 334 to 358Sep 8, 2025 to Mar 25, 2026
- Discretionary RAUM · $228M to $276MSep 8, 2025 to Mar 25, 2026
- HNW RAUM · $149M to $140MSep 8, 2025 to Mar 25, 2026
- Individual RAUM · $118M to $136MSep 8, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $39.0M to $0Sep 8, 2025 to Mar 25, 2026
- RAUM · $267M to $276MSep 8, 2025 to Mar 25, 2026
- Advisory employees · 4 to 5Jun 12, 2025 to Sep 8, 2025
- Employees · 8 to 9Jun 12, 2025 to Sep 8, 2025
- State-registered IARs · 4 to 5Jun 12, 2025 to Sep 8, 2025
- Financial planning clients · 251-500 to 251-500Apr 23, 2025 to Jun 12, 2025
- Accounts · 0 to 1,080Sep 6, 2024 to Apr 23, 2025
- Advisory employees · 3 to 4Sep 6, 2024 to Apr 23, 2025
- HNW clients · unset to 81.0Sep 6, 2024 to Apr 23, 2025
- Individual clients · unset to 334.0Sep 6, 2024 to Apr 23, 2025
- Employees · 3 to 8Sep 6, 2024 to Apr 23, 2025
- Financial planning clients · 0 to 251-500Sep 6, 2024 to Apr 23, 2025
- State-registered IARs · 3 to 4Sep 6, 2024 to Apr 23, 2025
- Discretionary RAUM · $0 to $228MSep 6, 2024 to Apr 23, 2025
- HNW RAUM · unset to 148931961.0Sep 6, 2024 to Apr 23, 2025
- Individual RAUM · unset to 118073320.0Sep 6, 2024 to Apr 23, 2025
- Non-discretionary RAUM · $0 to $39.0MSep 6, 2024 to Apr 23, 2025
- RAUM · $0 to $267MSep 6, 2024 to Apr 23, 2025
Signals
2 dated events
- 2 advisors left Secure Asset Management, L.L.C. (Troy, MI) for Tradewell Tax & Financial on the same dayJan 24, 2025 · Team lift-out · derived
- Tradewell Securities, Llc filed its initial SEC registration (Form ADV)Jul 18, 2024 · 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@tradewelltax.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 260-490-2084reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/tradewell-tax-financialreportedpublic record, Form ADV, Sep 17, 2026
- Website
- TRADEWELLTAX.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 260-490-2084reportedpublic record, Form ADV, May 8, 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
- $55.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026