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
R• W••••• M••••••••• P•••••••
Legal name R• C•••••• S••••••••• L••
Latest filing Apr 1, 2026
First filing on the tape Nov 19, 2025 · 4 filings
SEC status approved since Dec 1, 2025
RAUM
$236M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$236M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$78.7M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$236M as of Apr 1, 2026
Nov 19, 2025$0 then
HNW client RAUM: $103M
State-registered IARs (5.B.3)3 as of Apr 1, 2026
Nov 19, 20253 then
Employees (5.A)3 as of Apr 1, 2026
Nov 19, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $78.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 143derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $267,313derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%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
- 1.0derived3 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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, publications, educational seminarsreportedItem 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
- Individuals$133M56%
- High-net-worth individuals$103M44%
- Individual clients
- 400reported
- HNW clients
- 30reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 883reported
- Financial planning clients
- 0reported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• C•••••• P••••••• | Lincoln, Ne | Dec 1, 2025 | 17 y | 4 |
| T••••• N• L••••••••• | Lincoln, Ne | Dec 1, 2025 | 15 y | 3 |
| R••••• J• R••••Certified Financial Planner, Chartered Financial Consultant | Lincoln, Ne | Dec 1, 2025 | 28 y | 2 |
Advisor movement
0 left, 3 joined in 12 months
net +3 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••••• C•••••• P••••••• from P••••••• W••••• M•••••••••Dec 1, 2025 · RIA to a newly registered adviser
- T••••• N• L••••••••• from P••••••• W••••• M•••••••••Dec 1, 2025 · RIA to a newly registered adviser
- R••••• J• R•••• from P••••••• W••••• M•••••••••Dec 1, 2025 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from P••••••• W••••• M•••••••••Mar 31, 2026 · Lincoln, Ne
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.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lincoln, Ne · principal | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 883Mar 17, 2026 to Apr 1, 2026
- HNW clients · unset to 30.0Mar 17, 2026 to Apr 1, 2026
- Individual clients · unset to 400.0Mar 17, 2026 to Apr 1, 2026
- Employees · 4 to 3Mar 17, 2026 to Apr 1, 2026
- Insurance-licensed employees · 3 to 0Mar 17, 2026 to Apr 1, 2026
- Discretionary RAUM · $0 to $220MMar 17, 2026 to Apr 1, 2026
- HNW RAUM · unset to 102854310.0Mar 17, 2026 to Apr 1, 2026
- Individual RAUM · unset to 133182965.0Mar 17, 2026 to Apr 1, 2026
- Non-discretionary RAUM · $0 to $16.5MMar 17, 2026 to Apr 1, 2026
- RAUM · $0 to $236MMar 17, 2026 to Apr 1, 2026
- Related adviser · true to falseMar 17, 2026 to Apr 1, 2026
- Employees · 3 to 4Nov 19, 2025 to Jan 2, 2026
Signals
1 dated events
- 2 advisors left P••••••• W••••• M••••••••• (Lincoln, NE) for R• W••••• M••••••••• P••••••• on the same dayMar 31, 2026 · Team lift-out · derived
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
- 402-489-9375reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 402-489-0941reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- r•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 402-489-9375reportedpublic record, Form ADV, Apr 1, 2026
- Contact form
- r•••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- r•••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $78.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026