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••••••• A•••• L••
Latest filing May 4, 2026
First filing on the tape Dec 16, 2025 · 5 filings
SEC status approved since Dec 8, 2025
RAUM
$249M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$249M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$125M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$249M as of May 4, 2026
Dec 16, 2025$0 then
HNW client RAUM$21.4M as of May 4, 2026
Dec 16, 2025$0 then
State-registered IARs (5.B.3)2 as of May 4, 2026
Dec 16, 20250 then
Employees (5.A)2 as of May 4, 2026
Dec 16, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 4, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $125MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $420,054derivedHNW RAUM over HNW clients
- Average account
- $472,495derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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 assetsreportedItem 5.E
- Advisory activities
- 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
- is an insurance broker or agent (6.A.6)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$228M91%
- High-net-worth individuals$21.4M8.6%
- Individual clients
- 69reported
- HNW clients
- 51reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 528reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W••••• R••••• P••••••••Certified Financial Planner, Chartered Financial Analyst | Dallas, Tx | Dec 16, 2025 | 21 y | 5 |
| K••••••• A••• V•••••Certified Financial Planner | Dallas, Tx | Jan 7, 2026 | 17 y | 4 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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
- K••••••• A••• V••••• from F••••••••• W••••• L••Jan 7, 2026 · RIA to a newly registered adviser
- W••••• R••••• P•••••••• from F••••••••• W••••• L••Dec 16, 2025 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••••• W•••••• R••••• · Managing Member / Ccocontrolsince 10/2025 · 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 |
|---|---|---|---|---|---|
| Dallas, Tx | 2 | 2 | 0 | ||
| Richardson, Tx · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 528Jan 14, 2026 to Mar 24, 2026
- Advisory employees · 1 to 2Jan 14, 2026 to Mar 24, 2026
- HNW clients · 0 to 51Jan 14, 2026 to Mar 24, 2026
- Individual clients · 0 to 69Jan 14, 2026 to Mar 24, 2026
- Employees · 1 to 2Jan 14, 2026 to Mar 24, 2026
- Financial planning clients · to 0Jan 14, 2026 to Mar 24, 2026
- HQ city · DALLAS to RICHARDSONJan 14, 2026 to Mar 24, 2026
- State-registered IARs · 0 to 2Jan 14, 2026 to Mar 24, 2026
- Discretionary RAUM · $0 to $249MJan 14, 2026 to Mar 24, 2026
- HNW RAUM · $0 to $21.4MJan 14, 2026 to Mar 24, 2026
- Individual RAUM · $0 to $228MJan 14, 2026 to Mar 24, 2026
- RAUM · $0 to $249MJan 14, 2026 to Mar 24, 2026
Signals
No event on the tape.
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
- Website
- northillaims.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (972) 480-6202reportedpublic record, Form ADV, May 4, 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
- $125Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026