{"url":"https://nivawealth.com/firms/woodfield-financial-advisors-123279","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/123279","regulatoryAum":230069047,"crd":"123279","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1343000","suffix":null,"lastName":"DOBBS","firstName":"JAMES","middleName":"BLAKE"},{"crd":"6474899","suffix":null,"lastName":"KONSOR","firstName":"MARTIN","middleName":"MICHAEL"},{"crd":"1605450","suffix":null,"lastName":"MONSEN","firstName":"DONALD","middleName":"JOHN"}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2022-02-18","regulatoryAum":148662000,"clients":263,"employees":3,"offices":1},{"filedOn":"2023-03-17","regulatoryAum":133929104,"clients":207,"employees":3,"offices":1},{"filedOn":"2024-03-29","regulatoryAum":162654521,"clients":573,"employees":3,"offices":1},{"filedOn":"2025-02-20","regulatoryAum":186655848,"clients":369,"employees":3,"offices":1},{"filedOn":"2026-02-24","regulatoryAum":230069047,"clients":395,"employees":3,"offices":1}],"secFileNumber":"801-121330","legalName":"Woodfield Financial Advisors, Inc.","displayName":"Woodfield Financial Advisors","slug":"woodfield-financial-advisors-123279","website":"https://woodfieldfa.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Illinois corporation","fiscalYearEnd":"December","headquarters":{"street":"21660 W. Field Pkwy Suite 290","city":"Deer Park","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60010"},"tradeNames":["Woodfield Financial Advisors, Inc."],"registration":{"secApproved":"1 October 2021","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":529175.7180156658,"staff":{"employees":3,"advisory":3,"brokerDealerReps":0,"insuranceAgents":3,"promoters":0},"aum":{"regulatory":230069047,"discretionary":203740688,"discretionaryAccounts":384,"nonDiscretionary":26328359,"nonDiscretionaryAccounts":6,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":245,"regulatoryAum":41413369},{"label":"High-net-worth individuals","clients":138,"regulatoryAum":161260931},{"label":"Pension and profit-sharing plans","clients":6,"regulatoryAum":26328359},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":1066388},{"label":"Insurance companies","clients":6,"regulatoryAum":0}],"feePrograms":[{"role":"main","program":"Investment Advisory Agreement","feeBasis":"marginal","fee_tiers":[{"to":5000000,"pct":1,"from":0},{"to":10000000,"pct":0.8,"from":5000000},{"to":null,"pct":0.5,"from":10000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011657","versionId":1011657,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-02-24","documentName":"WOODFIELD FINANCIAL ADVISORS, INC. FIRM BROCHURE","fee_rate_low":0.5,"fee_rate_high":1,"fee_negotiable":false,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Hourly planning engagements","summary":"Limited-scope planning engagements are billed at $350 an hour.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011657","versionId":1011657,"submittedOn":"2026-02-24","documentName":"WOODFIELD FINANCIAL ADVISORS, INC. FIRM BROCHURE"},{"role":"other","program":"Single fee planning engagements","summary":"Pre-determined planning fees range from $600 to $15,000 depending on scope and complexity, payable only once the client is satisfied with the work.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011657","versionId":1011657,"submittedOn":"2026-02-24","documentName":"WOODFIELD FINANCIAL ADVISORS, INC. FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:40:06.167087+00:00","documents":[{"name":"WOODFIELD FINANCIAL ADVISORS, INC. FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011657","versionId":1011657,"submittedOn":"2026-02-24"}]},"custodians":[],"custodyNote":"Woodfield Financial Advisors does not have custody of client assets.","leadership":[{"name":"James Dobbs","title":"President and Secy Treasurer","crd":"1343000"},{"name":"James Dobbs","title":"Chief Compliance Officer","crd":"1343000"}],"ownership":[{"label":"James Dobbs","detail":"Chief compliance officer in the 75% or more ownership band and a control person, since February 1984. Also president and secy treasurer in the 75% or more ownership band and a control person, since February 1984."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Illinois","offices":1,"addresses":[{"street":"21660 W. Field Pkwy Suite 290","city":"Deer Park","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"847-726-9600","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"101-250","assetMix":[{"label":"U.S. government/agency bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":98},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"24 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/123279/PDF/123279.pdf","brochureDate":"24 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011657","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Woodfield Financial Advisors have?","answer":"Woodfield Financial Advisors has 395 clients and manages $230 million for them, as of February 2026. They include 245 individual clients, 138 high-net-worth individuals, and 6 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Woodfield Financial Advisors offer?","answer":"Woodfield Financial Advisors provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Woodfield Financial Advisors charge?","answer":"Woodfield Financial Advisors charges 0.50%–1.00% a year for its Investment Advisory Agreement. Each asset band is charged at its own rate. The fee is billed in arrears and is not negotiable.","source":"WOODFIELD FINANCIAL ADVISORS, INC. FIRM BROCHURE, filed 24 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"How many financial advisors does Woodfield Financial Advisors have?","answer":"Woodfield Financial Advisors has 0 investment adviser representatives registered with state securities authorities, out of 3 employees, and 3 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 3 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Woodfield Financial Advisors invest in?","answer":"At the end of its last fiscal year, Woodfield Financial Advisors’ separately managed accounts held 98% registered funds (mutual funds, ETFs, BDCs), 1% U.S. government and agency bonds and 1% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Woodfield Financial Advisors?","answer":"Woodfield Financial Advisors’ direct owner is James Dobbs (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 24 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Woodfield Financial Advisors get paid?","answer":"Woodfield Financial Advisors is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Woodfield Financial Advisors registered with the SEC?","answer":"Yes, Woodfield Financial Advisors has been registered with the SEC as an investment adviser since 1 October 2021. Its CRD number is 123279 and its SEC file number is 801-121330.","source":"Form ADV Part 1A, Item 1, filed 24 February 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Woodfield Financial Advisors?","answer":"Woodfield Financial Advisors’ main office is at 21660 W. Field Pkwy Suite 290, Deer Park, IL 60010. Its phone number is 847-726-9600. Its website is woodfieldfa.com.","source":"Form ADV Part 1A, Item 1.F, filed 24 February 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}