DFX Intelligence

S••••• I••••••••• M•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

S••••• I••••••••• M•••••••••

S••••• I••••••••• M•••••••••, LLC, CRD 158489

C••••••, IL

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Search this name across graphsid dfx:ria:140c364a-7e67-177f-4757-a4fb22b11f77

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 2
On other graphs: 0
Observed: May 20, 2021 to Mar 24, 2026
15 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.78 fund_share=0.0 institutional_share=0.22 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $903M••• Locked
Discretionary RAUM: $903M
Private client RAUM: $704Mderived••• Locked
Private client share: 78%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $226Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• C••••• W••••••	Chartered Financial Analyst	C••••••, IL	15	15	1	no
N••• P••••• H•••••	Certified Financial Planner\|Chartered Financial Analyst	C••••••, IL	11	15

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• L••	Member	E	yes	12/2018	May 20, 2021	Oct 1, 2024
C•••••• C••• L••	Member	E	yes	05/2019	May 20, 2021	Oct 1, 2024
C•••••• C••••••• L••

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
V••••••• C•••••• M••••••••• L•••••	n/a	Former SEC adviser	$263M	N	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Joliet	IL	United States	4	no
LA SALLE	IL	United States	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 24, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$903M	$832M	8.6%	$458M	25.4%	9	10	2	3

Relationships

Affiliated with (2)

→ V••••••• C•••••• M••••••••• L•••••Registered adviserother investment adviser
factForm ADV
← V••••••• C•••••• M••••••••• L•••••Registered adviserother investment adviser, control, common control
factForm ADV

Registered with (5)

← P••••• S• S•••••Advisorregistration: current employment
May 23, 2025 to presentfactForm ADV
← J•••• P•••• V••••

Dated events

Occurred
Mar 26, 2024
Regulatory AUM changed
S••••• I••••••••• M••••••••• reported RAUM $715.8M, up 56% from $457.9M (2023-04-24 to 2024-03-26)
Form ADVobserved 7 days ago
$258M
Occurred
May 20, 2021
First Form ADV filing
S••••• I••••••••• M••••••••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:140c364a-7e67-177f-4757-a4fb22b11f77
First observed: May 20, 2021
Last observed: Mar 24, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.