DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 10b 100b

S••••• W••••• M•••••••••

S••••• CAPITAL, LLC, CRD 107271

ROCKFORD, IL

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Data as of Jul 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 509
Dated events: 80
On other graphs: 1
Observed: Dec 15, 2011 to Jul 30, 2026
116 observations

Right now

one signal names this record (all ria / wealth signals)

#1NewDerived metricAdvisor Recruiting Intelligence

••• Locked

Dated 2026-09-14 (filing); first seen by DFX 2026-09-15.

Exposure: exposure unknown
Who this matters to: RIA aggregators, Advisor recruiters +2
Historical: not a measured predictor

S••••• W••••• M••••••••• · destination firm

Advisor Recruiting IntelligenceSep 14, 2026 · seen 8 days ago

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

S••••• W••••• M•••••••••

Intermediary · key_crd, shared_crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.88 fund_share=0.06 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $56B••• Locked
Discretionary RAUM: $55B
Private client RAUM: $49Bderived••• Locked
Private client share: 88%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 399
RAUM per advisor: $139Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B•••• R•••••• B•••••••	Certified Financial Planner\|Chartered Financial Analyst	ROCKFORD, IL	28	35	n/a	no
R•••••• J•• R••••••	n/a	ROCKFORD, IL \| South Portland, ME \| SOUTH PORTLAND, ME	23	38

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• M•••••••• M•••	CHIEF COMPLIANCE OFFICER	Na	yes	05/2020	Jul 30, 2026	Jul 30, 2026
B•••••••• B••••• R••••••	FOUNDER & CHIEF EXECUTIVE OFFICER	Na	yes	01/1995	Jul 30, 2026	Jul 30, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••• G••• L••	n/a	n/a	n/a	Y	yes	n/a
S••••• L•••• L••	n/a	n/a	n/a	N	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Birmingham	Al	United States	22	no
Lincolnshire	IL	United States	22	no
Middleton	Wi	United States	19	no
Atlanta	Ga	United States	12	no
CEDAR RAPIDS	Ia	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
51	7	44	1.8%	5	2	0	136	28

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	$56B	$29B	91.3%	$13B	60.6%	659	565	65	42

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S•••• F•••••••• G••••• L••	2	Sep 14, 2026	Sep 1, 2026	CORNING, NY	Team lift out	RIA to RIA	100.0%
D•••••• W••••• M••••••••• I•••	2	Jun 12, 2026	May 5, 2026

Relationships

showing 80 of 509

Registered with (70)

← M•••••• B•••• M•••••Advisorregistration: current employment
Sep 22, 2026 to presentfactForm ADV
← C•••• J••••• C•••••••Advisorregistration: current employment
Sep 22, 2026 to presentfactForm ADV
← K••• W•••••• G•••••••••Advisorregistration: current employment
Sep 18, 2026 to presentfactForm ADV
← J•••• E•••••• Z••••• C•••••

Dated events

12 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
30 Apr 2026
Regulatory AUM changed
••• Locked
Form ADV
$11.4B
Occurred
14 Sep 2026
Team lift-out
••• Locked
Form ADV
2 advisors
Occurred
30 Jul 2026
Ria principal change4 events
S••••• W••••• M•••••••••: ria principal change, 4 events, on 30 Jul 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
4 Aug 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
30 Jul 2026
Ria indirect owner change5 events
S••••• W••••• M•••••••••: ria indirect owner change, 5 events, on 30 Jul 2026
- ••• Locked
- ••• Locked
- ••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 15, 2011
Last observed: Jul 30, 2026 55 days 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.

All 25 rows

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
G•••• W•••••• M••••	Certified Financial Planner	ROCKFORD, IL	18	19	n/a	no
B•••• J•• K••••	Certified Financial Planner	ROCKFORD, IL	18	18	n/a	no
J•••• C• L•••••••	Certified Financial Planner\|Chartered Financial Consultant	ROCKFORD, IL	16	16	n/a	no
E•••••••• N••• M••••••••	Certified Financial Planner	ROCKFORD, IL	16	21	n/a	no
D•••• R•• D••••	Certified Financial Planner	Peoria, IL \| ROCKFORD, IL	16	40	2	no
S•••• F•••••• D•••••	Certified Financial Planner	ROCKFORD, IL	15	18	1	no
M•••••• D•••• A••••••••	Certified Financial Planner	ROCKFORD, IL	15	15	n/a	no
G•••••• G•••••••	Certified Financial Planner	ST. C••••••, IL \| ROCKFORD, IL	15	18	2	no
R••• G•••••• M••••••	Certified Financial Planner\|Chartered Financial Consultant	ROCKFORD, IL	14	11	n/a	no
K•••• M•••••• H•••••••	Certified Financial Planner\|Chartered Financial Analyst	ROCKFORD, IL	14	11	n/a	no
D•••• A••••• C•••••	Certified Financial Planner	ROCKFORD, IL	13	28	n/a	no
R•••••• P••• B•••••	Certified Financial Planner\|Chartered Financial Consultant	ROCKFORD, IL	13	20	n/a	no
S•••• R•••• R•••••••••	n/a	ROCKFORD, IL	12	14	n/a	no
M•••••• T••••• C•••	Certified Financial Planner	ROCKFORD, IL	11	11	n/a	no
K•••• J•••••• P•••••••	Certified Financial Planner	NAPERVILLE, IL \| ROCKFORD, IL	11	14	1	no

All 21 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• P••••••• C••••	Manager	F	yes	04/2023	Oct 21, 2016	Dec 26, 2024
B•••• J•••• G•••	Manager	F	yes	04/2023	Mar 21, 2022	Dec 26, 2024
B•••••••• B••••• R••••••	Shareholder	E	yes	01/1995	Dec 15, 2011	Dec 26, 2024
C••••••• C••••••••• L•••••••	Manager	F	yes	04/2023	Mar 21, 2022	Dec 26, 2024
D•••••• P••••• J•••	Manager	F	yes	12/2024	Dec 26, 2024	Dec 26, 2024
D•••••• S••••••• C••••••	Manager	F	yes	04/2023	Mar 21, 2022	Dec 26, 2024
J•••••••• C••••••• D•••	Manager	F	yes	04/2023	Mar 21, 2022	Dec 26, 2024
R••••• D•••••• S••••	CHIEF FINANCIAL OFFICER	Na	yes	12/2024	Oct 4, 2012	Dec 26, 2024
S•••• I••• F•• S••••• C•••••• M••••••••• I•••	MEMBER - A SHARES	E	yes	04/2023	Oct 21, 2016	Dec 26, 2024
S••••• S••••••• H••••••	Manager	F	yes	09/2023	Oct 31, 2023	Dec 26, 2024
T•••••• R••••••• K••••	Manager	F	yes	04/2023	Oct 21, 2016	Dec 26, 2024

All 30 rows

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	5	no
Naperville	IL	United States	5	no
Plymouth	Mi	United States	5	no
Vienna	Va	United States	5	no
Madison	Wi	United States	5	no
Fullerton	CA	United States	4	no
Dover	De	United States	4	no
Freeport	IL	United States	4	no
Indianapolis	In	United States	4	no
Wellesley	Ma	United States	4	no
SATELLITE BEACH	FL	United States	3	no
DOWNERS GROVE	IL	United States	3	no
Peoria	IL	United States	3	no
Doylestown	Pa	United States	3	no
Wyomissing	Pa	United States	3	no
York	Pa	United States	3	no
IOWA CITY	Ia	United States	2	no
Bloomington	IL	United States	2	no
Chicago	IL	United States	2	no
Louisville	Ky	United States	2	no

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 28, 2016	$4.2B	$4.2B	136	44	n/a	n/a	n/a
2014	Mar 30, 2015	$4.1B	$4.1B	117	34	n/a	n/a	n/a
2013	Mar 25, 2014	$3.6B	$3.6B	102	34	n/a	n/a	n/a
2012	Mar 27, 2013	$2.9B	$2.9B	90	34	n/a	n/a	n/a
2011	Mar 26, 2012	$2.0B	$2.0B	n/a	n/a	n/a	n/a	n/a

All 20 rows

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
K••• F•••••••• M••••••••• L••	3	Oct 4, 2024	Oct 2, 2024	FULLERTON, CA	Firm absorbed	RIA to RIA	75.0%
S•••••• A••••••• P•••••••• L••	2	Oct 2, 2024	Jan 1, 2025	LOUISVILLE, KY	Team lift out	RIA to RIA	100.0%
F•••••••• F••••••••	3	Jul 1, 2024	May 28, 2024	SATELLITE BEACH, FL	Firm absorbed	Other	100.0%
B••••••••• W••••• M•••••••••	20	Mar 19, 2024	Jan 10, 2024	BIRMINGHAM, AL	Firm absorbed	RIA to RIA	80.0%
S••••••••• W••••• M••••••••• L••	2	Feb 22, 2024	Dec 7, 2023	CLINTON, SC	Team lift out	RIA to RIA	100.0%
W••••• M••••••••• G••••	5	Aug 18, 2023	Jul 28, 2023	DOVER, DE	Firm absorbed	RIA to RIA	100.0%
D••••• W•••••• L••	18	Aug 4, 2023	May 15, 2023	LANCASTER, PA	Firm absorbed	RIA to RIA	100.0%
C•••••• D••••••••• L••	9	Apr 25, 2023	Apr 20, 2023	ATLANTA, GA	Firm absorbed	RIA to RIA	69.2%
S•• I••••••••• A•••••••• I•••	3	Dec 31, 2022	Nov 2, 2022	DOYLESTOWN, PA	Firm absorbed	RIA to RIA	100.0%
W•••• T•••• F•••••••• P••••••• S•••••••• L•••	8	Dec 31, 2022	Oct 4, 2022	CEDAR RAPIDS, IA	Firm absorbed	RIA to RIA	100.0%