DFX Intelligence

L•••••• A••••••• G••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserInstitutional managerSEC registeredRAUM 1b 10b

L•••••• A••••••• G••••• L••

CRD 114003

CHICAGO, IL

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Search this name across graphs

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 24
On other graphs: 0
Observed: Mar 30, 2012 to Mar 24, 2026
22 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: institutional managerderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $3.2B••• Locked
Discretionary RAUM: $3.2B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• S••••• M•••••	CHIEF COMPLIANCE OFFICER	Na	yes	09/2017	Sep 8, 2017	Mar 28, 2024
C••••• J••••• D•••••	SOLE MEMBER	E	yes	03/2005	Apr 7, 2023	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L•• R••••• A••••••• I• L••	n/a	Institutional manager	$1.6B	N	yes	n/a
L•••••• I••••••••• A••••••• L••	n/a	Former SEC adviser	$0	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	11	no

Regulatory AUM by fiscal year

••• Locked

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

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	$3.2B	$3.2B	2.3%	$2.9B	3.6%	11	10	0	0

Relationships

Affiliated with (4)

→ L•• R••••• A••••••• I• L••Registered adviserother investment adviser, common control
factForm ADV
→ L•••••• I••••••••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← L•• R••••• A••••••• I• L••Registered adviserother investment adviser, common control
factForm ADV
← L•••••• I••••••••• A••••••• L••Registered adviserother investment adviser, common control

Dated events

Order

Occurred
24 Mar 2026
Ria indirect owner change10 events
L•••••• A••••••• G••••• L••: ria indirect owner change, 10 events, on 24 Mar 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
24 Mar 2026
Ria office closed
••• Locked
Form ADV
Occurred
25 Apr 2025
Ria hq relocated
••• Locked
Form ADV
Occurred
7 Apr 2023
Control person joined5 events
L•••••• A••••••• G••••• L••: control person joined, 5 events, on 7 Apr 2023
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
3 Mar 2023
Regulatory AUM changed
••• Locked
Form ADV
$624M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2012
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.

All 23 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R•••• P••••••• C•••••• H••••••• L•	Owner	E	yes	02/2023	Mar 3, 2023	Mar 28, 2024
R•••• P••••••• C•••••• I••••••••• L••	Owner	E	yes	02/2023	Mar 3, 2023	Mar 28, 2024
R•••• P••••••• H••••••• G• L••	GENERAL PARTNER	F	yes	02/2023	Mar 3, 2023	Mar 28, 2024
S• T•••••• V•• L••	GENERAL PARTNER	F	yes	02/2023	Apr 7, 2023	Mar 28, 2024
T•••••• C•••••• I• L•	GENERAL PARTNER	F	yes	02/2023	Mar 3, 2023	Mar 28, 2024
T•••••• C•••••• I• L•	GENERAL PARTNER	F	yes	02/2023	Mar 3, 2023	Mar 28, 2024
T•••••• C•••••• I• L•	GENERAL PARTNER	F	yes	02/2023	Mar 3, 2023	Mar 28, 2024
T•••••• R•••• H••••••• L•	Member	E	yes	02/2023	Mar 3, 2023	Mar 28, 2024
W••••••• D••••• J••	SOLE MEMBER	E	yes	03/2005	Apr 7, 2023	Mar 28, 2024
Z•••••• N••••••• D••••	SOLE MEMBER	E	yes	11/2006	Apr 7, 2023	Mar 28, 2024
T••• P••••••• R•• C••••• L•	LIMITED PARTNER	C	no	02/2023	Mar 3, 2023	Mar 28, 2024
T•••••• I• L•	LIMITED PARTNER	C	no	02/2023	Mar 3, 2023	Mar 28, 2024
T•••••• R•••• H••••••• L••	LIMITED PARTNER	E	no	02/2023	Mar 3, 2023	Mar 28, 2024

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 30, 2016	$785M	$785M	6	3	n/a	n/a	n/a
2014	Mar 30, 2015	$735M	$735M	7	4	n/a	n/a	n/a
2013	Mar 28, 2014	$695M	$695M	6	4	n/a	n/a	n/a
2012	Mar 21, 2013	$520M	$520M	6	3	n/a	n/a	n/a
2011	Mar 30, 2012	$570M	$570M	n/a	n/a	n/a	n/a	n/a