DFX Intelligence
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CRD 162442
OAKBROOK, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| L••• J•••• N•••• | n/a | OAKBROOK, IL | CHICAGO, IL | 20 | 22 | n/a | yes |
| B••• R•••••• B•••• | n/a | OAKBROOK, IL | CHICAGO, IL | Brentwood, TN | 15 | 30 |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| R••••••••• M••••••• L•• | n/a | $13.1M | Jun 16, 2026 | 60 | Jun 16, 2026 | reported | 021-2045460 |
| R••••••••• S••• L•• | Venture Capital Fund | $1.8M |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| E••••••••• C•••••• R••••• | CHIEF FINANCIAL OFFICER | Na | yes | 01/2023 | Jun 16, 2026 | Jun 16, 2026 |
| J••••••• P••••••• E••••• | President | Na | yes | 07/2023 | Jun 16, 2026 | Jun 16, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| R••••••••• I••••••••• L•• | n/a | Independent wealth | $2.8B | Y | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 8 | 0 | 8 | 0.0% | 1 | 0 | 0 | 14 | 4 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.7B | $751M | 126.0% | $606M | 41.0% | 27 | 22 | 2 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| P••••••• W••••• M••••••••• L•• | 3 | Sep 5, 2023 | Sep 6, 2023 | OAKBROOK, IL | Team lift out | RIA to RIA | 16.7% |
| H••• I••••••••• S•••••••• L•• | 10 | Aug 9, 2023 | Aug 18, 2023 |
| yes |
| J•••• A•••• F••••• | n/a | OAKBROOK, IL | CHICAGO, IL | 14 | 22 | 3 | yes |
| T•••• D•••• Q••••• | Certified Financial Planner | OAKBROOK, IL | 14 | 25 | 2 | yes |
| A••••• C•••• A••••• | n/a | OAKBROOK, IL | 14 | 21 | 3 | yes |
| K••• J•••• D••••••••• | n/a | OAKBROOK, IL | 13 | 16 | 2 | yes |
| C••••• R••••• E•••••••• | n/a | OAK BROOK, IL | OAKBROOK, IL | 10 | 11 | 1 | yes |
| J••• J•••• M•••••• | n/a | OAKBROOK, IL | 10 | 12 | 1 | no |
| G•••••••• R••• K••• | n/a | OAKBROOK, IL | 8 | 19 | n/a | no |
| P•••••• E••••• J•••••• | n/a | OAKBROOK, IL | OAK BROOK, IL | 7 | 32 | n/a | yes |
| J••••••• S••••• K••••• | Chartered Financial Consultant | OAKBROOK, IL | 7 | 37 | n/a | yes |
| J•••• R• D••••• | Certified Financial Planner | OAKBROOK, IL | 6 | 12 | 1 | yes |
| D••••• A• K•••• | n/a | OAKBROOK, IL | 5 | 17 | n/a | no |
| S•••••• J•••• M•••••••• | n/a | OAKBROOK, IL | 3 | 14 | n/a | no |
| J••• D•••••• N••••••• | n/a | OAKBROOK, IL | 2 | 24 | n/a | no |
| J••• W••••• R••••••• | Certified Financial Planner | OAKBROOK, IL | 2 | 12 | 1 | no |
| E•••• M•••••• S•••••• | Certified Financial Planner | OAKBROOK, IL | 1 | 10 | 4 | yes |
| J••••••••• P•••••• S••••• | n/a | CHICAGO, IL | OAKBROOK, IL | 1 | 14 | 4 | yes |
| C••••• L••••• | n/a | OAKBROOK, IL | CHICAGO, IL | 1 | 10 | 1 | yes |
| T••••• M••••••• O••••• | n/a | OAKBROOK, IL | 1 | 19 | 3 | yes |
| M•••••• J• A•••• | Certified Financial Planner | OAKBROOK, IL | 1 | 15 | 1 | yes |
| S••••• R•••••• M•••••• | Certified Financial Planner|Chartered Financial Analyst | OAKBROOK, IL | 1 | 12 | 4 | yes |
| S••••• R••• N••••• | Chartered Financial Analyst | OAKBROOK, IL | 0 | 17 | 2 | no |
| M•••••• J•••• C•••••• | n/a | OAKBROOK, IL | 0 | 29 | 2 | no |
| S••• M•••••• C••••• | Certified Financial Planner | OAKBROOK, IL | 0 | 22 | 2 | no |
| 25 |
| Dec 4, 2024 |
| reported |
| 021-2045460 |
| Owner |
| E |
| yes |
| 07/2023 |
| Jun 16, 2026 |
| Jun 16, 2026 |
| S••••••••• G•••• J••••• | Cco | Na | no | 03/2012 | Jun 16, 2026 | Jun 16, 2026 |
| Mar 30, 2026 |
| $1.7B |
| $1.7B |
| 27 |
| 23 |
| 2 |
| 2 |
| n/a |
| 2024 | Apr 29, 2025 | $751M | $707M | 22 | 14 | 0 | 1 | n/a |
| 2023 | Mar 25, 2024 | $616M | $616M | 17 | 9 | 0 | n/a | n/a |
| 2022 | Mar 31, 2023 | $606M | $536M | 35 | 25 | 1 | n/a | n/a |
| 2021 | Mar 22, 2022 | $622M | $549M | 22 | 17 | 2 | n/a | n/a |
| 2020 | Mar 30, 2021 | $511M | $447M | 25 | 25 | 3 | n/a | n/a |
| 2019 | Mar 26, 2020 | $348M | $284M | 18 | 13 | 1 | n/a | n/a |
| 2018 | Mar 22, 2019 | $355M | $285M | 16 | 12 | 2 | n/a | n/a |
| 2017 | May 2, 2018 | $372M | $301M | 17 | 12 | 1 | n/a | n/a |
| 2016 | Mar 21, 2017 | $282M | $221M | 19 | 14 | n/a | n/a | n/a |
| 2015 | Mar 29, 2016 | $213M | $157M | 18 | 17 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $205M | $149M | 5 | 4 | n/a | n/a | n/a |
| 2013 | Mar 22, 2014 | $173M | $153M | 5 | 4 | n/a | n/a | n/a |
| 2012 | Apr 5, 2013 | $122M | $107M | 5 | 4 | n/a | n/a | n/a |
| OAKBROOK, IL |
| Team lift out |
| RIA to new firm |
| 35.7% |