DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 100m 1b

I••••••••• C•••••• A•••••••• L••

CRD 161281

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:28992d03-483f-26fd-7741-743b95cf3226

Data as of Jan 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 4
On other graphs: 0
Observed: May 24, 2012 to Jan 29, 2026
24 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: $619M••• Locked
Discretionary RAUM: $619M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••••• P••••• S•••••••	MEMBER AND CHIEF COMPLIANCE OFFICER	C	yes	03/2012	May 24, 2012	Aug 8, 2024
O••••• D••••• E••••••	Member	C	yes	08/2002	May 24, 2012	Aug 8, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Leawood	Ks	United States	2	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	$619M	$629M	-1.6%	$661M	-2.2%	7	7	1	1

Relationships

Controls (2)

← M••••••••• P••••• S•••••••OwnerMEMBER AND CHIEF COMPLIANCE OFFICER, ownership code C, individual
May 24, 2012 to Aug 8, 2024factForm ADV
← O••••• D••••• E••••••OwnerMEMBER, ownership code C, individual
May 24, 2012 to Aug 8, 2024factForm ADV

Dated events

Occurred
Feb 4, 2021
Control person left
Stewart Kevin Ellis (Member) no longer on Schedule A of I••••••••• C•••••• A•••••••• L•• (listed 2020-02-18, absent 2021-02-04)
Form ADVobserved 7 days ago
Occurred
Feb 18, 2020
Regulatory AUM changed
I••••••••• C•••••• A•••••••• L•• reported RAUM $504.8M, up 31% from $385.3M (2019-03-04 to 2020-02-18)
Form ADVobserved 7 days ago
$119M
Occurred
Mar 4, 2019
Control person left
Alan David Dillon (Member) no longer on Schedule A of I••••••••• C•••••• A•••••••• L•• (listed 2018-08-27, absent 2019-03-04)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:28992d03-483f-26fd-7741-743b95cf3226
First observed: May 24, 2012
Last observed: Jan 29, 2026 7 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.