DFX Intelligence
Reading the graph
Reading the graph
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.
CRD 7995
DAVENPORT, IA
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 |
|---|---|---|---|---|---|---|
| P•••••• S••••••• H••••• | n/a | PORT BYRON, IL | DOWNERS GROVE, IL | 23 | 40 | n/a | yes |
| J••• R••••• D••••• | n/a | MOLINE, IL | DOWNERS GROVE, IL | 20 | 39 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A•• H•••••• L•• | Shareholder | E | yes | 08/2025 | Apr 13, 2026 | Apr 13, 2026 |
| S••••••• J•••• J•••••••• | SHAREHOLDER, CEO, BOARD MEMBER PRESIDENT, BOARD MEMBER SHAREHOLDER, BOARD MEMBER | Na | yes | 09/2023 | Apr 13, 2026 | Apr 13, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| B•••• B•••••• | n/a | n/a | n/a | N | no | n/a |
| B••••• A•••••••• L•• | n/a | State registered | n/a | N | no | n/a |
| B•••• M••••• |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| DOWNERS GROVE | IL | United States | 7 | yes |
| Naperville | IL | United States | 4 | yes |
| Schaumburg | IL | United States | 4 | yes |
| ST. CHARLES | IL | United States | 4 | yes |
| Batavia | IL | United States |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 11 | 3 | 8 | 1.6% | 5 | 3 | 0 | 70 | 10 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $3.7B | $2.1B | 74.9% | $1.7B | 30.8% | 306 | 405 | 111 | 24 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M•••••• S••••••••• A•••• M••••••••• L•• | 3 | Aug 13, 2025 | Aug 11, 2025 | OSAGE BEACH, MO | Team lift out | Ibd to RIA | 4.2% |
| O•••• W•••••• I••• | 4 | Jun 24, 2025 | Jun 30, 2025 |
| yes |
| J•••••• W•••••• P••••• | n/a | DOWNERS GROVE, IL | BETTENDORF, IA | 19 | 31 | 3 | yes |
| M•••••• P•••••• R••••• | n/a | DOWNERS GROVE, IL | HINSD•••, IL | 18 | 33 | 1 | yes |
| T••••• A•••••• D•••••• | n/a | DOWNERS GROVE, IL | GLENVIEW, IL | 17 | 36 | 2 | yes |
| D••••• J••• S••••••••• | Certified Financial Planner | ARLINGTON HEIGHTS, IL | ST. AUGUSTINE, FL | 17 | 34 | 1 | yes |
| M•••••• L••••••• H••• | Certified Financial Planner | DOWNERS GROVE, IL | SCHAUMBURG, IL | 17 | 28 | 1 | yes |
| T••••• D••• H••• | n/a | DOWNERS GROVE, IL | CHICAGO, IL | 17 | 40 | 1 | yes |
| J••••• G• A••••• | n/a | ARLINGTON HEIGHTS, IL | DOWNERS GROVE, IL | 17 | 34 | 1 | yes |
| K•••• J••••• N••••• | n/a | DOWNERS GROVE, IL | OAK BROOK, IL | 17 | 42 | 1 | yes |
| R•••• S••••••••• | n/a | ELK GROVE VILLAGE, IL | DOWNERS GROVE, IL | 17 | 33 | 1 | yes |
| D••••• E••••• D•••• | n/a | LOUISVILLE, KY | DOWNERS GROVE, IL | 17 | 35 | n/a | yes |
| C•••• A•••• W••••• | Certified Financial Planner | CHICAGO, IL | DOWNERS GROVE, IL | 17 | 26 | 1 | yes |
| D•••• L•• F••••••••• | Certified Financial Planner | ST CHARLES, IL | DOWNERS GROVE, IL | 17 | 50 | 2 | yes |
| T•• C• B••••• | n/a | DOWNERS GROVE, IL | JOLIET, IL | 17 | 39 | 2 | yes |
| R•••• O••• A••••••• | Certified Financial Planner | DOWNERS GROVE, IL | AURORA, IL | 17 | 35 | 1 | yes |
| T••• E•••••••• R••••••• | n/a | NAPERVILLE, IL | DOWNERS GROVE, IL | AURORA, IL | 17 | 25 | 2 | yes |
| P•••••• D••••• A•••••••• | n/a | DAYTONA BEACH, FL | DOWNERS GROVE, IL | 17 | 35 | 1 | yes |
| T••••••• R••••• G••••••• | Certified Financial Planner | PARK RIDGE, IL | DOWNERS GROVE, IL | 17 | 40 | 3 | yes |
| B•••• J•••• M••••• | Personal Financial Specialist | DOWNERS GROVE, IL | READING, PA | 17 | 25 | 1 | yes |
| P•••• K•••• | Chartered Financial Consultant | DOWNERS GROVE, IL | SYLVANIA, OH | 17 | 40 | 2 | yes |
| J••• J••• C•••• | n/a | DOWNERS GROVE, IL | SH•••INGTON, PA | 17 | 45 | 1 | yes |
| A••••• J••• P••••••• | n/a | Aurora, IL | ARLINGTON HEIGHTS, IL | 16 | 34 | 2 | yes |
| M•••••• C•••• S•••••• | n/a | DOWNERS GROVE, IL | Park Ridge, IL | 16 | 23 | 2 | yes |
| R••••• G••••• D••••• | n/a | DOWNERS GROVE, IL | 16 | 37 | 4 | yes |
| W•••••••• N••••• D•••• |
| CHIEF COMPLIANCE OFFICER |
| Na |
| yes |
| 05/2016 |
| Apr 13, 2026 |
| Apr 13, 2026 |
| H••••• J••• B•••• | DIRECTOR, SHAREHOLDER,VICE PRESIDENT, CORPORATE SECRETARY | B | yes | 07/2012 | Dec 22, 2011 | Sep 9, 2024 |
| R••••••• D•••• B•••• | CHAIRMAN, DIRECTOR, SHAREHOLDER,VICE PRESIDENT | B | yes | 07/2012 | Dec 22, 2011 | Sep 9, 2024 |
| S•••••••• S•••••• B•••• | Shareholder | Na | yes | 11/2010 | Dec 22, 2011 | Sep 9, 2024 |
| S•••••••• I•••• M• | Finop | Na | no | 07/2023 | Apr 13, 2026 | Apr 13, 2026 |
| B••••••• T•••••• S•••• | SHAREHOLDER, DIRECTOR | Na | no | 12/2022 | Dec 22, 2022 | Sep 9, 2024 |
| B••••••• T•••••• S•••• | DIRECTOR, OFFICER, OWNER | E | no | 12/2022 | Dec 22, 2022 | Sep 9, 2024 |
| J••••••• L•••• W•••• | Trustee | E | no | 02/2023 | Mar 31, 2023 | Sep 9, 2024 |
| J••••••• L•••• W•••• | SHAREHOLDER, TRUSTEE, DIRECTOR | Na | no | 02/2023 | Mar 31, 2023 | Sep 9, 2024 |
| L•••• W• J•••••• T•••• | Shareholder | B | no | 02/2023 | Mar 31, 2023 | Sep 9, 2024 |
| M••• H••• H••••••• C• | Shareholder | A | no | 12/2022 | Dec 22, 2022 | Sep 9, 2024 |
| S•••• W•••••• J••• E•••••• | Trustee | D | no | 02/2023 | Mar 31, 2023 | Sep 9, 2024 |
| S•••• W•••••• J••• E•••••• | SHAREHOLDER, TRUSTEE | Na | no | 02/2023 | Mar 31, 2023 | Sep 9, 2024 |
| W••••• F••••• T•••• | Shareholder | B | no | 02/2023 | Mar 31, 2023 | Sep 9, 2024 |
| W•••••• M•••••• R•• | SHAREHOLDER, TRUSTEE | Na | no | 02/2023 | Mar 31, 2023 | Sep 9, 2024 |
| W•••••• M•••••• R•• | Trustee | D | no | 02/2023 | Mar 31, 2023 | Sep 9, 2024 |
| W•••••• J•••••• A•• | Shareholder | A | no | 01/2011 | Dec 22, 2011 | Sep 9, 2024 |
| n/a |
| n/a |
| N |
| no |
| n/a |
| J••• K• J•••••• | n/a | n/a | n/a | N | no | n/a |
| J••• J•••• | n/a | n/a | n/a | N | no | n/a |
| M• B•••• F•••••••• A••••••• G•••• I•• | n/a | State registered | n/a | N | no | n/a |
| M••• H••• C•••••• H•••••• C••••••• L•• | n/a | n/a | n/a | N | no | n/a |
| R•••• A••••••• | n/a | n/a | n/a | N | no | n/a |
| yes |
| EAST PEORIA | IL | United States | 3 | yes |
| FT. W•••• | In | United States | 3 | no |
| Indianapolis | In | United States | 3 | yes |
| Kokomo | In | United States | 3 | yes |
| Kokomo | In | United States | 3 | yes |
| NORTH OAKS | Mn | United States | 3 | yes |
| Dallas | TX | United States | 3 | no |
| Bettendorf | Ia | United States | 2 | yes |
| Clinton | Ia | United States | 2 | yes |
| Joliet | IL | United States | 2 | yes |
| MCH•••• | IL | United States | 2 | yes |
| OAK BROOK | IL | United States | 2 | yes |
| ORLAND PARK | IL | United States | 2 | yes |
| Palatine | IL | United States | 2 | yes |
| Indianapolis | In | United States | 2 | yes |
| J••••••••VILLE | In | United States | 2 | yes |
| Munster | In | United States | 2 | yes |
| MAPLE GROVE | Mn | United States | 2 | yes |
| M••• H••• | Nc | United States | 2 | yes |
| Elkhorn | Ne | United States | 2 | yes |
| Omaha | Ne | United States | 2 | yes |
| n/a | n/a | n/a | 1 | yes |
| Apr 13, 2026 |
| $3.7B |
| $3.5B |
| 306 |
| 168 |
| 111 |
| n/a |
| n/a |
| 2024 | Apr 24, 2025 | $2.1B | $2.0B | 405 | 152 | 24 | n/a | n/a |
| 2023 | Mar 31, 2023 | $1.4B | $1.3B | 325 | 125 | 125 | n/a | n/a |
| 2022 | Mar 31, 2022 | $1.7B | $1.5B | 370 | 134 | 97 | n/a | n/a |
| 2021 | Mar 31, 2021 | $1.3B | $1.2B | 256 | 145 | 105 | n/a | n/a |
| 2020 | Apr 30, 2020 | $1.0B | $901M | 253 | 143 | 99 | n/a | n/a |
| 2019 | Mar 29, 2019 | $738M | $642M | 258 | 142 | 25 | n/a | n/a |
| 2018 | Apr 30, 2018 | $764M | $656M | 248 | 144 | 25 | n/a | n/a |
| 2017 | Apr 13, 2017 | $777M | $529M | 252 | 131 | n/a | n/a | n/a |
| 2016 | Apr 28, 2016 | $656M | $419M | 270 | 129 | n/a | n/a | n/a |
| 2015 | Mar 27, 2015 | $557M | $402M | 260 | 125 | n/a | n/a | n/a |
| 2014 | Apr 4, 2014 | $463M | $343M | 260 | 125 | n/a | n/a | n/a |
| 2013 | Feb 26, 2013 | $383M | $301M | 247 | 119 | n/a | n/a | n/a |
| 2012 | Mar 28, 2012 | $386M | $311M | n/a | n/a | n/a | n/a | n/a |
| S••••SD•••, AZ |
| Team lift out |
| Ibd to RIA |
| 0.1% |
| O•••• W•••••• I••• | 4 | Feb 20, 2025 | Mar 12, 2025 | CANFIELD, OH | Team lift out | Ibd to RIA | 0.1% |
| O•••• A••••••• S•••••••• L•• | 8 | Dec 5, 2024 | Jun 5, 2025 | ATLANTA, GA | Team lift out | Ibd to RIA | 2.3% |
| O•••• W•••••• I••• | 2 | Dec 5, 2024 | Dec 16, 2024 | BOYNTON BEACH, FL | Team lift out | Ibd to RIA | 0.0% |
| I•••••••• I••••••••• I••• | 10 | Nov 14, 2024 | Mar 3, 2026 | COLORADO SPRINGS, CO | Firm absorbed | RIA to RIA | 66.7% |
| C••••••••• S••••••••• L•• | 2 | Oct 6, 2015 | Sep 22, 2015 | OVERLAND PARK, KS | Team lift out | Other | 28.6% |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | 2 | Jun 4, 2015 | Jun 1, 2015 | EAST PEORIA, IL | Team lift out | Other | 0.1% |