DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

I•••••• I••••••••• A••••••• L••

CRD 104885

DOWNERS GROVE, IL

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Search this name across graphsid dfx:ria:3724aa10-d3ab-fb25-f60e-53576327bc9a

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 56
Dated events: 17
On other graphs: 0
Observed: Mar 28, 2012 to Mar 24, 2026
40 observations

Across DFX

owners resolved from Schedule A/B to their own records, measured by hand

Private Equityowner

I•••••• A•••••••• I•••

schedule ab owner name equals pe organization name · confidence 50%

Facts

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

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=3.0
Regulatory AUM: $4.4B••• Locked
Discretionary RAUM: $4.4B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 27

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• G••••	M•••••• (DIRECTOR)	Na	yes	12/2023	Mar 20, 2024	Nov 25, 2024
F••••••• C••••• S•	M•••••• (DIRECTOR), VICE PRESIDENT	Na	yes	06/2010	Mar 20, 2024	Nov 25, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I•••••• C•••••• M••••••••• L••	n/a	ASSET_M••••••	$941B	N	yes	n/a
I•••••• A•••••••• I•••	n/a	ASSET_M••••••	$750B	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Atlanta	Ga	United States	1	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	$4.4B	$4.6B	-5.6%	$5.6B	-8.1%	27	28	3	4

Relationships

Affiliated with (41)

← I•••••• H••• K••• L••••••Registered adviserother investment adviser, common control
factForm ADV
← I•••••• C•••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← I•••••• M•••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← I•••••• A•••••••• I•••Registered adviserother investment adviser, control, common control

Dated events

Occurred
Mar 20, 2024
Control person left
Mark John Zerr (Director) no longer on Schedule A of I•••••• I••••••••• A••••••• L•• (listed 2023-04-11, absent 2024-03-20)
Form ADVobserved 7 days ago
Occurred
Mar 20, 2024
Control person left
Ryan Andrew Schlossberg (Director) no longer on Schedule A of I•••••• I••••••••• A••••••• L•• (listed 2023-04-11, absent 2024-03-20)
Form ADVobserved 7 days ago
Occurred
Mar 20, 2024
Control person joined
G•••• B•••••••• (Manager (Director)) appeared on Schedule A of I•••••• I••••••••• A••••••• L••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3724aa10-d3ab-fb25-f60e-53576327bc9a
First observed: Mar 28, 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.

Controls (14)

← F••••••• C••••• S•OwnerM•••••• (DIRECTOR), VICE PRESIDENT, ownership code NA, individual
Mar 20, 2024 to Nov 25, 2024factForm ADV
← B••••••••• G••••OwnerM•••••• (DIRECTOR), ownership code NA, individual
Mar 20, 2024 to Nov 25, 2024factForm ADV
← H•••••••• B••••• C•••••••••OwnerPRESIDENT, M•••••• (DIRECTOR), ownership code NA, individual
Mar 3, 2021 to Nov 25, 2024factForm ADV
← H••••••• T•••••• B•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 25, 2018 to Nov 25, 2024factForm ADV
← R••••••• M••••••OwnerSECRETARY, ownership code NA, individual
Mar 30, 2023 to Nov 25, 2024factForm ADV
← H•••••• A•••OwnerM•••••• (DIRECTOR), ownership code NA, individual
Mar 20, 2024 to Nov 25, 2024factForm ADV
← V•••••••• T••••• G•••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 29, 2022 to Nov 25, 2024factForm ADV
← I•••••• A•••••••• I•••OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Mar 28, 2012 to Nov 25, 2024factForm ADV
← I•••••• G•••• S•••••••• I•••OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Mar 28, 2012 to Nov 25, 2024factForm ADV
← I•••••• H•••••• C•••••• •••• I•••OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Oct 5, 2016 to Nov 25, 2024factForm ADV
← I•••••• H•••••• C•••••• L••••••OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Mar 28, 2012 to Nov 25, 2024factForm ADV
← I•••••• L••OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Mar 28, 2012 to Nov 25, 2024factForm ADV
← O••••••••• A••••••••• C•••• •••••OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Jun 21, 2019 to Nov 25, 2024factForm ADV
← O••••••••• I••• •••OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Jun 21, 2019 to Nov 25, 2024factForm ADV