DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

B••• O•• D•••••• I••••••••• T•••• A••••••• L••

CRD 337770

CHICAGO, IL

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Search this name across graphsid dfx:ria:3990768b-e4c9-f414-27d3-c71fc0482982

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jul 10, 2025 to Mar 31, 2026
3 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: asset managerderivedprivate_client_share=0.0 fund_share=0.77 institutional_share=0.23 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: 130

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••• O•• D•••••• I•••••••••	Member	E	yes	06/2025	Mar 31, 2026	Mar 31, 2026
H••••• K••••• N••	CHIEF COMPLIANCE OFFICER	Na	yes	06/2025	Mar 31, 2026	Mar 31, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$4.4B	$4.4B	130	130	9	n/a	n/a

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	n/a	n/a	n/a	n/a	130	n/a	9	n/a

Relationships

Controls (6)

← R••••• N••••• A••OwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Mar 31, 2026 to presentfactForm ADV
← B••• O•• D•••••• I•••••••••OwnerMEMBER, ownership code E, domestic entity
Mar 31, 2026 to presentfactForm ADV
← K••••••••• A•••• J••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 31, 2026 to presentfactForm ADV
← Z•••• M•••• N••OwnerPRESIDENT, ownership code NA, individual
Mar 31, 2026 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3990768b-e4c9-f414-27d3-c71fc0482982
First observed: Jul 10, 2025
Last observed: Mar 31, 2026 5 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.