DFX Intelligence

N•••• S••• I••••••••• M••••••••• C•••••••••: 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 adviserIndependent wealth managerSEC registeredRAUM 1b 10b

N•••• S••• I••••••••• M••••••••• C•••••••••

CRD 117681

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 graphs

Data as of Apr 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 0
On other graphs: 1
Observed: Mar 29, 2012 to Apr 14, 2026
50 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

N•••• S••• I••••••••• M••••••••• C•••••••••

Private equity manager · key_crd, key_sfn_adviser, shared_crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.78 fund_share=0.16 institutional_share=0.06 related_bd=false related_bank=false bd_reps=4.0
Regulatory AUM: $2.5B••• Locked
Discretionary RAUM: $2.4B
Private client RAUM: $2.0Bderived••• Locked
Private client share: 78%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 11
RAUM per advisor: $227Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P•••• D•••• G•••••••	n/a	CHICAGO, IL	23	36	2	no
M•••••• F• D••••••	n/a	CHICAGO, IL	22	28

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
K••• G••••••• S•••••• V•••• F•••• L•	Private Equity Fund	$39.7M	Mar 28, 2013	96	Mar 28, 2013	dropped	021-173401
N•••• S••• D••••••• F•••• L•••	Private Equity Fund	$21.9M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• B••••••• E•••	PORTFOLIO MANAGER	Na	yes	06/2008	Apr 14, 2026	Apr 14, 2026
E••••••••• A•••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2016	Apr 14, 2026	Apr 14, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N•••• S••• B•••••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
HIGHLAND PARK	IL	United States	7	yes
GLEN ELLYN	IL	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

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	$2.5B	$2.3B	9.7%	$1.8B	12.4%	26	29	2	2

Relationships

Controls (7)

← K•••• E•••• C••••••OwnerTRUSTEE, ownership code F, individual
Mar 29, 2012 to Oct 16, 2024factForm ADV
← G•••••••• P••••• D••••OwnerTRUSTEE, ownership code F, individual
Mar 29, 2012 to Oct 16, 2024factForm ADV
← N•••• S••• F•••••••• S••••••• C••••OwnerSHAREHOLDER, ownership code E, domestic entity
Apr 14, 2026 to presentfactForm ADV
← E••••••••• A•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 14, 2026 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 29, 2012
Last observed: Apr 14, 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.

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
E••• J•• P•••••••••	Certified Financial Planner	CHICAGO, IL	0	27	n/a	no

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 21, 2016	$813M	$808M	13	13	n/a	1	$7.9M
2014	Mar 30, 2015	$864M	$859M	13	13	n/a	1	$7.4M
2013	Mar 28, 2014	$797M	$792M	13	13	n/a	1	$4.5M
2012	Mar 28, 2013	$601M	$595M	13	13	n/a	3	$64.2M
2011	Mar 29, 2012	$483M	$476M	n/a	n/a	n/a	n/a	n/a