DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

A•••• C••••••

A•••• INVESTMENT MANAGEMENT COMPANY, LLC, CRD 317544

LAKE FOREST, 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:4507afb8-a846-ba95-6c59-ef0312a97495

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 2
On other graphs: 0
Observed: Nov 11, 2021 to Mar 30, 2026
15 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: independent wealth managerderivedprivate_client_share=0.93 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=true bd_reps=0.0 bank_owner=false
Regulatory AUM: $907M••• Locked
Discretionary RAUM: $907M
Private client RAUM: $845Mderived••• Locked
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••••• J•••• A••••	n/a	LAKE FOREST, IL	4	35	1	no
R•• W••••• D•••••	Chartered Financial Analyst	LAKE FOREST, IL	4	30

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• S•••••• J••••	PRESIDENT & FOUNDER	Na	yes	11/2021	Nov 11, 2021	Mar 27, 2024
C••• F•••••••• C••••••••• L•••	Partner	C	yes	08/2023	Sep 25, 2023	Mar 27, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026

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	$907M	$844M	7.5%	$684M	9.9%	9	8	0	0

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A•••• C••••••• L••	3	Jan 3, 2022	Jan 4, 2022	LAKE FOREST, IL	Firm absorbed	RIA to new firm	100.0%

Relationships

Registered with (5)

← J••••• R••• S••••••Advisorregistration: current employment
Aug 22, 2025 to presentfactForm ADV
← R••••• J•••• D•••••••Advisorregistration: current employment
Oct 18, 2023 to presentfactForm ADV
← T••••• F••••• V•• V••••Advisorregistration: current employment
Jan 4, 2022 to presentfactForm ADV
← S••••• J•••• A••••

Dated events

Occurred
Jan 3, 2022
Firm absorbed
••• Locked
Form ADVobserved 7 days ago
3 advisors
Occurred
Nov 11, 2021
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4507afb8-a846-ba95-6c59-ef0312a97495
First observed: Nov 11, 2021
Last observed: Mar 30, 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.

Controls (12)

← A••••• S•••••• J••••OwnerPRESIDENT & FOUNDER, ownership code NA, individual
Nov 11, 2021 to Mar 27, 2024factForm ADV
← D•••••• R••• W•••••OwnerMANAGING DIRECTOR, ownership code NA, individual
Nov 11, 2021 to Mar 27, 2024factForm ADV
← V•• V••••• T•••••• F•••••OwnerMANAGING DIRECTOR, ownership code NA, individual
Nov 11, 2021 to Mar 27, 2024factForm ADV
← C••• F•••••••• C••••••••• L•••OwnerPARTNER, ownership code C, foreign entity
Sep 25, 2023 to Mar 27, 2024factForm ADV
← C••• F•••••••• H•••••••• L•••OwnerPARTNER, ownership code D, domestic entity
Sep 25, 2023 to Mar 27, 2024factForm ADV
← C••••••• D••••••• • R••• F••• X••• L•••OwnerPARTNER, ownership code D, foreign entity
Sep 25, 2023 to Mar 27, 2024factForm ADV
← F•••••••• F•• A••••••••• L••OwnerSHAREHOLDER, CLASS A COMMON STOCK, ownership code E, domestic entity
Sep 25, 2023 to Mar 27, 2024factForm ADV
← F•••••••• F•• I••••••••• H•••••••• L••OwnerMEMBER, ownership code E, domestic entity
Sep 25, 2023 to Mar 27, 2024factForm ADV
← F•••••••• F•• P•••••• I•••OwnerMEMBER, ownership code E, domestic entity
Sep 25, 2023 to Mar 27, 2024factForm ADV
← F•••••••• F•• U••••••• H•••••••• L•OwnerSHAREHOLDER, ownership code E, domestic entity
Sep 25, 2023 to Mar 27, 2024factForm ADV
← F•••• F•••••••• P•••••••• L••OwnerMEMBER, ownership code E, domestic entity
Nov 11, 2021 to Mar 27, 2024factForm ADV
← F•••• O••••••••• L••OwnerMEMBER (MANAGER), ownership code E, domestic entity
Nov 11, 2021 to Mar 27, 2024factForm ADV