DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

C•••••• F••• M••••••••• A• D••••••••• O• C•••••• T•••• B•••

C•••••• T•••• B•••, CRD 144554

BLOOMINGTON, IL

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Search this name across graphsid dfx:ria:5c0b8994-738f-f905-15fc-b9f33a01544f

Data as of Jun 6, 2013 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Feb 22, 2012 to Jun 6, 2013
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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $532M••• Locked
Discretionary RAUM: $532M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 31
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• K•••• F•••••••	CHIEF EXECUTIVE OFFICER	Na	yes	01/2012	Feb 1, 2013	Jun 6, 2013
C•••••• L••• I•••••••• C••••••	Shareholder	E	yes	06/2007	Feb 22, 2012	Jun 6, 2013

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$532M	$468M	13.6%	n/a	n/a	31	n/a	n/a	n/a

Relationships

Controls (6)

← H•••••••• W•••• V•••••OwnerEXECUTIVE OFFICER, ownership code NA, individual
Feb 22, 2012 to presentfactForm ADV
← B•••• K•••• F•••••••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Feb 1, 2013 to presentfactForm ADV
← D••••• A•••• K••••OwnerEXECUTIVE OFFICER, ownership code NA, individual
Feb 22, 2012 to presentfactForm ADV
← C•••••• L••• I•••••••• C••••••OwnerSHAREHOLDER, ownership code E, domestic entity
Feb 22, 2012 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5c0b8994-738f-f905-15fc-b9f33a01544f
First observed: Feb 22, 2012
Last observed: Jun 6, 2013 161 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.