DFX Intelligence

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

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RIA / WealthRegistered adviserbroker-dealer affiliated wealth managerSEC registeredRAUM 1b 10b

I•• W••••• M••••••••• L••

CRD 171481

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 graphsid dfx:ria:61d853a1-350d-0321-57bb-27a28452a419

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 245
Dated events: 40
On other graphs: 0
Observed: May 14, 2014 to Mar 31, 2026
156 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: broker-dealer affiliated wealth managerderivedprivate_client_share=0.72 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=151.0
Regulatory AUM: $9.8B••• Locked
Discretionary RAUM: $9.8B
Private client RAUM: $7.1Bderived••• Locked
Private client share: 72%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 160
RAUM per advisor

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••• J•• P•••	n/a	HENDERSON, CO \| CHICAGO, IL	16	20	1	yes
P•••• A•••••••	n/a	CHICAGO, IL \| FENTON, MI \| OAKBROOK TERRACE, IL	12	26

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••• D••••• D•••••	COMPLIANCE DIRECTOR	Na	yes	04/2026	Mar 31, 2026	Mar 31, 2026
D•••••• S•••••• J•••	Ceo	E	yes	05/2014	Mar 31, 2026	Mar 31, 2026

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Elgin	IL	United States	14	yes
Chicago	IL	United States	13	no
OVERLAND PARK	Ks	United States	10	yes
Tampa	FL	United States	7	no
NEW YORK	NY	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
16	1	15	0.6%	2	1	0	41	16

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	$9.8B	$6.4B	53.7%	$4.4B	30.9%	179	179	67	67

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
O•••• W•••••• I•••	2	Oct 10, 2023	Sep 29, 2023	CHICAGO, IL	Team lift out	Ibd to ibd	1.6%
R•• F••••••••	2	Jan 25, 2022	Nov 1, 2021

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
D•••••••• I••••••••• C••••••••• L••	2	Jul 20, 2026	Jul 22, 2026	PORTLAND, OR	Team lift out	Other	20.0%
R•••• W••• S••••••••• M•••••••••	2	Apr 30, 2026	Apr 13, 2026

Relationships

showing 80 of 245

Registered with (73)

← J••••••• K••• M•••Advisorregistration: current employment
Jul 22, 2026 to presentfactForm ADV
← P••••• G•••• S••••••Advisorregistration: current employment
Jul 17, 2026 to presentfactForm ADV
← C•••••• F••••••• O••••••Advisorregistration: current employment
Jun 24, 2026 to presentfactForm ADV
← J••• L• S•••••••

Dated events

4 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jul 28, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 20, 2026
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Apr 30, 2026
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Mar 31, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:61d853a1-350d-0321-57bb-27a28452a419
First observed: May 14, 2014
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.