DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

A••••••• C•••••• P•••••••

A••••••• C•••••• P••••••• LLC, CRD 311163

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:6f86f86c-104e-a67e-ff13-bd172b5c73d6

Data as of Apr 15, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 3
On other graphs: 0
Observed: Oct 11, 2020 to Apr 15, 2021
8 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: $27.6M••• Locked
Discretionary RAUM: $27.6M
Private client RAUM: $27.6Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $9.2Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
O••••• J• K•••	n/a	CHICAGO, IL	5	13	3	no
C•••••• W•••••• D••••••••	n/a	CHICAGO, IL	5	10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••••• C••••••• W••••••	OWNER, MANAGING MEMBER	E	yes	11/2020	Oct 11, 2020	Apr 15, 2021
K•••• O•••••• J•	OWNER, MANAGING MEMBER	E	yes	11/2020	Oct 11, 2020	Apr 15, 2021

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 10, 2021	$27.6M	$27.6M	4	3	1	n/a	n/a

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	0	1

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$27.6M	n/a	n/a	n/a	n/a	4	n/a	1	n/a

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A•• A•••••••	3	Dec 21, 2020	Dec 9, 2020	CHICAGO, IL	Firm absorbed	Other	75.0%

Relationships

Registered with (4)

← N•••••• E•••• B••••Advisorregistration: current employment
Sep 29, 2025 to presentfactForm ADV
← C•••••• W•••••• D••••••••Advisorregistration: current employment
Dec 9, 2020 to presentfactForm ADV
← O••••• J• K•••Advisorregistration: current employment
Nov 23, 2020 to presentfactForm ADV
← N••••• R• M•••••••

Dated events

Occurred
May 9, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 10, 2021
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Oct 11, 2020
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6f86f86c-104e-a67e-ff13-bd172b5c73d6
First observed: Oct 11, 2020
Last observed: Apr 15, 2021 66 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.