DFX Intelligence

A•••••• I••••••••• M••••••••• L••: 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 adviserAsset managerSEC registeredRAUM 1b 10b

A•••••• I••••••••• M••••••••• L••

CRD 318816

LISLE, 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 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 5
On other graphs: 0
Observed: Feb 1, 2022 to Apr 1, 2026
14 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.7B••• Locked
Discretionary RAUM: $1.2B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $1.7Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
X••••• C•••	Chartered Financial Analyst	LISLE, IL	0	12	1	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• L••• C•	CHIEF EXECUTIVE OFFICER	Na	yes	01/2022	Feb 1, 2022	Mar 27, 2024
H•••••• M•••••• E••••	CHIEF OPERATING OFFICER	Na	yes	02/2022	Mar 15, 2022	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H••••••• A•••• M••••••••• L••	n/a	State registered	$10.3M	N	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 1, 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
1	0	1	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	$1.7B	$502M	233.5%	$108M	149.1%	21	15	0	0

Relationships

Registered with (1)

← X••••• C•••Advisorregistration: current employment
May 6, 2026 to presentfactForm ADV

Affiliated with (1)

→ H••••••• A•••• M••••••••• L••Registered adviserother investment adviser
factForm ADV

Controls (5)

← A••••••••• L••• C•OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Feb 1, 2022 to Mar 27, 2024factForm ADV

Dated events

Order

Occurred
31 Mar 2026
Regulatory AUM changed
••• Locked
Form ADV
$1.2B
Occurred
4 Apr 2025
Regulatory AUM changed
••• Locked
Form ADV
$295M
Occurred
16 Mar 2022
Succession filed (Item 4)
••• Locked
Form ADV
Occurred
15 Mar 2022
Control person joined
••• Locked
Form ADV
Occurred
1 Feb 2022
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 1, 2022
Last observed: Apr 1, 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.