DFX Intelligence
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Reading the graph
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CRD 287906
DEERFIELD, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| B•••• E••••• R•••• | n/a | DEERFIELD, IL | Charlotte, NC | 8 | 22 | 1 | yes |
| J••• P••• F••••• | Certified Financial Planner | DEERFIELD, IL | Downers Grove, IL | 8 | 15 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A•••• G••••• I••• | M••••••• M••••• • P••••• C•••••• | E | yes | 04/2017 | Mar 30, 2026 | Mar 30, 2026 |
| K••• L••••••• R••••• | CHIEF COMPLIANCE OFFICER | Na | yes | 08/2023 | Mar 30, 2026 | Mar 30, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| A•••• G••••• I••• | n/a | Institutional manager | $30B | N | yes | n/a |
| T•• A••••• G••••• L•• | n/a | Independent wealth | $4.8B | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| GREENWOOD VILLAGE | Co | United States | 5 | yes |
| Chicago | IL | United States | 4 | yes |
| DOWNERS GROVE | IL | United States | 4 | yes |
| S••••SDALE | Az | United States | 3 | no |
| Rochester | NY | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 2 | 3 | -1 | 4.3% | 1 | 0 | 0 | 25 | 16 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $5.3B | n/a | n/a | $1.2B | 66.0% | 107 | n/a | 27 | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | 2 | Sep 4, 2025 | Sep 15, 2025 | DEERFIELD, IL | Team lift out | RIA to ibd | 2.9% |
| P•••• P••••••• P••••••• | 2 | Jan 2, 2018 | Jan 2, 2018 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| S•••••••• R••••••••• P••• C••••••••• I••• | 2 | Mar 6, 2026 | Jan 31, 2025 | ACTON, MA | Team lift out | Other | 100.0% |
| A•••• R••••••••• A•••••••• L•• | 3 | Jul 1, 2025 | Feb 15, 2022 |
| yes |
| M••• C••••••••• S•••••• | n/a | DEERFIELD, IL | Greenwood Village, CO | 8 | 13 | 1 | yes |
| R•••••• S•••• L••••• | n/a | DEERFIELD, IL | 8 | 34 | 1 | yes |
| G••• J•••••••• V••••• | Chartered Financial Consultant | DEERFIELD, IL | 8 | 34 | 1 | yes |
| D•••• E•••••• S•••••• | Certified Financial Planner|Chartered Financial Consultant | Downers Grove, IL | DEERFIELD, IL | 8 | 31 | 1 | yes |
| B•••••• S••••• S•••• | n/a | DEERFIELD, IL | 8 | 22 | 1 | yes |
| B•••• H••••• N••••••••• | Chartered Financial Consultant | DEERFIELD, IL | 8 | 33 | 1 | yes |
| J••• C•••••• K••••••••• | n/a | DEERFIELD, IL | Downers Grove, IL | 8 | 33 | 1 | yes |
| C••• P•••• H••••• | n/a | DEERFIELD, IL | 8 | 32 | 1 | yes |
| E••• P••••• R••••••••• | Chartered Financial Consultant | DEERFIELD, IL | 8 | 23 | 1 | yes |
| B•••• I•• C•••••• | Certified Financial Planner | DEERFIELD, IL | 8 | 23 | 1 | yes |
| M••••••• A• R••••• | n/a | DEERFIELD, IL | 8 | 36 | 1 | yes |
| P••••• S•••• D•••• | Chartered Financial Consultant | DEERFIELD, IL | 8 | 47 | 1 | yes |
| R••••• K•••••• J••••• | n/a | DEERFIELD, IL | 8 | 38 | 1 | yes |
| E•••• J••••• R••••••••• | Certified Financial Planner | DEERFIELD, IL | 8 | 12 | n/a | yes |
| A••••• R••••• A•••• | n/a | Chicago, IL | DEERFIELD, IL | 7 | 18 | 1 | yes |
| B•••••••• M••• P•••• | Chartered Financial Consultant | Surprise, AZ | Tacoma, WA | DEERFIELD, IL | 7 | 29 | 2 | yes |
| R••••• W•••••• D•••• | n/a | Tacoma, WA | DEERFIELD, IL | 7 | 13 | 3 | yes |
| V•••••• E••••• Z•••••••• | n/a | San Antonio, TX | DEERFIELD, IL | 6 | 41 | 4 | yes |
| S••••• E••• J••••• | n/a | Wayne, PA | WAYNE, PA | 5 | 19 | 2 | yes |
| C•••• M•••••• S•••••• | n/a | Virginia Beach, VA | VIRGINIA BEACH, VA | DEERFIELD, IL | 5 | 19 | 1 | yes |
| L••••• M•••••• T••••• | Certified Financial Planner | Virginia Beach, VA | VIRGINIA BEACH, VA | DEERFIELD, IL | 5 | 10 | 1 | yes |
| L•••••• R••••• K•• | n/a | DEERFIELD, IL | Buford, GA | 4 | 25 | 2 | yes |
| D••••• K•••• O•••••••• | Certified Financial Planner | DEERFIELD, IL | Portland, OR | 4 | 30 | 2 | no |
| RETIREMENT P••• SERVICES PRACTICE LEADER |
| Na |
| yes |
| 08/2025 |
| Mar 30, 2026 |
| Mar 30, 2026 |
| M•••• M••••••• J••• | PRESIDENT OF WEALTH SERVICES | Na | yes | 09/2024 | Mar 30, 2026 | Mar 30, 2026 |
| A•••• G•••• H•••••••• I••• | Shareholder | E | yes | 12/2016 | Aug 15, 2022 | Dec 3, 2024 |
| A•••• G•••• I••••••••• H•••••••• L•• | Shareholder | E | yes | 12/2016 | Aug 15, 2022 | Dec 3, 2024 |
| A•••• G•••• U••••••• H•••••••• L•• | Shareholder | E | yes | 06/2021 | Aug 15, 2022 | Dec 3, 2024 |
| B••••• J•••••••• A•• | CHIEF OPERATING OFFICER | Na | yes | 10/2021 | Mar 21, 2022 | Dec 3, 2024 |
| G•••••• C•••••• P••••••• X• L••• | Shareholder | C | yes | 09/2021 | Mar 21, 2022 | Dec 3, 2024 |
| G•••••• X• A•••• G•••• H•••••••• L•• | Shareholder | C | yes | 09/2021 | Mar 21, 2022 | Dec 3, 2024 |
| M••••• C•••••••• | PRESIDENT OF AIA RETIREMENT P••••••• SERVICES | Na | yes | 08/2023 | Sep 15, 2023 | Dec 3, 2024 |
| W•••••• B••••••• G••••• L•• | n/a | Independent wealth | $4.6B | N | yes | n/a |
| J• C•••••• L•• | n/a | Independent wealth | $2.8B | N | yes | n/a |
| A•••• R••••••••• A•••••••• L•• | n/a | Former SEC adviser | $45.7M | N | yes | n/a |
| A•••• G•••• | n/a | n/a | n/a | Y | no | n/a |
| S•••••••• R••••••••• P••• C••••••••• I••• | n/a | State registered | n/a | N | yes | n/a |
| no |
| VIRGINIA BEACH | Va | United States | 3 | yes |
| Tacoma | Wa | United States | 3 | yes |
| Anchorage | Ak | United States | 2 | yes |
| Portland | Or | United States | 2 | no |
| Rochester | Mi | United States | 1 | no |
| NEW YORK | NY | United States | 1 | no |
| SAN ANTONIO | TX | United States | 1 | yes |
| Seattle | Wa | United States | 1 | yes |
| $5.3B |
| $5.3B |
| 107 |
| 67 |
| 27 |
| n/a |
| n/a |
| 2023 | Mar 28, 2024 | $2.7B | $2.7B | 64 | 52 | 11 | n/a | n/a |
| 2022 | Mar 23, 2023 | $1.2B | $1.1B | 62 | 52 | 10 | n/a | n/a |
| 2021 | Mar 21, 2022 | $1.3B | $1.2B | 71 | 51 | 8 | n/a | n/a |
| 2020 | Mar 25, 2021 | $975M | $944M | 67 | 49 | 9 | n/a | n/a |
| 2019 | Mar 23, 2020 | $777M | $734M | 59 | 48 | 6 | n/a | n/a |
| 2018 | Mar 6, 2019 | $629M | $592M | 66 | 56 | 7 | n/a | n/a |
| 2017 | Feb 23, 2018 | $532M | $532M | 73 | 55 | 3 | n/a | n/a |
| DEERFIELD, IL |
| Team lift out |
| Other |
| 6.7% |
| ROCHESTER, NY |
| Firm absorbed |
| RIA to RIA |
| 100.0% |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | 2 | Jun 5, 2025 | May 22, 2025 | NEW RICHMOND, WI | Team lift out | Ibd to RIA | 0.1% |
| W•••• I••••••••• A•••••••• L•• | 2 | Sep 13, 2024 | May 12, 2025 | TEMPE, AZ | Team lift out | Other | 0.9% |
| O••••••••• | 2 | Sep 6, 2024 | Dec 18, 2024 | OVERLAND PARK, KS | Team lift out | Other | 0.7% |
| K•• F•••••••• S•••••••• I•• | 2 | Nov 1, 2018 | Nov 16, 2018 | ANCHORAGE, AK | Team lift out | Ibd to RIA | 0.8% |
| S••••••• F•••••••• S•••••••• I••• | 3 | Dec 31, 2017 | Jan 3, 2018 | DEERFIELD, IL | Team lift out | Other | 0.4% |