DFX Intelligence

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

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RIA / WealthRegistered adviserState registeredState registeredRAUM under $100M

K••••• C••••••• L••

CRD 334680

DEKALB, IL

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Data as of Jul 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 1, 2026 to Jul 1, 2026
1 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: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $13.1M••• Locked
Discretionary RAUM: $13.1M
Private client RAUM: $13.1Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Employees: 3
Advisory employees: 3

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
E••• W•••• S••••••••	Certified Financial Planner	DEKALB, IL	1	15	3	no
J••••• F••••••• D•••••	Chartered Financial Analyst	DEKALB, IL	1	13

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	n/a	0	0	0	3	0

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
H•••••• I••••••••• S•••••••• L••	2	Jun 18, 2025	Jun 17, 2025	OAKBROOK TERRACE, IL	Team lift out	RIA to state RIA	7.1%

Relationships

Registered with (3)

← J•••• B••••• H•••••Advisorregistration: current employment
Jan 2, 2026 to presentfactForm ADV
← E••• W•••• S••••••••Advisorregistration: current employment
Jun 17, 2025 to presentfactForm ADV
← J••••• F••••••• D•••••Advisorregistration: current employment
Jun 17, 2025 to presentfactForm ADV

Moved with (1)

Dated events

Order

Occurred
18 Jun 2025
Team lift-out
••• Locked
Form ADV
2 advisors

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 1, 2026
Last observed: Jul 1, 2026 2 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.