DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 100m 1b

R••••• C•••••• M••••••••• L••

CRD 310237

PARK RIDGE, IL

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Data as of May 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Mar 25, 2026 to May 12, 2026
2 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: $231M••• Locked
Discretionary RAUM: $231M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
I•••••••• G••••• F••• L••	Hedge Fund	$143M	May 12, 2026	70	Aug 6, 2020	reported	021-64824
B••••••••• O••••••••• F•••• L•••	Other Private Fund	$73.8M	May 12, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R•••••• J••••• J•••••	Manager	E	yes	01/2004	May 12, 2026	May 12, 2026
R•••••• S••••••	OPERATIONS MANAGER/CHIEF COMPLIANCE OFFICER	Na	yes	03/2026	May 12, 2026	May 12, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 25, 2026	$231M	$231M	3	2	1	3	n/a

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	$231M	n/a	n/a	n/a	n/a	3	n/a	1	n/a

Relationships

Advises (3)

→ I•••••••• S•••• C•• G••••• F••• L••Private fundHedge Fund, IA
Aug 6, 2020 to presentfactForm ADV
→ B••••••••• O••••••••• F•••• L•••Private fundOther Private Fund, IA
May 12, 2026 to presentfactForm ADV
→ I•••••••• G••••• F••• L••Private fundHedge Fund, IA
Aug 6, 2020 to presentfactForm ADV

Controls (2)

Dated events

Order

Occurred
12 May 2026
Private fund first reported
••• Locked
Form ADV
$73.8M
Occurred
12 May 2026
Ria private fund assets change
••• Locked
Form ADV
$173M
Occurred
25 Mar 2026
Ria registration change
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 25, 2026
Last observed: May 12, 2026 4 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.