DFX Intelligence

P••••• C••••••• 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 adviserformer SEC adviserleft the SEC rosterRAUM 1b 10b

P••••• C••••••• L••

CRD 147597

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:b568b84c-b90e-ff7f-f256-1ce36a0b7d34

Data as of May 12, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 9
On other graphs: 0
Observed: Dec 14, 2011 to May 12, 2025
42 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: $1.6B••• Locked
Discretionary RAUM: $447M
Private client RAUM: $1.5Bderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 28

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•• C••••••••• T•••• D•••• 1••••••• F•• A••• J• C•••	LIMITED PARTNER	C	yes	12/1994	Mar 31, 2014	Jul 2, 2024
A•• C••••••••• T•••• D•••• 1••••••• F•• D•••• L• C•••	LIMITED PARTNER	C	yes	12/1994	Mar 31, 2014	Jul 2, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P••••• A•••• M••••••••• L••	n/a	ASSET_M••••••	$1.3B	N	yes	n/a
P••••••• C••••••• A••• G•• L••	n/a	n/a	n/a	N	yes	n/a
P••••• M••• C•••• G•• L••

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

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	6	-6	n/a	0	0	0	1	6

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$1.6B	$1.4B	13.3%	$1.4B	3.4%	28	28	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W•••••• A•••••••• L••	5	Dec 12, 2025	Nov 14, 2025	CHICAGO, IL	Firm absorbed	RIA to RIA	83.3%

Relationships

Affiliated with (2)

← P••••• A•••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ P••••• A•••• M••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Registered with (7)

← B•••• B••••• M••••Advisorregistration: previous registration
Feb 23, 2009 to Dec 31, 2025factForm ADV
←

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Dec 31, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 12, 2025
Firm absorbed
••• Locked
Form ADVobserved 8 days ago
5 advisors
Occurred
Dec 12, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 12, 2025

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b568b84c-b90e-ff7f-f256-1ce36a0b7d34
First observed: Dec 14, 2011
Last observed: May 12, 2025 16 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.