DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

L••••••• W••••• M••••••••• L••

CRD 172519

GLEN ELLYN, IL

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Search this name across graphsid dfx:ria:c053ab47-b50e-f60a-631a-17d8ab10cf98

Data as of May 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 5
On other graphs: 2
Observed: Mar 31, 2026 to May 1, 2026
2 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

L••••••• W••••• M••••••••• L••

Private equity manager · key crd, key sfn adviser, shared crd

Independent Sponsorsidentity

L••••••• W••••• M••••••••• L••

Capital provider to sponsors · key crd, key sfn adviser, shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.88 fund_share=0.12 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $122M••• Locked
Discretionary RAUM: $84.1M
Private client RAUM: $108Mderived••• Locked
Private client share: 88%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $24.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••••••• S•••• B••••••	Certified Financial Planner	GLEN ELLYN, IL	12	25	6	no
L•••••• R•• F•••••••••	Certified Financial Planner	GLEN ELLYN, IL	10	12

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
L•• S•••• A••••• S••••• C• L••	Other Private Fund	$5.8M	May 1, 2026	39	May 1, 2026	reported	021-393978
L•• V•••••• F••••• F••• I••• L••	Hedge Fund	$2.9M	May 1, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• J•••••••• S••••	MANAGING MEMBER	E	yes	07/2014	May 1, 2026	May 1, 2026
S••••••••• G•••• J•••••	CHIEF COMPLIANCE OFFICER	Na	no	07/2014	May 1, 2026	May 1, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$122M	$84.1M	6	4	0	5	n/a

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	0	0	0.0%	0	0	0	0	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	$122M	n/a	n/a	n/a	n/a	6	n/a	3	n/a

Relationships

Advises (5)

→ L•• V•••••• F••••• F••• I• L••Private fundHedge Fund, IA
May 1, 2026 to presentfactForm ADV
→ L•• D•• F••••• F••• I• L••Private fundPrivate Equity Fund, IA
May 1, 2026 to presentfactForm ADV
→ L•• V•••••• F••••• F••• I•• L••Private fundPrivate Equity Fund, IA
May 1, 2026 to presentfactForm ADV
→ L•• S•••• A••••• S••••• C• L••

Dated events

Occurred
May 1, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$2.9M
Occurred
May 1, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$5.8M
Occurred
May 1, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$2.5M
Occurred
May 1, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c053ab47-b50e-f60a-631a-17d8ab10cf98
First observed: Mar 31, 2026
Last observed: May 1, 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.