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A•••• S••••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM under $100M

A•••• S••••••••• I••

A•••• S•••••••••,INC, CRD 104512

LISLE, IL

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Search this name across graphsid dfx:ria:ca87082f-dabc-45c9-ba27-23431be2e762

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 2
On other graphs: 0
Observed: Mar 26, 2026 to Mar 26, 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: $59.7MItem 5.F on the latest filing (2026-03-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $58.7M
Private client RAUM: $59.1MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Employees: 7
Advisory employees

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• R••••• G••••	n/a	Lisle, IL \| LISLE, IL \| WHITING, IN	23	40	3	no
D••••• P•••••• O•••••••••	n/a	LISLE, IL \| Chicago, IL \| WHITING, IN	21

Relationships

Affiliated with (1)

← CHICAGO CAPITAL MANAGEMENT ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (6)

← F•••• J• B•••Advisorregistration: previous registration
Apr 17, 2024 to Dec 31, 2024factForm ADV
← K••••••••• C•••••• K••••••Advisorregistration: previous registration
Jul 21, 2023 to Dec 31, 2024factForm ADV
←

Dated events

Occurred
Dec 31, 2024
Advisor changed firm
R•••• E••••• H•••• left A•••• S••••••••• I•• for Chicago Capital Management Advisors, Llc (registered 2023-11-16)
Form ADVobserved 7 days ago
Occurred
Dec 31, 2024
Advisor departed, no destination yet
Benjamin R Pfiffner no longer registered at A•••• S••••••••• I••; no later IA registration on IAPD
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ca87082f-dabc-45c9-ba27-23431be2e762
First observed: Mar 26, 2026
Last observed: Mar 26, 2026 6 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.