DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

P••••••• I••••••••• L••

CRD 286178

DEERFIELD, IL

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Search this name across graphsid dfx:ria:d2d25c16-8472-9b7a-1162-df88cbe1eee0

Data as of Jul 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 6
On other graphs: 1
Observed: Dec 8, 2016 to Jul 31, 2026
30 observations

Across DFX

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

Independent Sponsorsidentity

P••••••• I••••••••• L••

Capital provider to sponsors · 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=0.63 fund_share=0.03 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.4B••• Locked
Discretionary RAUM: $970M
Private client RAUM: $911Mderived••• Locked
Private client share: 63%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $288Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A••• •••• C•••	Chartered Financial Analyst\|Chartered Investment Counselor	DEERFIELD, IL	9	27	2	no
J••• C•••••• K••••••	Chartered Financial Analyst	DEERFIELD, IL	9	16

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P••••••• C•••••• C••• F•••• L•	Other Private Fund	$31.8M	Jul 31, 2026	42	Sep 19, 2017	reported	021-294244
P••••••• V•• F•••• L•	Other Private Fund	$10.8M	Jul 31, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• A•••• ••••	MANAGER, PRESIDENT	D	yes	07/2016	Jul 31, 2026	Jul 31, 2026
E•••••••• C••••••••• I•••••	MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER	C	yes	08/2026	Jul 31, 2026	Jul 31, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P••••••• C•••••• C••• F••• G•• L••	n/a	n/a	n/a	Y	yes	n/a
P••••••• V•• F••• G•• L••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	$1.4B	$1.3B	10.4%	$914M	16.3%	7	7	0	0

Relationships

Advises (4)

→ P••••••• C•••••• C••• F•••• L•Private fundOther Private Fund, IA
Sep 19, 2017 to presentfactForm ADV
→ P••••••• V•• F•••• L•Private fundOther Private Fund, IA
Jul 13, 2021 to presentfactForm ADV
→ P••••••• O••••• F•••• L•Private fundOther Private Fund, IA, no longer reported
Apr 29, 2019 to Jan 15, 2020factForm ADV
→ P••••••• V•••• O••••••••• F•••• L•

Dated events

Occurred
Mar 21, 2024
Regulatory AUM changed
P••••••• I••••••••• L•• reported RAUM $1.2B, up 27% from $914.3M (2023-11-08 to 2024-03-21)
Form ADVobserved 7 days ago
$248M
Occurred
Jan 4, 2023
Advisor changed firm
Nelson William Greene left P••••••• I••••••••• L•• for Financial Independence Advisors, Llc (registered 2023-02-13)
Form ADVobserved 7 days ago
Occurred
Mar 22, 2022
Regulatory AUM changed
P••••••• I••••••••• L•• reported RAUM $1.0B, up 27% from $796.2M (2021-07-13 to 2022-03-22)
Form ADVobserved 7 days ago
$214M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d2d25c16-8472-9b7a-1162-df88cbe1eee0
First observed: Dec 8, 2016
Last observed: Jul 31, 2026 53 days 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.