DFX Intelligence

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

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 1b 10b

L•• R••••• A••••••• I• L••

CRD 112175

CHICAGO, IL

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Search this name across graphsid dfx:ria:d355d3ae-4838-1f77-be97-476c18071b37

Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 10
On other graphs: 0
Observed: Mar 27, 2012 to Mar 23, 2026
23 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: institutional managerderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.6B••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• S••••• M•••••	CHIEF COMPLIANCE OFFICER	Na	yes	09/2017	Sep 8, 2017	Mar 21, 2024
C••••• J••••• D•••••	SOLE MEMBER	E	yes	03/2005	Apr 7, 2023	Mar 21, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L•••••• A••••••• G••••• L••	n/a	Institutional manager	$3.2B	N	yes	n/a
L•••••• I••••••••• A••••••• L••	n/a	Former SEC adviser	$0	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	9	no

Regulatory AUM by fiscal year

••• Locked

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

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	$1.6B	$1.9B	-11.2%	$2.5B	-12.8%	9	9	0	0

Relationships

Affiliated with (3)

← L•••••• A••••••• G••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ L•••••• A••••••• G••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ L•••••• I••••••••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (18)

← F•••••••• S••••••• N••Owner

Dated events

Occurred
Apr 7, 2023
Control person joined
Dawson James Carey (Sole Member) appeared on Schedule A of L•• R••••• A••••••• I• L••
Form ADVobserved 7 days ago
Occurred
Apr 7, 2023
Control person joined
Arthur Charles Davis (Sole Member) appeared on Schedule A of L•• R••••• A••••••• I• L••
Form ADVobserved 7 days ago
Occurred
Apr 7, 2023
Control person joined
Nmn Stephen Friedman (Sole Member) appeared on Schedule A of L•• R••••• A••••••• I• L••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d355d3ae-4838-1f77-be97-476c18071b37
First observed: Mar 27, 2012
Last observed: Mar 23, 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.