DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

C•••• S••••••••• L••

CRD 337985

CHICAGO, IL

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Search this name across graphsid dfx:ria:d5302449-0e58-ff6f-8803-679f4725aa47

Data as of Aug 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Aug 21, 2025 to Aug 29, 2026
5 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=7.0
Regulatory AUM: $825M••• Locked
Discretionary RAUM: $825M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $413Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
H•••• B•••••• M••••••••	n/a	CHICAGO, IL	1	11	1	no
V••••••• P•••••••••	n/a	San Francisco, CA	0	12

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• M••••• J•••••••	CHIEF OPERATING OFFICER	Na	yes	08/2026	Aug 29, 2026	Aug 29, 2026
C•••• I•••••••• S•••••••• I•••	PARENT COMPANY	E	yes	07/2025	Aug 29, 2026	Aug 29, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$10.0M	$10.0M	1	1	0	n/a	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	1	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	$825M	n/a	n/a	n/a	n/a	18	n/a	0	n/a

Relationships

Controls (3)

← B•••••• M••••• J•••••••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Aug 29, 2026 to presentfactForm ADV
← C•••• I•••••••• S•••••••• I•••OwnerPARENT COMPANY, ownership code E, domestic entity
Aug 29, 2026 to presentfactForm ADV
← H••••••• I••••• W••••••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Aug 29, 2026 to presentfactForm ADV

Owns (1)

← K•••••• D•••••• M••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual

Dated events

Occurred
Aug 29, 2026
Ria hq relocated
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d5302449-0e58-ff6f-8803-679f4725aa47
First observed: Aug 21, 2025
Last observed: Aug 29, 2026 25 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.