DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM over $100B

I•••••• C•••••• M••••••••• L••

CRD 125601

DOWNERS GROVE, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e0a60eb4-02c8-a202-a721-ff1ace364224

Data as of Aug 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 54
Dated events: 20
On other graphs: 0
Observed: Jan 27, 2012 to Aug 12, 2026
53 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=0.96 institutional_share=0.0 related_bd=true related_bank=true bd_reps=87.0
Regulatory AUM: $941B••• Locked
Discretionary RAUM: $939B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 222

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••• M•••• W••••••	CHIEF ACCOUNTING OFFICER	Na	yes	03/2022	Mar 30, 2022	Mar 27, 2024
H•••••••• B••••• C•••••••••	MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER, PRINCIPAL EXECUTIVE OFFICER	Na	yes	11/2023	Jun 5, 2015	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I•••••• A•••••••• I•••	n/a	ASSET_M••••••	$750B	N	yes	n/a
I•••••• A•••• M••••••••• L•••	n/a	ASSET_M••••••	$188B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
London	n/a	United Kingdom	6	no
Atlanta	Ga	United States	2	no
H••• K•••	n/a	Hong Kong	2	no
Melbourne	n/a	Australia	2	no
n/a	n/a

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	$941B	$741B	27.1%	$401B	32.9%	222	232	3	5

Relationships

Affiliated with (41)

← I•••••• H••• K••• L••••••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ I•••••• I••••••••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ H••••••••• A•••• M••••••••• C•••••••••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ O••••••••• I••Registered adviser

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jan 15, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$194.1B
Occurred
Mar 26, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$195.0B
Occurred
Mar 27, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$144.9B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e0a60eb4-02c8-a202-a721-ff1ace364224
First observed: Jan 27, 2012
Last observed: Aug 12, 2026 41 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.

Controls (13)

← G••••••• M•••• W••••••OwnerCHIEF ACCOUNTING OFFICER, ownership code NA, individual
Mar 30, 2022 to Mar 27, 2024factForm ADV
← Z•••• J•••• M•••OwnerMANAGING DIRECTOR, ownership code NA, individual
Jan 27, 2012 to Mar 27, 2024factForm ADV
← Z••••••• M••••••• H•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 12, 2017 to Mar 27, 2024factForm ADV
← K••••••• J•••••• A•••••OwnerMANAGING DIRECTOR, ownership code NA, individual
Nov 10, 2020 to Mar 27, 2024factForm ADV
← H•••••••• B••••• C•••••••••OwnerMANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER, PRINCIPAL EXECUTIVE OFFICER, ownership code NA, individual
Jun 5, 2015 to Mar 27, 2024factForm ADV
← H•••••• A•••OwnerHEAD OF LEGAL - US ETFS, ownership code NA, individual
Mar 10, 2017 to Mar 27, 2024factForm ADV
← V•••••••• T••••• G•••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 30, 2022 to Mar 27, 2024factForm ADV
← I•••••• G•••• S•••••••• I•••OwnerDIRECT OWNER, ownership code E, domestic entity
Mar 30, 2016 to Mar 27, 2024factForm ADV
← I•••••• H•••••• C•••••• •••• I•••OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Oct 11, 2016 to Mar 27, 2024factForm ADV
← I•••••• H•••••• C•••••• L••••••OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Mar 30, 2016 to Mar 27, 2024factForm ADV
← I•••••• L•••OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Jul 27, 2018 to Mar 27, 2024factForm ADV
← O••••••••• A••••••••• C•••• •••••OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Jun 21, 2019 to Mar 27, 2024factForm ADV
← O••••••••• I••• •••OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Jun 21, 2019 to Mar 27, 2024factForm ADV