DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10bsuccession filed

N••••••••• A•••••••

N••••••••• A•••••••, INC., CRD 173996

CHICAGO, IL

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Search this name across graphsid dfx:ria:e8ecf2a5-7b7d-61cb-af18-5fd1f54fa31c

Data as of Nov 17, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 22
On other graphs: 0
Observed: Dec 2, 2014 to Nov 17, 2022
21 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $5.8B••• Locked
Discretionary RAUM: $5.8B
Private client RAUM: $5.8Bderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 22

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• G••••••	PRESIDENT/DIRECTOR	Na	yes	08/2022	Sep 26, 2022	Nov 17, 2022
G•••••• S•••• G•••• I•••	Member	E	yes	02/2016	Sep 26, 2022	Nov 17, 2022

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 30, 2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$5.8B	$4.0B	46.4%	$687M	103.6%	22	24	0	0

Relationships

Controls (8)

← Q•••••• D•••• A••••OwnerDIRECTOR/TREASURER, ownership code NA, individual
Dec 2, 2014 to presentfactForm ADV
← T•••••••• P••••••• N•••OwnerDIRECTOR, ownership code NA, individual
Sep 26, 2022 to presentfactForm ADV
← C•••••• G••••••OwnerPRESIDENT/DIRECTOR, ownership code NA, individual
Sep 26, 2022 to presentfactForm ADV
← K••••• C•••••••• L•OwnerGENERAL COUNSEL, ownership code NA, individual
Sep 26, 2022 to presentfact

Dated events

Occurred
Nov 17, 2022
Succession filed (Item 4)
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 26, 2022
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 26, 2022
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 26, 2022
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e8ecf2a5-7b7d-61cb-af18-5fd1f54fa31c
First observed: Dec 2, 2014
Last observed: Nov 17, 2022 46 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.