DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

B•••• • Y•••• I••••••••• A•••••••• I•••

CRD 149115

DEERFIELD, IL

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Search this name across graphsid dfx:ria:f0e3170d-3d21-f08e-a239-5a16f41d0978

Data as of Mar 21, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 6
On other graphs: 0
Observed: Mar 28, 2012 to Mar 21, 2025
13 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: $102M••• Locked
Discretionary RAUM: $0
Private client RAUM: $102Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• G••••• A••••	PRESIDENT, CHIEF COMPLIANCE OFFICER	E	yes	09/2008	Mar 28, 2012	Sep 25, 2024
Y••••• L•••• A••	VICE PRESIDENT	Na	yes	01/2009	Mar 28, 2012	Sep 25, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Mar 21, 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	2	-2	n/a	0	0	0	0	2

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$102M	$114M	-10.9%	n/a	n/a	2	2	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•• F•••••••• L••	2	Jan 20, 2026	Nov 13, 2025	DEERFIELD, IL	Team lift out	RIA to ibd	100.0%

Relationships

Registered with (3)

← G•••• A•••• B••••Advisorregistration: previous registration
Feb 17, 2009 to Jan 20, 2026factForm ADV
← L••• A•• Y••••Advisorregistration: previous registration
Feb 17, 2009 to Jan 20, 2026factForm ADV
← R•••••• M••••• C••••••Advisorregistration: previous registration
Apr 7, 2009 to Mar 8, 2024factForm ADV

Moved with (1)

Dated events

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

Occurred
Jan 20, 2026
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Jan 20, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jan 20, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f0e3170d-3d21-f08e-a239-5a16f41d0978
First observed: Mar 28, 2012
Last observed: Mar 21, 2025 18 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.