DFX Intelligence
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Reading the graph
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CRD 146509
ROLLING MEADOWS, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| T••••• L•• B••• | Certified Financial Planner | Burnsville, MN | Burnsvills, MN | 6 | 26 | 4 | yes |
| B•••• K••••• | Certified Financial Planner | Burnsville, MN | 6 | 18 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A••••• J• G•••••••• ••• L•• | Owner | E | yes | 04/1999 | Mar 31, 2022 | Apr 10, 2024 |
| A••••• J• G•••••••• • C•• | Owner | E | yes | 04/1999 | Mar 29, 2012 | Apr 10, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| G•• I•••••••• A•• F•••••••• S•••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| G•• R••••••••• S•••••••• I••• | n/a | State registered | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Washington | Dc | United States | 17 | yes |
| Houston | TX | United States | 13 | yes |
| NEW YORK | NY | United States | 10 | yes |
| Boston | Ma | United States | 7 | yes |
| Wakefield | Ma | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 14 | 8 | 6 | 6.5% | 3 | 3 | 0 | 33 | 15 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $195B | $181B | 7.9% | $6.5B | 209.9% | 235 | 221 | 36 | 42 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| W•••• F•••• A••••••• | 2 | Oct 9, 2025 | Oct 6, 2025 | RICHMOND, VA | Team lift out | Other | 1.7% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| G••••• R••••••••• P••••••• L•• | 3 | Oct 6, 2025 | Oct 2, 2025 | SAN RAFAEL, CA | Team lift out | Other | 0.7% |
| L•• F•••••••• L•• | 2 | Dec 12, 2023 | Jan 22, 2024 |
| yes |
| D•••• L•••• F•••••• | Certified Financial Planner|Chartered Financial Consultant | Latham, NY | 4 | 42 | 1 | yes |
| R•••••• G• T••••• | n/a | Madison, WI | 4 | 26 | 2 | yes |
| L••••• K••••• B••• | n/a | Houston, TX | 4 | 18 | 2 | yes |
| T••••• J•••• T•••••• | n/a | Baton Rouge, LA | 4 | 17 | 1 | yes |
| R••••• A•••••••• L•••••• | Certified Financial Planner | Charlotte, NC | 4 | 12 | 1 | yes |
| R•••••• J••• B•••• | n/a | Charlotte, NC | 4 | 40 | 5 | yes |
| A•••••• M•••• B••••• | n/a | Rolling Meadows, IL | 4 | 33 | 2 | yes |
| M•••••• S••••• L•••• | n/a | East Hartford, CT | 4 | 32 | 1 | yes |
| S•••••• D••••• M••• | n/a | Rolling Meadows, IL | 4 | 28 | 3 | yes |
| R•••••• E••••• H••• | n/a | Austin, TX | 4 | 26 | 3 | yes |
| B••••• J••••• K••••••• | Certified Financial Planner | Rockville, MD | 4 | 19 | 8 | yes |
| D••••• A••••• L•••• | n/a | Baton Rouge, LA | 4 | 17 | 2 | yes |
| R•••••• H••••• K••••• | Chartered Financial Consultant | Houston, TX | 4 | 11 | 2 | yes |
| A••••• M•••••••• B••• | n/a | Rolling Meadows, IL | 4 | 22 | 3 | yes |
| K•••• M•••••• K••••••••• | n/a | Charlotte, NC | 4 | 21 | 2 | yes |
| R••• M••••• O•••• | Certified Financial Planner | Dallas, TX | 4 | 27 | 2 | yes |
| C•••• A••• K••••••• | n/a | Rolling Meadows, IL | 4 | 20 | 2 | no |
| C••••••••• C• W•••• | n/a | Berwyn, PA | 4 | 19 | 5 | yes |
| C••••• J•••••• L•••• | n/a | Houston, TX | 4 | 10 | 1 | yes |
| P••• Y• | n/a | Houston, TX | 4 | 10 | 1 | yes |
| W••••• N••• S•••••• | Certified Financial Planner | Atlanta, GA | 4 | 14 | 2 | yes |
| D••••• B••• B••••• | n/a | Oklahoma City, OK | 4 | 29 | 2 | yes |
| J•••• J••• P••••••• | n/a | B•••evue, WA | 4 | 25 | 1 | yes |
| Cfo |
| Na |
| yes |
| 02/2021 |
| Mar 31, 2021 |
| Apr 10, 2024 |
| C•••• R••••••• C••• | VICE PRESIDENT AND CONTROLLER | Na | yes | 08/2012 | Mar 27, 2013 | Apr 10, 2024 |
| G•••••••• B•••••• S•••••••• I••• | Member | E | yes | 05/2007 | Mar 29, 2012 | Apr 10, 2024 |
| J••••••• M••••••• W•••••• | V••• P•••••••• A•• A••• P•••••••• G•••••••• F•••••••• A•••••••• L•• | Na | yes | 01/2017 | Mar 30, 2017 | Apr 10, 2024 |
| J••••• J•••• S•••••• | VICE PRESIDENT | Na | yes | 03/2023 | Mar 30, 2023 | Apr 10, 2024 |
| M•••••• N••••••• E••••• | CHIEF COMPLIANCE OFFICER | Na | yes | 04/2024 | Apr 10, 2024 | Apr 10, 2024 |
| R••••• J••••••• | ASSISTANT SECRETARY, VP & GENERAL COUNSEL | Na | yes | 06/2018 | Mar 29, 2019 | Apr 10, 2024 |
| Z••••••• W••••••• F• | President | Na | yes | 06/2018 | Mar 29, 2019 | Apr 10, 2024 |
| yes |
| Charlotte | Nc | United States | 7 | yes |
| Cleveland | Oh | United States | 7 | yes |
| Bellevue | Wa | United States | 6 | yes |
| Irvine | CA | United States | 5 | yes |
| Manhattan | Ks | United States | 5 | yes |
| Pittsburgh | Pa | United States | 5 | no |
| J••••••VILLE | FL | United States | 4 | yes |
| Berwyn | Pa | United States | 4 | yes |
| Atlanta | Ga | United States | 3 | yes |
| BATON ROUGE | La | United States | 3 | yes |
| BLOOMFIELD HILL | Mi | United States | 3 | yes |
| Bloomington | Mn | United States | 3 | yes |
| Austin | TX | United States | 3 | yes |
| Madison | Wi | United States | 3 | yes |
| E. HARTFORD | Ct | United States | 2 | yes |
| BATON ROUGE | La | United States | 2 | yes |
| Rockville | Md | United States | 2 | yes |
| KANSAS CITY | Mo | United States | 2 | yes |
| Dallas | TX | United States | 2 | yes |
| LITTLE ROCK | Ar | United States | 1 | yes |
| Centennial | Co | United States | 1 | yes |
| Carmel | In | United States | 1 | yes |
| Burnsville | Mn | United States | 1 | yes |
| ST. L•••• | Mo | United States | 1 | yes |
| Latham | NY | United States | 1 | yes |
| Mar 31, 2026 |
| $195B |
| $13B |
| 235 |
| 218 |
| 36 |
| n/a |
| n/a |
| 2024 | Apr 22, 2025 | $181B | $13B | 221 | 160 | 42 | n/a | n/a |
| 2023 | Mar 29, 2024 | $10B | $10B | 211 | 160 | 45 | n/a | n/a |
| 2022 | Mar 30, 2023 | $6.5B | $6.5B | 134 | 122 | 25 | n/a | n/a |
| 2021 | Mar 31, 2022 | $6.3B | $6.3B | 30 | 26 | 4 | n/a | n/a |
| 2020 | Mar 31, 2021 | $5.8B | $5.8B | 30 | 20 | 4 | n/a | n/a |
| 2019 | Mar 30, 2020 | $5.3B | $5.3B | 37 | 20 | 4 | n/a | n/a |
| 2018 | Mar 29, 2019 | $3.6B | $3.6B | 41 | 21 | 3 | n/a | n/a |
| 2017 | Mar 29, 2018 | $4.1B | $4.1B | 41 | 27 | 3 | n/a | n/a |
| 2016 | Mar 30, 2017 | $3.2B | $3.2B | 47 | 33 | n/a | n/a | n/a |
| 2015 | Mar 29, 2016 | $2.0B | $2.0B | 49 | 36 | n/a | n/a | n/a |
| 2014 | Mar 30, 2015 | $2.5B | $2.5B | 55 | 38 | n/a | n/a | n/a |
| 2013 | Mar 27, 2014 | $2.8B | $2.8B | 47 | 40 | n/a | n/a | n/a |
| 2012 | Mar 27, 2013 | $2.5B | $2.5B | 44 | 35 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | $49B | $2.5B | n/a | n/a | n/a | n/a | n/a |
| SAN DIEGO, CA |
| Team lift out |
| Other |
| 0.0% |
| F••••••• L•• | 11 | May 19, 2023 | Aug 10, 2023 | BURNSVILLE, MN | Firm absorbed | Other | 52.4% |
| F••••••• L•• | 2 | May 19, 2023 | Sep 8, 2023 | OCEAN CITY, NJ | Team lift out | Other | 9.5% |
| F••••••• L•• | 3 | May 19, 2023 | Jul 13, 2023 | RICHMOND, VA | Team lift out | Other | 14.3% |
| K••••• A••••••• S•••••••• L•• | 9 | Apr 6, 2022 | Apr 25, 2022 | AUSTIN, TX | Team lift out | Other | 0.8% |