DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Asset Strategies, Inc

STATE REGISTEREDLisle, IllinoisCRD 104512IAPD
Legal name Asset Strategies,Inc
Latest filing Mar 26, 2026
First filing on the tape Mar 26, 2026 · 1 filings
RAUM
$59.7M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
99%
$59.1M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
RAUM per advisor
$14.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
48derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$312,524derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$59.1M99%
  • Charitable organizations$545,0000.9%
Individual clients
191reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
2reported
Accounts
191reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
5 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Michael Robert GradyLisle, Il Jan 9, 200340 y3
Daniel Patrick O'HalloranLisle, Il Dec 7, 200441 y2
Kristopher Charles KesslerSan Clemente, Ca Oct 13, 202023 y7
Ricki Eugene HannaLisle, IlNov 16, 202316 y2
Frank J BodiLisle, IlJul 29, 202540 y8
Advisor movement
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Advisers that list Asset Strategies, Inc as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Lisle, Il · principal500
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
2 dated events
  • Benjamin R Pfiffner no longer registered at Asset Strategies, Inc; no later IA registration on IAPD
    Dec 31, 2024 · Advisor departure · fact
  • Ricki Eugene Hanna left Asset Strategies, Inc for Chicago Capital Management Advisors, Llc (registered 2023-11-16)
    Dec 31, 2024 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
Principal office phone
630-241-1122reportedpublic record, Form ADV, Mar 26, 2026
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
STATE REGISTEREDderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 15, 2026