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.
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SEC-registered adviser
F•• A•••••••• I•••
Latest filing Jun 30, 2026
First filing on the tape Mar 30, 2012 · 53 filings
SEC status approved since Jul 2, 1987
RAUM
$833M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
53 filings and snapshots on the tape
RAUM$833M as of Jun 30, 2026
Mar 30, 2012$131M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 30, 2026
Mar 4, 20137 then
Employees (5.A)17 as of Jun 30, 2026
Mar 4, 201374 then
Private funds: no history
RAUM -10% over the last fiscal year-39% a year over threeIARs 0 to 0offices 2 to 1
Practice profile
derived from the filing of Jun 30, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $211,536derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -10%derivedbetween 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
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$833M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3,937reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- A••••• P••• K••••••• to A••••••••• I•••Jan 25, 2019 · Other
- G••••• C••• to R•• T•••••••Aug 8, 2018 · Other
- R••••• F•••••• M•••••••• to I•• P•••••••Aug 8, 2018 · Other
- J••• S•••• M•••••• to P••••••• F•••••••• A•••••••• L••Jun 28, 2018 · Other
- A••• C••••••••• V••• to V••• F••••••••• L••Dec 20, 2017 · Other
- B•••• A•••••• W••• to C•••••• A••••••••• I•••Dec 2, 2014 · Other
- D•••• J••• D•••• to E•••••••• P••Oct 13, 2009 · Other
- K•••• D•••• H•••• to H•••••••••May 4, 2004 · Other
- H••••• M•••••• W•••••• to M•• A••••••• F•••••••• M••••••••• I•••May 4, 2004 · Other
- F•••• E••••• M••••• to H•••••••••May 4, 2004 · Other
- D•••• L•• H•••••••• to M•• A••••••• F•••••••• M••••••••• I•••May 4, 2004 · Other
- D•••• A•••• J•••••• to H•••••••••May 4, 2004 · Other
- C•••••• R••••••• G••• to H•••••••••May 4, 2004 · Other
- J•••••• J••••• P••••••• to M•• A••••••• F•••••••• M••••••••• I•••May 4, 2004 · Other
- G•••••••• A•• S•••••••• to I••••• F•••••••• C•••••••••May 4, 2004 · Other
Joined, latest
- A••• C••••••••• V••• from O•••• F•• I•••Sep 23, 2016 · Other
- A••••• P••• K••••••• from S•• I••••••••• A•••••••• I•••Dec 4, 2015 · Other
- J••• S•••• M•••••• from F•••• T•••• S••••••••• I•••Nov 20, 2015 · Other
- R••••• F•••••• M•••••••• from A••••• P••••••• L••Apr 30, 2013 · Other
- D•••• J••• D•••• from P•••••••• S••••••••• I•••Nov 2, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• D•••• M•••• · Co-Chief I•••••Ment Officercontrolsince 09/2020 · owns less than 5%
- F••• J••••• L••••••• · Interim Chief Executive Officercontrolsince 04/2024 · owns less than 5%
- L•••••• B••••••• T••••• · Chief Compliance Officercontrolsince 10/2018 · owns less than 5%
- O••••••• S•••••• S• · Chief Legal Officer, General Counsel, Secretarycontrolsince 01/2018 · owns less than 5%
- S•••• T•••••• M•••••• · Evp, E•••••••• Business Linescontrolsince 12/2022 · owns less than 5%
- T•••••• B••••••• R••••••• · Co-Chief I•••••Ment Officer/Managing Dircontrolsince 01/2018 · owns less than 5%
- W•••••• J•••••• B• · Chief Financial Officercontrolsince 01/2024 · owns less than 5%
Entity owners
- M•••• L•• · Sole Shareholderdirect · owns 75% or more
- B••• P••••• B••••• I••• · Ownerindirect · owns 75% or more of E••••••••• I•••
- B••• P••••• I••••••••• L•• · Ownerindirect · owns 75% or more of B••• P••••• B••••• I•••
- B••• P••••• I•••••••• L• · Ownerindirect · owns 50% to 75% of B••• P••••• T••••• L•
- B••• P••••• P••••• • I••• · Ownerindirect · owns 75% or more of B••• P••••• I••••••••• L••
- B••• P••••• T••••• L• · Ownerindirect · owns 75% or more of B••• P••••• P••••• • I•••
- E••••••••• I••• · Sole Shareholderindirect · owns 75% or more of F•••• D••••••• H•••••••• I•••
- F•••• D••••••• H•••••••• I••• · Memberindirect · owns 75% or more of F•••• D•••••••• I•••
- F•••• D•••••••• I••• · Sole Memberindirect · owns 75% or more of M•••• L••
- B••• C•••••• F••• X•••• L••• · Ownerindirect · owns 25% to 50% of B••• P••••• I•••••••• L•
Related persons
Schedule D 7.A
- Ac Wealth Partnersinvestment advisernRAUM $1.1B
- E•••••••• P••investment advisernRAUM $615B
- E•••••••• P•••••••• S••••••••• I•••investment advisernRAUM $17B
- E•••••••• R••••••••• S••••••••• L••investment advisernRAUM $16B
- E•••••••• S••••••••• I•••broker-dealern
- F••• G•••• L••real estaten
- F••• M•••••• L••broker-dealern
- Q•• C•••••• M••••••••• I•••investment advisernRAUM $11B
Advisers that list F•• A•••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Berwyn, PA1 employees
- Denver, CO1 employees
What changed
consecutive filings, newest first
- HQ city · CHICAGO to BERWYNApr 10, 2026 to Jun 30, 2026
- HQ state · IL to PAApr 10, 2026 to Jun 30, 2026
- Other offices · 2 to 1Apr 10, 2026 to Jun 30, 2026
- Accounts · 5,003 to 3,937Dec 8, 2025 to Mar 31, 2026
- Advisory employees · 5 to 4Dec 8, 2025 to Mar 31, 2026
- Employees · 20 to 17Dec 8, 2025 to Mar 31, 2026
- Discretionary RAUM · $926M to $833MDec 8, 2025 to Mar 31, 2026
- RAUM · $926M to $833MDec 8, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jul 1, 2025
- Accounts · 9,519 to 5,003Feb 18, 2025 to Mar 31, 2025
- Advisory employees · 9 to 5Feb 18, 2025 to Mar 31, 2025
- Employees · 48 to 20Feb 18, 2025 to Mar 31, 2025
- Discretionary RAUM · $2.3B to $926MFeb 18, 2025 to Mar 31, 2025
- RAUM · $2.3B to $926MFeb 18, 2025 to Mar 31, 2025
- Related bank · false to trueSep 3, 2024 to Dec 9, 2024
- Accounts · 11,861 to 9,519Jan 24, 2024 to Mar 28, 2024
- Advisory employees · 10 to 9Jan 24, 2024 to Mar 28, 2024
- Employees · 66 to 48Jan 24, 2024 to Mar 28, 2024
- State-registered IARs · 2 to 0Jan 24, 2024 to Mar 28, 2024
- Discretionary RAUM · $3.6B to $2.3BJan 24, 2024 to Mar 28, 2024
- RAUM · $3.6B to $2.3BJan 24, 2024 to Mar 28, 2024
- Related broker-dealer · false to trueMar 31, 2023 to Sep 27, 2023
- Accounts · 12,396 to 11,861Feb 22, 2023 to Mar 31, 2023
- Employees · 51 to 66Feb 22, 2023 to Mar 31, 2023
- Discretionary RAUM · $5.1B to $3.6BFeb 22, 2023 to Mar 31, 2023
- RAUM · $5.1B to $3.6BFeb 22, 2023 to Mar 31, 2023
- Accounts · 11,786 to 12,396Feb 3, 2022 to Mar 31, 2022
- Advisory employees · 4 to 10Feb 3, 2022 to Mar 31, 2022
- Employees · 54 to 51Feb 3, 2022 to Mar 31, 2022
- Discretionary RAUM · $3.9B to $5.1BFeb 3, 2022 to Mar 31, 2022
- RAUM · $3.9B to $5.1BFeb 3, 2022 to Mar 31, 2022
- Accounts · 13,411 to 11,786Aug 28, 2020 to Mar 31, 2021
- Advisory employees · 5 to 4Aug 28, 2020 to Mar 31, 2021
- Employees · 64 to 54Aug 28, 2020 to Mar 31, 2021
- Discretionary RAUM · $3.4B to $3.9BAug 28, 2020 to Mar 31, 2021
- RAUM · $3.4B to $3.9BAug 28, 2020 to Mar 31, 2021
- HQ city · SACRAMENTO to CHICAGOJun 29, 2020 to Aug 28, 2020
- HQ state · CA to ILJun 29, 2020 to Aug 28, 2020
- Other offices · 4 to 2Jun 29, 2020 to Aug 28, 2020
- Accounts · 49,152 to 13,411Oct 31, 2019 to Apr 14, 2020
Signals
18 dated events
- F•• A•••••••• I••• reported RAUM $926.1M, down 59% from $2.3B (2025-02-18 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- F•• A•••••••• I••• reported RAUM $2.3B, down 37% from $3.6B (2024-01-24 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Lawrence James Fox (Interim Chief Executive Officer) appeared on Schedule A of F•• A•••••••• I•••Mar 28, 2024 · Control person joined · fact
- C. William Crager (Ceo) no longer on Schedule A of F•• A•••••••• I••• (listed 2024-01-24, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Michael Robert Coppola (Chief Technology Officer) no longer on Schedule A of F•• A•••••••• I••• (listed 2024-01-24, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- B. Joshua Warren (Chief Financial Officer) appeared on Schedule A of F•• A•••••••• I•••Jan 24, 2024 · Control person joined · fact
- H Peter Darrigo (Chief Financial Officer) no longer on Schedule A of F•• A•••••••• I••• (listed 2023-09-27, absent 2024-01-24)Jan 24, 2024 · Control person left · inference
- David Joshua Mayer (Chief Operating Officer) no longer on Schedule A of F•• A•••••••• I••• (listed 2023-09-27, absent 2024-01-24)Jan 24, 2024 · Control person left · inference
- F•• A•••••••• I••• reported RAUM $3.6B, down 29% from $5.1B (2023-02-22 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Michael Thomas Sipp (Evp, Envestnet Business Lines) appeared on Schedule A of F•• A•••••••• I•••Feb 3, 2023 · Control person joined · fact
- F•• A•••••••• I••• reported RAUM $5.1B, up 31% from $3.9B (2022-02-03 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Michael Robert Coppola (Chief Technology Officer) appeared on Schedule A of F•• A•••••••• I•••Apr 27, 2021 · Control person joined · fact
- Marie Dana D'Auria (Co-Chief Investment Officer) appeared on Schedule A of F•• A•••••••• I•••Mar 31, 2021 · Control person joined · fact
- David Scott Grinis (Chief Technology Officer) no longer on Schedule A of F•• A•••••••• I••• (listed 2020-08-28, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- F•• A•••••••• I••• reported RAUM $3.4B, down 49% from $6.7B (2019-10-31 to 2020-04-14)Apr 14, 2020 · RAUM change · derived
- T Judson Bergman (Chief Executive Officer And Director) no longer on Schedule A of F•• A•••••••• I••• (listed 2019-03-30, absent 2019-10-31)Oct 31, 2019 · Control person left · inference
- David Scott Grinis (Chief Technology Officer) appeared on Schedule A of F•• A•••••••• I•••Mar 30, 2019 · Control person joined · fact
- F•• A•••••••• I••• reported RAUM $8.6B, up 29% from $6.7B (2017-12-20 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
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
- Website
- E••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-827-2800reportedpublic record, Form ADV, Jun 30, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026