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
B•••• • C• I••
Latest filing Mar 26, 2026
First filing on the tape Apr 3, 2012 · 18 filings
SEC status approved since Sep 18, 1974
RAUM
$380M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.0%
$4.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$380M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$380M as of Mar 26, 2026
Apr 3, 2012$482M then
HNW client RAUM$4.0M as of Mar 26, 2026
Mar 26, 2018$42.1M then
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Apr 3, 20120 then
Employees (5.A)1 as of Mar 26, 2026
May 24, 20132 then
Private funds: no history
RAUM -4.5% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $380MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $127MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.5%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companiesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$348M92%
- Charitable organizations$27.8M7.3%
- High-net-worth individuals$4.0M1.0%
- Individual clients
- n/areported
- HNW clients
- 1reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.01 fund_share=0.92 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• J•••••• B•••• | Chicago, Il | Nov 10, 2005 | 43 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• R•••••• J•••••• · President, Chief Compliance Officercontrolsince 06/2023 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $397M to $380MMar 21, 2025 to Mar 26, 2026
- HNW RAUM · $3.8M to $4.0MMar 21, 2025 to Mar 26, 2026
- RAUM · $397M to $380MMar 21, 2025 to Mar 26, 2026
- Accounts · 4 to 3Mar 28, 2024 to Mar 21, 2025
- Charity clients · unset to 1.0Mar 28, 2024 to Mar 21, 2025
- HNW clients · 2 to 1Mar 28, 2024 to Mar 21, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 21, 2025
- Discretionary RAUM · $474M to $397MMar 28, 2024 to Mar 21, 2025
- HNW RAUM · $9.4M to $3.8MMar 28, 2024 to Mar 21, 2025
- RAUM · $474M to $397MMar 28, 2024 to Mar 21, 2025
- Accounts · 7 to 4Jul 18, 2023 to Mar 28, 2024
- HNW clients · 4 to 2Jul 18, 2023 to Mar 28, 2024
- Discretionary RAUM · $558M to $474MJul 18, 2023 to Mar 28, 2024
- HNW RAUM · $19.9M to $9.4MJul 18, 2023 to Mar 28, 2024
- Pension RAUM · 1378098.0 to unsetJul 18, 2023 to Mar 28, 2024
- RAUM · $558M to $474MJul 18, 2023 to Mar 28, 2024
- Advisory employees · 2 to 1Mar 29, 2023 to Jul 18, 2023
- Employees · 2 to 1Mar 29, 2023 to Jul 18, 2023
- Discretionary RAUM · $649M to $558MAug 8, 2022 to Mar 29, 2023
- HNW RAUM · $26.1M to $19.9MAug 8, 2022 to Mar 29, 2023
- Pension RAUM · $1.8M to $1.4MAug 8, 2022 to Mar 29, 2023
- RAUM · $649M to $558MAug 8, 2022 to Mar 29, 2023
- Accounts · 11 to 7Mar 30, 2021 to Mar 30, 2022
- HNW clients · 6 to 4Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $641M to $649MMar 30, 2021 to Mar 30, 2022
- HNW RAUM · $52.8M to $26.1MMar 30, 2021 to Mar 30, 2022
- Individual RAUM · 211731.0 to unsetMar 30, 2021 to Mar 30, 2022
- Pension RAUM · $1.6M to $1.8MMar 30, 2021 to Mar 30, 2022
- RAUM · $641M to $649MMar 30, 2021 to Mar 30, 2022
- Accounts · 13 to 11Oct 15, 2020 to Mar 30, 2021
- HNW clients · 7 to 6Oct 15, 2020 to Mar 30, 2021
- Discretionary RAUM · $617M to $641MOct 15, 2020 to Mar 30, 2021
- HNW RAUM · $50.2M to $52.8MOct 15, 2020 to Mar 30, 2021
- Individual RAUM · $207,637 to $211,731Oct 15, 2020 to Mar 30, 2021
- Pension RAUM · $1.3M to $1.6MOct 15, 2020 to Mar 30, 2021
- RAUM · $617M to $641MOct 15, 2020 to Mar 30, 2021
- HNW clients · 6 to 7Mar 22, 2019 to Mar 26, 2020
- Discretionary RAUM · $726M to $617MMar 22, 2019 to Mar 26, 2020
- HNW RAUM · $40.2M to $50.2MMar 22, 2019 to Mar 26, 2020
- Individual RAUM · $158,439 to $207,637Mar 22, 2019 to Mar 26, 2020
Signals
1 dated events
- B Robert Bruce (President) no longer on Schedule A of B•••• • C• I•• (listed 2023-03-29, absent 2023-07-18)Jul 18, 2023 · Control person left · inference
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
- 312-236-9160reportedpublic 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $380Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026