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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C•••• A•••• M••••••••• I••
Latest filing Mar 27, 2026
First filing on the tape Mar 19, 2012 · 55 filings
SEC status approved since Dec 7, 1982
RAUM
$2.6B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
94%
$2.5B individuals and HNW
Advisors
20
registered through the firm on IAPD
RAUM per advisor
$131M
derived; firm RAUM over IAPD count
Employees
29
20 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
55 filings and snapshots on the tape
RAUM$2.6B as of Mar 27, 2026
Mar 19, 2012$681M then
HNW client RAUM$2.0B as of Mar 27, 2026
Feb 27, 2018$908M then
State-registered IARs (5.B.3)20 as of Mar 27, 2026
Mar 4, 201315 then
Employees (5.A)29 as of Mar 27, 2026
Mar 4, 201317 then
Private funds1 as of Mar 16, 2016
Mar 19, 20122 then
RAUM +17% over the last fiscal year+17% a year over threeIARs 20 to 20
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 106derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $685,822derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 20.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $1.1M, 11 clientsreportedItem 9.A
- 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- a related person has custody of client cash (9.B.1.a)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.0B74%
- Individuals$512M20%
- Charitable organizations$69.7M2.7%
- Corporations and businesses$49.1M1.9%
- Pension and profit-sharing plans$41.3M1.6%
- Individual clients
- 1,181reported
- HNW clients
- 935reported
- Pension plan clients
- 12reported
- Charitable clients
- 29reported
- Accounts
- 3,824reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1M for 11 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
20 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• L••• K••••• | Champaign, Il | Feb 17, 1998 | 44 y | 1 |
| M••• F•••••• M••••••Certified Financial Planner, Personal Financial Specialist | Champaign, Il | Feb 17, 1998 | 41 y | 2 |
| S••••• T••••• M••••••Chartered Financial Consultant | Champaign, Il | Feb 17, 1998 | 43 y | 2 |
| D••••• R•••• C••••• | Champaign, Il | Feb 17, 1998 | 44 y | 0 |
| G•••••• D••• C••••Certified Financial Planner | Champaign, Il | Feb 17, 1998 | 44 y | 2 |
| P•••• J•••••• S•••••••Certified Financial Planner | Champaign, Il | Sep 29, 1999 | 35 y | 0 |
| A••• J••••• S•••••••Certified Financial Planner, Chartered Financial Analyst | Champaign, Il | May 10, 2001 | 28 y | 2 |
| J••• B••••• E•••• | Champaign, Il | Feb 28, 2002 | 24 y | 1 |
| S••••• J• G••••••Certified Financial Planner | Champaign, Il | Jan 28, 2011 | 17 y | 1 |
| J••• S•••••• E•••••Certified Financial Planner | Champaign, Il | Mar 13, 2012 | 43 y | 1 |
| S•••••• C•••• K••••• | Champaign, Il | Feb 13, 2013 | 18 y | 0 |
| B•••• A•••••••Certified Financial Planner | Champaign, Il | Dec 26, 2018 | 12 y | 1 |
| A••••••• L•••• O••••Certified Financial Planner | Champaign, Il | Feb 11, 2020 | 26 y | 1 |
| K•••••• A••• B•••••••Certified Financial Planner | Champaign, Il | Feb 19, 2020 | 12 y | 0 |
| W•••••• J•••• B••••••• | Champaign, Il | Jun 4, 2021 | 12 y | 1 |
| D•••••••• K••• | Champaign, Il | Dec 20, 2021 | 24 y | 0 |
| T•••••• S• M•••••• | Champaign, Il | Sep 21, 2022 | 14 y | 1 |
| B•••• W•••••• S•••••••Certified Financial Planner | Champaign, Il | Dec 15, 2022 | 10 y | 0 |
| R•••• A•• F••••••Certified Financial Planner | Champaign, Il | Feb 23, 2023 | 15 y | 0 |
| R•••••• L•• H••••••• | Champaign, Il | Jan 6, 2025 | 57 y | 1 |
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
- X•••••• L•• to F•••••••• P•••••••• A•••• M•••••••••Jul 23, 2019 · RIA to a state-registered adviser
Joined, latest
- W•••••• J•••• B••••••• from U•• F•••••••• S••••••• I•••Jun 4, 2021 · Wirehouse to independent RIA
- A••••••• L•••• O•••• from A••••••••• F•••••••• S•••••••• L••Feb 11, 2020 · Affiliated broker-dealer or bank to independent RIA
- B•••• A••••••• from M• H••••••• S••••••••• I•••Dec 26, 2018 · Affiliated broker-dealer or bank to independent RIA
- J••• S•••••• E••••• from A••••••••• F•••••••• S•••••••• L••Mar 13, 2012 · Other
- S••••• J• G•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 28, 2011 · Other
- G•••••• D••• C•••• from S••••• C•••• A•••• M••••••••• L••Feb 17, 1998 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• P••••••• I• L•••••• P•••••••••no longer reported | Real Estate Fund | $24.0M | 3 | Mar 19, 2012 |
| C•••• S•••• C•• V•••• F••• I• L•no longer reported | Private Equity Fund | $20.2M | 42 | Mar 19, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••••• B•••••• L•• · Chief Operating Officer, Chief Financial Officer, Secretary & Treasurercontrolsince 12/2021 · owns less than 5%
- A•••••••• B•••• · Co-Chief Executive Officer, Chief Investment Officer, Directorcontrolsince 12/2021 · owns less than 5%
- B•••••••• K••••••• A••• · Executive Vice President, Directorcontrolsince 12/2024 · owns less than 5%
- C••••• G••••••• D••• · President, Chief Executive Officer, Directorcontrolsince 11/1993 · owns 5% to 10%
- K•••• D•••••••• · Co-Chief Executive Officer, President, Directorcontrolsince 12/2023 · owns less than 5%
- K•••••• R•••••• L••• · Directorcontrolsince 01/1982 · owns 5% to 10%
- K•••••• S••••••• C•••• · Chief Compliance Officercontrolsince 01/2013 · owns less than 5%
- M••••••• M•••• F•••••• · Directorcontrolsince 05/2000 · owns 5% to 10%
- M••••••• S•••••• T••••• · Directorcontrolsince 10/1982 · owns 5% to 10%
- S•••••••• A•••• J••••• · Executive Vice President, Director Of Tax Department, & Directorcontrolsince 01/2013 · owns less than 5%
- W••••• B•• J••••• · Directorcontrolsince 12/2021 · owns less than 5%
- N•••••• C••••••• C• · Shareholdersince 08/1994 · owns 5% to 10%
- N•••••• J•••••••• A•••• · Shareholdersince 01/1992 · owns 5% to 10%
Entity owners
- C•••••• H• S••••••• · Shareholderdirect · owns 5% to 10%
- G••••• S••••••• E••••• · Shareholderdirect · owns 25% to 50%
- J••• M••• S••••••• · Shareholderdirect · owns 5% to 10%
- L•••• P• S••••••• · Shareholderdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- M•••••• T•• S•••••••• L••insurancey
Advisers that list C•••• A•••• M••••••••• I•• as a related person
- 107800 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Champaign, Il · principal | 20 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 27, 2026C••••• G••••••• D••• (PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR) left Schedule A between the filings of 2024-03-28 and 2026-03-27peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 27, 2026B•••••••• K••••••• A••• (EXECUTIVE VICE PRESIDENT, DIRECTOR) appeared on Schedule A between the filings of 2024-03-28 and 2026-03-27peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 3,424 to 3,824Jan 16, 2026 to Mar 27, 2026
- Charity clients · 24 to 29Jan 16, 2026 to Mar 27, 2026
- Corporate clients · 23 to 21Jan 16, 2026 to Mar 27, 2026
- HNW clients · 878 to 935Jan 16, 2026 to Mar 27, 2026
- Individual clients · 1,078 to 1,181Jan 16, 2026 to Mar 27, 2026
- Assets in custody · $774,634 to $1.1MJan 16, 2026 to Mar 27, 2026
- Financial planning clients · 1-10 to 101-250Jan 16, 2026 to Mar 27, 2026
- Discretionary RAUM · $2.2B to $2.5BJan 16, 2026 to Mar 27, 2026
- HNW RAUM · $1.7B to $2.0BJan 16, 2026 to Mar 27, 2026
- Individual RAUM · $409M to $512MJan 16, 2026 to Mar 27, 2026
- Non-discretionary RAUM · $68.9M to $73.5MJan 16, 2026 to Mar 27, 2026
- Pension RAUM · $63.0M to $41.3MJan 16, 2026 to Mar 27, 2026
- RAUM · $2.2B to $2.6BJan 16, 2026 to Mar 27, 2026
- Financial planning clients · 1-10 to 1-10Mar 31, 2025 to May 22, 2025
- Accounts · 3,301 to 3,424Oct 4, 2024 to Mar 31, 2025
- BD registered reps · 1 to 0Oct 4, 2024 to Mar 31, 2025
- Charity clients · 29 to 24Oct 4, 2024 to Mar 31, 2025
- Corporate clients · 18 to 23Oct 4, 2024 to Mar 31, 2025
- HNW clients · 854 to 878Oct 4, 2024 to Mar 31, 2025
- Individual clients · 1,020 to 1,078Oct 4, 2024 to Mar 31, 2025
- Pension plan clients · 5 to 12Oct 4, 2024 to Mar 31, 2025
- Assets in custody · $938,873 to $774,634Oct 4, 2024 to Mar 31, 2025
- Employees · 25 to 29Oct 4, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.9B to $2.2BOct 4, 2024 to Mar 31, 2025
- HNW RAUM · $1.5B to $1.7BOct 4, 2024 to Mar 31, 2025
- Individual RAUM · $347M to $409MOct 4, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $62.0M to $68.9MOct 4, 2024 to Mar 31, 2025
- Pension RAUM · $55.8M to $63.0MOct 4, 2024 to Mar 31, 2025
- RAUM · $1.9B to $2.2BOct 4, 2024 to Mar 31, 2025
- Accounts · 3,074 to 3,301Jan 30, 2024 to Mar 28, 2024
- Advisory employees · 22 to 20Jan 30, 2024 to Mar 28, 2024
- Charity clients · 22 to 29Jan 30, 2024 to Mar 28, 2024
- Corporate clients · 16 to 18Jan 30, 2024 to Mar 28, 2024
- HNW clients · 816 to 854Jan 30, 2024 to Mar 28, 2024
- Individual clients · 925 to 1,020Jan 30, 2024 to Mar 28, 2024
- Pension plan clients · 16 to 5Jan 30, 2024 to Mar 28, 2024
- Assets in custody · unset to 938873.0Jan 30, 2024 to Mar 28, 2024
- Custody of client assets · false to trueJan 30, 2024 to Mar 28, 2024
- State-registered IARs · 22 to 20Jan 30, 2024 to Mar 28, 2024
- Discretionary RAUM · $1.6B to $1.9BJan 30, 2024 to Mar 28, 2024
Signals
6 dated events
- D•••••••• K••• (Director) appeared on Schedule A of C•••• A•••• M••••••••• I••Mar 28, 2024 · Control person joined · fact
- T George Shapland (Shareholder) no longer on Schedule A of C•••• A•••• M••••••••• I•• (listed 2024-01-30, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Lee Braden Anderson (Chief Financial Officer, Secretary & Treasurer) appeared on Schedule A of C•••• A•••• M••••••••• I••Mar 29, 2022 · Control person joined · fact
- B•••• A••••••• (Director) appeared on Schedule A of C•••• A•••• M••••••••• I••Mar 29, 2022 · Control person joined · fact
- Joseph B. White (Director) appeared on Schedule A of C•••• A•••• M••••••••• I••Mar 29, 2022 · Control person joined · fact
- C•••• A•••• M••••••••• I•• reported RAUM $1.5B, up 25% from $1.2B (2019-05-06 to 2020-02-25)Feb 25, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- C•••• A•••• M••••••••• I•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 800-437-1686reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 217-356-8363reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- C••••ASSET.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 217-356-8363reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- cozadasset.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- cozadasset.com/team/gregory-d-cozadreportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $131Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
C•••• A•••• M••••••••• I•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
Checking your plan…