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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Former SEC-registered adviser

F•••• F•••••••• A•••••••• I•••

Former SEC-registered adviserRockford, IllinoisCRD 105038SEC 801-30209IAPD
Latest filing Mar 23, 2018
First filing on the tape Mar 27, 2012 · 9 filings
RAUM
$99.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$99.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$99.7M as of Mar 23, 2018
Mar 27, 2012$106M then
HNW client RAUM: $59.3M
State-registered IARs (5.B.3)1 as of Mar 23, 2018
Mar 27, 20120 then
Employees (5.A)3 as of Mar 23, 2018
Mar 25, 20134 then
Private funds: no history
RAUM -15% over the last fiscal year-6.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 23, 2018; every figure names its basis
RAUM per advisor
$99.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
164derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$253,710derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-15%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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
Custody
$3.4M, 1 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$59.3M59%
  • Individuals$40.4M41%
Individual clients
136reported
HNW clients
28reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
393reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$3.4M for 1 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • R••••••• J•••••• H• · Trusteecontrol
        since 04/2015 · owns 75% or more
      • A••••••• J••• L• · Principal
        since 12/2005 · owns less than 5%
      • W••••••• M•••••• L• · Chief Compliance Officer
        since 01/2005 · owns less than 5%
      Entity owners
      • F•••••••• E• R•••••• T•••• D•••• 9•••••••• · Owner
        direct · 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
      • Accounts · 474 to 393
        May 10, 2017 to Mar 23, 2018
      • HNW clients · unset to 28.0
        May 10, 2017 to Mar 23, 2018
      • Individual clients · unset to 136.0
        May 10, 2017 to Mar 23, 2018
      • Assets in custody · $2.5M to $3.4M
        May 10, 2017 to Mar 23, 2018
      • Other offices · unset to 1.0
        May 10, 2017 to Mar 23, 2018
      • Discretionary RAUM · $100M to $99.7M
        May 10, 2017 to Mar 23, 2018
      • HNW RAUM · unset to 59302367.0
        May 10, 2017 to Mar 23, 2018
      • Individual RAUM · unset to 40405722.0
        May 10, 2017 to Mar 23, 2018
      • Non-discretionary RAUM · $16.9M to $0
        May 10, 2017 to Mar 23, 2018
      • RAUM · $117M to $99.7M
        May 10, 2017 to Mar 23, 2018
      • Accounts · 475 to 474
        Mar 25, 2016 to Mar 20, 2017
      • Assets in custody · $2.6M to $2.5M
        Mar 25, 2016 to Mar 20, 2017
      • Discretionary RAUM · $105M to $100M
        Mar 25, 2016 to Mar 20, 2017
      • Non-discretionary RAUM · $9.3M to $16.9M
        Mar 25, 2016 to Mar 20, 2017
      • RAUM · $114M to $117M
        Mar 25, 2016 to Mar 20, 2017
      • Accounts · 481 to 475
        Jun 3, 2015 to Mar 25, 2016
      • Assets in custody · $2.9M to $2.6M
        Jun 3, 2015 to Mar 25, 2016
      • Discretionary RAUM · $115M to $105M
        Jun 3, 2015 to Mar 25, 2016
      • Non-discretionary RAUM · $7.8M to $9.3M
        Jun 3, 2015 to Mar 25, 2016
      • RAUM · $123M to $114M
        Jun 3, 2015 to Mar 25, 2016
      • Advisory employees · 2 to 1
        Mar 20, 2015 to Jun 3, 2015
      • Assets in custody · $3.1M to $2.9M
        Mar 20, 2015 to Jun 3, 2015
      • Employees · 4 to 3
        Mar 20, 2015 to Jun 3, 2015
      • Accounts · 476 to 481
        Mar 28, 2014 to Mar 20, 2015
      • Assets in custody · $3.2M to $3.1M
        Mar 28, 2014 to Mar 20, 2015
      • Discretionary RAUM · $107M to $115M
        Mar 28, 2014 to Mar 20, 2015
      • Non-discretionary RAUM · $4.5M to $7.8M
        Mar 28, 2014 to Mar 20, 2015
      • RAUM · $111M to $123M
        Mar 28, 2014 to Mar 20, 2015
      • Accounts · 458 to 476
        Mar 25, 2013 to Mar 28, 2014
      • Assets in custody · $3.4M to $3.2M
        Mar 25, 2013 to Mar 28, 2014
      • Discretionary RAUM · $101M to $107M
        Mar 25, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $7.5M to $4.5M
        Mar 25, 2013 to Mar 28, 2014
      • RAUM · $109M to $111M
        Mar 25, 2013 to Mar 28, 2014
      • Advisory employees · unset to 2.0
        Mar 27, 2012 to Mar 25, 2013
      • Assets in custody · $3.5M to $3.4M
        Mar 27, 2012 to Mar 25, 2013
      • Employees · unset to 4.0
        Mar 27, 2012 to Mar 25, 2013
      • State-registered IARs · 0 to 1
        Mar 27, 2012 to Mar 25, 2013
      • Discretionary RAUM · $101M to $101M
        Mar 27, 2012 to Mar 25, 2013
      • Non-discretionary RAUM · $5.3M to $7.5M
        Mar 27, 2012 to Mar 25, 2013
      • RAUM · $106M to $109M
        Mar 27, 2012 to Mar 25, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered adviserderiveda 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