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
A••••• M• C•••• • A••••••••• L••
Latest filing Apr 17, 2026
First filing on the tape Mar 14, 2012 · 19 filings
SEC status approved since Jan 12, 1990
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.1B individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$371M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.1B as of Apr 17, 2026
Mar 14, 2012$398M then
HNW client RAUM$1.1B as of Apr 17, 2026
Mar 27, 2018$631M then
State-registered IARs (5.B.3)2 as of Apr 17, 2026
Mar 14, 20120 then
Employees (5.A)5 as of Apr 17, 2026
Mar 20, 20133 then
Private funds: no history
RAUM +8.9% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $371MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.7MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B99%
- Individuals$10.4M0.9%
- Charitable organizations$2.7M0.2%
- Individual clients
- 26reported
- HNW clients
- 163reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 837reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• M••• C•••• | Northbrook, Il | Sep 5, 1997 | 47 y | 0 |
| N••• L••••• Y••••••Certified Financial Planner | Northbrook, Il | Sep 24, 2002 | 29 y | 0 |
| M••••• J••• P••••••Certified Financial Planner | Glencoe, Il | Jan 22, 2024 | 10 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
none on the tape
Joined, latest
- M••••• J••• P•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 22, 2024 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• A•••••• M••• · Sole Member, President, Chief Compliance Officercontrolsince 10/2001 · owns 75% or more
- C••••• L••• · Chief Compliance Officercontrolsince 09/2004 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Northbrook, Il · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Apr 17, 2026C••••• L••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2012-03-14 and 2026-04-17peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 831 to 837Feb 12, 2025 to Mar 20, 2026
- Charity clients · 0 to 2Feb 12, 2025 to Mar 20, 2026
- HNW clients · 153 to 163Feb 12, 2025 to Mar 20, 2026
- Individual clients · 15 to 26Feb 12, 2025 to Mar 20, 2026
- Discretionary RAUM · $1.0B to $1.1BFeb 12, 2025 to Mar 20, 2026
- HNW RAUM · $1.0B to $1.1BFeb 12, 2025 to Mar 20, 2026
- Individual RAUM · $9.6M to $10.4MFeb 12, 2025 to Mar 20, 2026
- RAUM · $1.0B to $1.1BFeb 12, 2025 to Mar 20, 2026
- Accounts · 790 to 831Feb 21, 2024 to Feb 12, 2025
- HNW clients · 148 to 153Feb 21, 2024 to Feb 12, 2025
- Individual clients · 27 to 15Feb 21, 2024 to Feb 12, 2025
- Employees · 4 to 5Feb 21, 2024 to Feb 12, 2025
- Financial planning clients · 1-10 to 1-10Feb 21, 2024 to Feb 12, 2025
- Discretionary RAUM · $853M to $1.0BFeb 21, 2024 to Feb 12, 2025
- HNW RAUM · $838M to $1.0BFeb 21, 2024 to Feb 12, 2025
- Individual RAUM · $14.7M to $9.6MFeb 21, 2024 to Feb 12, 2025
- RAUM · $853M to $1.0BFeb 21, 2024 to Feb 12, 2025
- Accounts · 797 to 790Feb 27, 2023 to Feb 21, 2024
- Advisory employees · 1 to 2Feb 27, 2023 to Feb 21, 2024
- HNW clients · 147 to 148Feb 27, 2023 to Feb 21, 2024
- Individual clients · 28 to 27Feb 27, 2023 to Feb 21, 2024
- Employees · 3 to 4Feb 27, 2023 to Feb 21, 2024
- State-registered IARs · 1 to 2Feb 27, 2023 to Feb 21, 2024
- Discretionary RAUM · $784M to $853MFeb 27, 2023 to Feb 21, 2024
- HNW RAUM · $767M to $838MFeb 27, 2023 to Feb 21, 2024
- Individual RAUM · $17.0M to $14.7MFeb 27, 2023 to Feb 21, 2024
- RAUM · $784M to $853MFeb 27, 2023 to Feb 21, 2024
- Accounts · 811 to 797Feb 7, 2022 to Feb 27, 2023
- HNW clients · 172 to 147Feb 7, 2022 to Feb 27, 2023
- Individual clients · 17 to 28Feb 7, 2022 to Feb 27, 2023
- Discretionary RAUM · $1.1B to $784MFeb 7, 2022 to Feb 27, 2023
- HNW RAUM · $1.1B to $767MFeb 7, 2022 to Feb 27, 2023
- Individual RAUM · $7.0M to $17.0MFeb 7, 2022 to Feb 27, 2023
- RAUM · $1.1B to $784MFeb 7, 2022 to Feb 27, 2023
- Accounts · 786 to 811Feb 23, 2021 to Feb 7, 2022
- HNW clients · 154 to 172Feb 23, 2021 to Feb 7, 2022
- Individual clients · 23 to 17Feb 23, 2021 to Feb 7, 2022
- Discretionary RAUM · $892M to $1.1BFeb 23, 2021 to Feb 7, 2022
- HNW RAUM · $877M to $1.1BFeb 23, 2021 to Feb 7, 2022
- Individual RAUM · $14.3M to $7.0MFeb 23, 2021 to Feb 7, 2022
Signals
1 dated events
- A••••• M• C•••• • A••••••••• L•• reported RAUM $783.7M, down 26% from $1.1B (2022-02-07 to 2023-02-27)Feb 27, 2023 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- A••••• M• C•••• • A••••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Principal office phone
- 847-480-2990reportedpublic record, Form ADV, Apr 17, 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
- $371Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026