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

H•••••• C••• M••••••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 106172SEC 801-47928IAPD
Latest filing Nov 22, 2014
First filing on the tape Dec 2, 2011 · 15 filings
RAUM
$500M
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
12
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$1.7B as of Mar 25, 2014
Mar 22, 2012$2.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2014
Mar 26, 20130 then
Employees (5.A)12 as of Mar 25, 2014
Mar 26, 201314 then
Private funds: no history
RAUM -72% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Nov 22, 2014; every figure names its basis
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
$11.4MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-4.9%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 pooled vehicles, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
44reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • K•••• J•••• A•••••• · Sr. Vice President/Senior Portfolio Managercontrol
        since 01/2011 · owns less than 5%
      • M••• D••••• C•••••••• · Chair/Ceocontrol
        since 01/1992 · owns 75% or more
      • P•••••• R••••• · Chief Compliance Officercontrol
        since 05/2013 · owns less than 5%
      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 · $1.7B to $500M
        Mar 25, 2014 to Aug 13, 2014
      • RAUM · $1.7B to $500M
        Mar 25, 2014 to Aug 13, 2014
      • Accounts · 63 to 44
        Dec 6, 2013 to Mar 25, 2014
      • Advisory employees · 5 to 4
        Dec 6, 2013 to Mar 25, 2014
      • Advisory activities · 4 to 3
        Dec 6, 2013 to Mar 25, 2014
      • Assets in custody · 636246892.0 to unset
        Dec 6, 2013 to Mar 25, 2014
      • Custody of client assets · true to false
        Dec 6, 2013 to Mar 25, 2014
      • Employees · 14 to 12
        Dec 6, 2013 to Mar 25, 2014
      • Discretionary RAUM · $1.8B to $1.7B
        Dec 6, 2013 to Mar 25, 2014
      • RAUM · $1.8B to $1.7B
        Dec 6, 2013 to Mar 25, 2014
      • Accounts · 69 to 63
        Jan 16, 2013 to Mar 26, 2013
      • Advisory employees · 6 to 5
        Jan 16, 2013 to Mar 26, 2013
      • Assets in custody · $901M to $636M
        Jan 16, 2013 to Mar 26, 2013
      • Employees · 15 to 14
        Jan 16, 2013 to Mar 26, 2013
      • Discretionary RAUM · $2.1B to $1.8B
        Jan 16, 2013 to Mar 26, 2013
      • RAUM · $2.1B to $1.8B
        Jan 16, 2013 to Mar 26, 2013
      • Advisory employees · unset to 6.0
        Jun 20, 2012 to Jan 16, 2013
      • Employees · unset to 15.0
        Jun 20, 2012 to Jan 16, 2013
      • State-registered IARs · unset to 0.0
        Jun 20, 2012 to Jan 16, 2013
      • Accounts · 76 to 69
        Dec 5, 2011 to Mar 22, 2012
      • Assets in custody · $1.0B to $901M
        Dec 5, 2011 to Mar 22, 2012
      • Discretionary RAUM · $2.5B to $2.1B
        Dec 5, 2011 to Mar 22, 2012
      • RAUM · $2.5B to $2.1B
        Dec 5, 2011 to Mar 22, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 2, 2011 to Dec 5, 2011
      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