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

A••••• W••••• M••••••••• R••••••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 106563SEC 801-41118IAPD
Latest filing Jul 24, 2015
First filing on the tape Mar 28, 2012 · 6 filings
RAUM
$147M
reported, Item 5.F
Discretionary
0.0%
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$147M as of Mar 9, 2015
Mar 28, 2012$106M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 9, 2015
Mar 28, 20120 then
Employees (5.A)3 as of Mar 9, 2015
Mar 8, 20132 then
Private funds: no history
RAUM +11% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 24, 2015; every figure names its basis
RAUM per advisor
$73.7MderivedRAUM 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
$499,682derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
+50%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 individuals, 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
  • 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
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
295reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M••••• C•••••• C••••• · Membercontrol
    since 10/2004 · owns 50% to 75%
  • M••••• M•••••••• L••••• · Member And Chief Compliance Officercontrol
    since 10/2004 · owns 50% to 75%
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
  • Advisory employees · 3 to 2
    Mar 9, 2015 to Jul 24, 2015
  • Employees · 3 to 2
    Mar 9, 2015 to Jul 24, 2015
  • State-registered IARs · 3 to 2
    Mar 9, 2015 to Jul 24, 2015
  • Accounts · 298 to 295
    Jun 24, 2014 to Mar 9, 2015
  • Advisory employees · 2 to 3
    Jun 24, 2014 to Mar 9, 2015
  • Employees · 2 to 3
    Jun 24, 2014 to Mar 9, 2015
  • Financial planning clients · 51-100 to 101-250
    Jun 24, 2014 to Mar 9, 2015
  • State-registered IARs · 2 to 3
    Jun 24, 2014 to Mar 9, 2015
  • Non-discretionary RAUM · $133M to $147M
    Jun 24, 2014 to Mar 9, 2015
  • RAUM · $133M to $147M
    Jun 24, 2014 to Mar 9, 2015
  • Accounts · 277 to 298
    Mar 8, 2013 to Mar 17, 2014
  • Non-discretionary RAUM · $118M to $133M
    Mar 8, 2013 to Mar 17, 2014
  • RAUM · $118M to $133M
    Mar 8, 2013 to Mar 17, 2014
  • Accounts · 257 to 277
    Mar 28, 2012 to Mar 8, 2013
  • Advisory employees · unset to 2.0
    Mar 28, 2012 to Mar 8, 2013
  • Employees · unset to 2.0
    Mar 28, 2012 to Mar 8, 2013
  • State-registered IARs · 0 to 2
    Mar 28, 2012 to Mar 8, 2013
  • Non-discretionary RAUM · $106M to $118M
    Mar 28, 2012 to Mar 8, 2013
  • RAUM · $106M to $118M
    Mar 28, 2012 to Mar 8, 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