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
C•••••• R••••••• M•••••••••
Legal name C•••••• R••••••• M••••••••• I••
Latest filing Mar 24, 2026
First filing on the tape Mar 9, 2012 · 18 filings
SEC status approved since Apr 12, 1991
RAUM
$593M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
94%
$558M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$593M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$593M as of Mar 24, 2026
Mar 9, 2012$338M then
HNW client RAUM$551M as of Mar 24, 2026
Mar 5, 2018$354M then
State-registered IARs (5.B.3)1 as of Mar 24, 2026
Mar 9, 20120 then
Employees (5.A)4 as of Mar 24, 2026
Mar 11, 20135 then
Private funds: no history
RAUM +10% over the last fiscal year+6.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $593MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $19.7MderivedHNW RAUM over HNW clients
- Average account
- $4.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 6.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$551M93%
- Charitable organizations$31.2M5.3%
- Individuals$6.5M1.1%
- Pension and profit-sharing plans$4.4M0.7%
- Individual clients
- 10reported
- HNW clients
- 28reported
- Pension plan clients
- 1reported
- Charitable clients
- 3reported
- Accounts
- 124reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• D•••• K•••• | Deerfield, Il | Mar 7, 1998 | 35 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• S••••••• D•••• · President/Chief Compliance Officercontrolsince 02/1991 · 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.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 24, 2026discretionary share of RAUM of 0% against a peer median of 99% (1482 comparable advisers, 0.0th percentile, 33.5 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 0.0% percentile
- unusually large average HNW clientStatic outlier · filing Mar 24, 2026HNW RAUM per HNW client of $19,682,638 against a peer median of $3,134,900 (1404 comparable advisers, 100.0th percentile, 10.9 robust deviations)peers: independent wealth managers, $500M to $1B (1,404) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 126 to 124Mar 4, 2025 to Mar 24, 2026
- Pension plan clients · 2 to 1Mar 4, 2025 to Mar 24, 2026
- HNW RAUM · $500M to $551MMar 4, 2025 to Mar 24, 2026
- Individual RAUM · $5.4M to $6.5MMar 4, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $537M to $593MMar 4, 2025 to Mar 24, 2026
- Pension RAUM · $3.7M to $4.4MMar 4, 2025 to Mar 24, 2026
- RAUM · $537M to $593MMar 4, 2025 to Mar 24, 2026
- Accounts · 137 to 126Jul 18, 2024 to Mar 4, 2025
- Charity clients · 4 to 3Jul 18, 2024 to Mar 4, 2025
- HNW clients · 25 to 28Jul 18, 2024 to Mar 4, 2025
- Financial planning clients · 0 to 0Jul 18, 2024 to Mar 4, 2025
- HNW RAUM · $484M to $500MJul 18, 2024 to Mar 4, 2025
- Individual RAUM · $4.8M to $5.4MJul 18, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $533M to $537MJul 18, 2024 to Mar 4, 2025
- Pension RAUM · $3.1M to $3.7MJul 18, 2024 to Mar 4, 2025
- RAUM · $533M to $537MJul 18, 2024 to Mar 4, 2025
- Accounts · 152 to 137Mar 13, 2023 to Mar 19, 2024
- HNW clients · 28 to 25Mar 13, 2023 to Mar 19, 2024
- Individual clients · 12 to 10Mar 13, 2023 to Mar 19, 2024
- HNW RAUM · $444M to $484MMar 13, 2023 to Mar 19, 2024
- Individual RAUM · $6.4M to $4.8MMar 13, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $492M to $533MMar 13, 2023 to Mar 19, 2024
- Pension RAUM · $2.8M to $3.1MMar 13, 2023 to Mar 19, 2024
- RAUM · $492M to $533MMar 13, 2023 to Mar 19, 2024
- Accounts · 148 to 152Mar 11, 2022 to Mar 13, 2023
- HNW clients · 30 to 28Mar 11, 2022 to Mar 13, 2023
- Pension plan clients · 5 to 2Mar 11, 2022 to Mar 13, 2023
- HNW RAUM · $476M to $444MMar 11, 2022 to Mar 13, 2023
- Individual RAUM · $5.5M to $6.4MMar 11, 2022 to Mar 13, 2023
- Non-discretionary RAUM · $541M to $492MMar 11, 2022 to Mar 13, 2023
- Pension RAUM · $9.9M to $2.8MMar 11, 2022 to Mar 13, 2023
- RAUM · $541M to $492MMar 11, 2022 to Mar 13, 2023
- Individual clients · 8 to 12Mar 12, 2021 to Mar 11, 2022
- Employees · 5 to 4Mar 12, 2021 to Mar 11, 2022
- HNW RAUM · $428M to $476MMar 12, 2021 to Mar 11, 2022
- Individual RAUM · $7.2M to $5.5MMar 12, 2021 to Mar 11, 2022
- Non-discretionary RAUM · $497M to $541MMar 12, 2021 to Mar 11, 2022
- Pension RAUM · $14.4M to $9.9MMar 12, 2021 to Mar 11, 2022
- RAUM · $497M to $541MMar 12, 2021 to Mar 11, 2022
- Accounts · 144 to 148Jun 18, 2020 to Mar 12, 2021
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.
How to reach
public business contact points only, each with its source
- Business phone
- 847-948-1700reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 847-948-1705reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- c••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 847-948-1700reportedpublic record, Form ADV, Mar 24, 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
- $593Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026