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

W•• W••••• A•••••••• I•••

Former SEC-registered adviserHinsdale, IllinoisCRD 106792SEC 801-44672IAPD
Latest filing Apr 20, 2016
First filing on the tape Jan 27, 2012 · 12 filings
RAUM
$355M
reported, Item 5.F
Discretionary
81%
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
5
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$2.5M gross assets
History
12 filings and snapshots on the tape
RAUM$355M as of Mar 21, 2016
Mar 28, 2012$213M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 21, 2016
Mar 26, 20134 then
Employees (5.A)5 as of Mar 21, 2016
Mar 26, 20134 then
Private funds1 as of Mar 21, 2016
Mar 28, 20121 then
RAUM +7.1% over the last fiscal year+12% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Apr 20, 2016; every figure names its basis
RAUM per advisor
$88.8MderivedRAUM 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
$411,681derivedRAUM over accounts (5.F.2.f)
Discretionary
81%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+7.1%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 individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.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
863reported
Financial planning clients
51-100reported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      W•• P•••••• E••••• F••• A• L••Private Equity Fund$2.5M32Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • W•••••••• R•••••• A••••• · Presidentcontrol
        since 01/2005 · owns 75% or more
      • M•••••• M••••••• J••••• · Vp-Treasurer & Chief Compliance Officer
        since 08/1993 · owns less than 5%
      Related persons
      Schedule D 7.A
      • M•••••• J• M•••••
        LP sponsorreal estaten
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 814 to 863
        Dec 16, 2015 to Mar 21, 2016
      • Employees · 4 to 5
        Dec 16, 2015 to Mar 21, 2016
      • Discretionary RAUM · $275M to $289M
        Dec 16, 2015 to Mar 21, 2016
      • Non-discretionary RAUM · $56.6M to $66.4M
        Dec 16, 2015 to Mar 21, 2016
      • RAUM · $332M to $355M
        Dec 16, 2015 to Mar 21, 2016
      • Accounts · 848 to 814
        Jan 2, 2015 to Mar 25, 2015
      • Discretionary RAUM · $243M to $275M
        Jan 2, 2015 to Mar 25, 2015
      • Non-discretionary RAUM · $61.8M to $56.6M
        Jan 2, 2015 to Mar 25, 2015
      • RAUM · $305M to $332M
        Jan 2, 2015 to Mar 25, 2015
      • RAUM · $251M to $305M
        Mar 26, 2013 to Mar 31, 2014
      • Accounts · 759 to 848
        Mar 26, 2013 to Mar 31, 2014
      • Assets in custody · $2.8M to $2.5M
        Mar 26, 2013 to Mar 31, 2014
      • Discretionary RAUM · $206M to $243M
        Mar 26, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $44.5M to $61.8M
        Mar 26, 2013 to Mar 31, 2014
      • Accounts · 675 to 759
        Dec 18, 2012 to Mar 26, 2013
      • Assets in custody · $2.5M to $2.8M
        Dec 18, 2012 to Mar 26, 2013
      • Discretionary RAUM · $179M to $206M
        Dec 18, 2012 to Mar 26, 2013
      • Non-discretionary RAUM · $33.9M to $44.5M
        Dec 18, 2012 to Mar 26, 2013
      • RAUM · $213M to $251M
        Dec 18, 2012 to Mar 26, 2013
      • Advisory employees · unset to 4.0
        Apr 18, 2012 to Dec 18, 2012
      • Employees · unset to 4.0
        Apr 18, 2012 to Dec 18, 2012
      • State-registered IARs · unset to 4.0
        Apr 18, 2012 to Dec 18, 2012
      • Accounts · 237 to 675
        Jan 27, 2012 to Mar 28, 2012
      • Assets in custody · $2.5M to $2.5M
        Jan 27, 2012 to Mar 28, 2012
      • Private funds · unset to 1
        Jan 27, 2012 to Mar 28, 2012
      • Discretionary RAUM · $165M to $179M
        Jan 27, 2012 to Mar 28, 2012
      • Non-discretionary RAUM · $34.9M to $33.9M
        Jan 27, 2012 to Mar 28, 2012
      • RAUM · $200M to $213M
        Jan 27, 2012 to Mar 28, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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