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

P•••••• A••••••• L••

Former SEC-registered adviserNaperville, IllinoisCRD 106807SEC 801-49383IAPD
Latest filing Feb 7, 2014
First filing on the tape Feb 23, 2012 · 4 filings
RAUM
$183M
reported, Item 5.F
Discretionary
51%
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
8
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$183M as of Mar 22, 2013
Feb 23, 2012$146M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 3
Employees (5.A): 8
Private funds: no history
RAUM +25% over the last fiscal year
Practice profile
derived from the filing of Feb 7, 2014; every figure names its basis
RAUM per advisor
$61.0MderivedRAUM 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
$166,928derivedRAUM over accounts (5.F.2.f)
Discretionary
51%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.7derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+25%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 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
  • 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)
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
1,097reported
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
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
    • D•••••• G••••••• S•••• · Presidentcontrol
      since 05/1995 · owns 75% or more
    • H•••••••• B••••• D••••• · Vice Presidentcontrol
      since 09/2006 · owns 10% to 25%
    • R••••• K••••• K••••• · Chief Compliance Officer
      since 11/2008 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • ,
    What changed
    consecutive filings, newest first
    • Accounts · 968 to 1,097
      Feb 23, 2012 to Mar 22, 2013
    • Advisory employees · unset to 8.0
      Feb 23, 2012 to Mar 22, 2013
    • BD registered reps · unset to 7.0
      Feb 23, 2012 to Mar 22, 2013
    • Employees · unset to 8.0
      Feb 23, 2012 to Mar 22, 2013
    • State-registered IARs · unset to 3.0
      Feb 23, 2012 to Mar 22, 2013
    • Discretionary RAUM · $0 to $93.9M
      Feb 23, 2012 to Mar 22, 2013
    • Non-discretionary RAUM · $146M to $89.2M
      Feb 23, 2012 to Mar 22, 2013
    • RAUM · $146M to $183M
      Feb 23, 2012 to Mar 22, 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