DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

A••• G•••• I••••••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser· Chicago, Illinois

Former SEC-registered adviser, based in Chicago, Illinois, reporting $18.4M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$18.4M
Form ADV
RAUM change, 1 year
-91%
Form ADV, consecutive annual filings
Private clients
100%
of RAUM, $18.4M
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 31 May 2022, RAUM $206M to $18.4M (-91.1%) on the Form ADV filed 31 May 2022, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 106958 · SEC 801-50964 · 23 filingsShow
CRD 106958SEC 801-50964First filing on the tape Jan 27, 2012, latest May 31, 2022IAPD
RAUM
$18.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$18.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape

RAUM -53% a year over three years · the tape starts Jan 27, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$226M as of Mar 8, 2022
Jan 27, 2012$148M then
HNW client RAUM$218M as of Mar 8, 2022
Mar 12, 2018$179M then
State-registered IARs (5.B.3)1 as of Mar 8, 2022
Feb 25, 20131 then
Employees (5.A)1 as of Mar 8, 2022
Feb 25, 20131 then
Private funds: no history
RAUM -91% over the last fiscal year-53% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 31, 2022; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
$18.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
67derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$297,040derivedHNW RAUM over HNW clients
Average account
$6.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.0%derived
Compensation
percentage of assetsreportedItem 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)
  • 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

100% high-net-worth individuals

The breakdown by client type, and the client counts1 client typesShow
  • High-net-worth individuals$18.4M100%
Individual clients
5reported
HNW clients
62reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • G••••• A••• · Managing Member And Chief Compliance Officercontrol
        since 02/1986 · 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.
      What changed
      consecutive filings, newest first
      • Accounts · 172 to 3
        Mar 21, 2022 to May 31, 2022
      • Charity clients · 1.0 to unset
        Mar 21, 2022 to May 31, 2022
      • HNW clients · 90 to 62
        Mar 21, 2022 to May 31, 2022
      • Individual clients · 9 to 5
        Mar 21, 2022 to May 31, 2022
      • Discretionary RAUM · $0 to $18.4M
        Mar 21, 2022 to May 31, 2022
      Full history · 78 changes
      • HNW RAUM · $237M to $18.4M
        Mar 21, 2022 to May 31, 2022
      • Individual RAUM · $3.8M to $0
        Mar 21, 2022 to May 31, 2022
      • Non-discretionary RAUM · $244M to $0
        Mar 21, 2022 to May 31, 2022
      • RAUM · $244M to $18.4M
        Mar 21, 2022 to May 31, 2022
      • Accounts · 169 to 172
        Mar 8, 2022 to Mar 21, 2022
      • HNW clients · 89 to 90
        Mar 8, 2022 to Mar 21, 2022
      • HNW RAUM · $218M to $237M
        Mar 8, 2022 to Mar 21, 2022
      • Non-discretionary RAUM · $226M to $244M
        Mar 8, 2022 to Mar 21, 2022
      • RAUM · $226M to $244M
        Mar 8, 2022 to Mar 21, 2022
      • Accounts · 170 to 169
        Mar 15, 2021 to Mar 8, 2022
      • HNW clients · 85 to 89
        Mar 15, 2021 to Mar 8, 2022
      • Individual clients · 12 to 9
        Mar 15, 2021 to Mar 8, 2022
      • Discretionary RAUM · $206M to $0
        Mar 15, 2021 to Mar 8, 2022
      • HNW RAUM · $199M to $218M
        Mar 15, 2021 to Mar 8, 2022
      • Individual RAUM · $3.4M to $3.8M
        Mar 15, 2021 to Mar 8, 2022
      • Non-discretionary RAUM · $0 to $226M
        Mar 15, 2021 to Mar 8, 2022
      • RAUM · $206M to $226M
        Mar 15, 2021 to Mar 8, 2022
      • Accounts · 109 to 170
        May 28, 2020 to Mar 11, 2021
      • HNW clients · 97 to 85
        May 28, 2020 to Mar 11, 2021
      • Individual clients · 11 to 12
        May 28, 2020 to Mar 11, 2021
      • Discretionary RAUM · $209M to $206M
        May 28, 2020 to Mar 11, 2021
      • HNW RAUM · $202M to $199M
        May 28, 2020 to Mar 11, 2021
      • Individual RAUM · $3.5M to $3.4M
        May 28, 2020 to Mar 11, 2021
      • RAUM · $209M to $206M
        May 28, 2020 to Mar 11, 2021
      • Accounts · 120 to 109
        May 6, 2020 to May 28, 2020
      • HNW clients · 92 to 97
        May 6, 2020 to May 28, 2020
      • Individual clients · 13 to 11
        May 6, 2020 to May 28, 2020
      • Discretionary RAUM · $207M to $209M
        May 6, 2020 to May 28, 2020
      • HNW RAUM · $196M to $202M
        May 6, 2020 to May 28, 2020
      • Individual RAUM · $8.2M to $3.5M
        May 6, 2020 to May 28, 2020
      • RAUM · $207M to $209M
        May 6, 2020 to May 28, 2020
      • Accounts · 111 to 120
        Mar 18, 2019 to Mar 27, 2020
      • HNW clients · 95 to 92
        Mar 18, 2019 to Mar 27, 2020
      • Individual clients · 15 to 13
        Mar 18, 2019 to Mar 27, 2020
      • Discretionary RAUM · $179M to $207M
        Mar 18, 2019 to Mar 27, 2020
      • HNW RAUM · $170M to $196M
        Mar 18, 2019 to Mar 27, 2020
      • Individual RAUM · $6.6M to $8.2M
        Mar 18, 2019 to Mar 27, 2020
      • RAUM · $179M to $207M
        Mar 18, 2019 to Mar 27, 2020
      • Accounts · 210 to 111
        Mar 12, 2018 to Mar 18, 2019
      • HNW clients · 89 to 95
        Mar 12, 2018 to Mar 18, 2019
      • Individual clients · 28 to 15
        Mar 12, 2018 to Mar 18, 2019
      • Discretionary RAUM · $202M to $179M
        Mar 12, 2018 to Mar 18, 2019
      • HNW RAUM · $179M to $170M
        Mar 12, 2018 to Mar 18, 2019
      • Individual RAUM · $19.9M to $6.6M
        Mar 12, 2018 to Mar 18, 2019
      • RAUM · $202M to $179M
        Mar 12, 2018 to Mar 18, 2019
      • Accounts · 118 to 210
        Apr 5, 2017 to Mar 12, 2018
      • Charity clients · unset to 1.0
        Apr 5, 2017 to Mar 12, 2018
      • HNW clients · unset to 89.0
        Apr 5, 2017 to Mar 12, 2018
      • Individual clients · unset to 28.0
        Apr 5, 2017 to Mar 12, 2018
      • Other offices · unset to 0.0
        Apr 5, 2017 to Mar 12, 2018
      • Discretionary RAUM · $173M to $202M
        Apr 5, 2017 to Mar 12, 2018
      • HNW RAUM · unset to 179176174.0
        Apr 5, 2017 to Mar 12, 2018
      • Individual RAUM · unset to 19886898.0
        Apr 5, 2017 to Mar 12, 2018
      • RAUM · $173M to $202M
        Apr 5, 2017 to Mar 12, 2018
      • Accounts · 123 to 118
        Mar 17, 2016 to Feb 13, 2017
      • Discretionary RAUM · $165M to $173M
        Mar 17, 2016 to Feb 13, 2017
      • RAUM · $165M to $173M
        Mar 17, 2016 to Feb 13, 2017
      • Accounts · 112 to 123
        Mar 20, 2015 to Mar 17, 2016
      • Advisory activities · 4 to 3
        Mar 20, 2015 to Mar 17, 2016
      • Discretionary RAUM · $165M to $165M
        Mar 20, 2015 to Mar 17, 2016
      • RAUM · $165M to $165M
        Mar 20, 2015 to Mar 17, 2016
      • Accounts · 118 to 112
        Feb 4, 2014 to Mar 20, 2015
      • Discretionary RAUM · $169M to $165M
        Feb 4, 2014 to Mar 20, 2015
      • RAUM · $169M to $165M
        Feb 4, 2014 to Mar 20, 2015
      • Accounts · 120 to 118
        Mar 1, 2013 to Feb 4, 2014
      • Discretionary RAUM · $158M to $169M
        Mar 1, 2013 to Feb 4, 2014
      • RAUM · $158M to $169M
        Mar 1, 2013 to Feb 4, 2014
      • Accounts · 132 to 120
        Apr 17, 2012 to Feb 25, 2013
      • Advisory employees · unset to 1.0
        Apr 17, 2012 to Feb 25, 2013
      • Employees · unset to 1.0
        Apr 17, 2012 to Feb 25, 2013
      • State-registered IARs · unset to 1.0
        Apr 17, 2012 to Feb 25, 2013
      • Discretionary RAUM · $148M to $158M
        Apr 17, 2012 to Feb 25, 2013
      • RAUM · $148M to $158M
        Apr 17, 2012 to Feb 25, 2013
      Signals
      1 dated events
      • ••• Locked
        May 31, 2022 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026