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
D••• F•••••••• A•••••••
Legal name D••• F•••••••• A•••••••• L•••
Latest filing Jul 13, 2026
First filing on the tape Mar 14, 2012 · 46 filings
SEC status approved since Nov 13, 1992
RAUM
$623M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
94%
$586M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$89.1M
derived; firm RAUM over IAPD count
Employees
11
8 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
0
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$623M as of Jul 13, 2026
Mar 14, 2012$109M then
HNW client RAUM$544M as of Jul 13, 2026
Mar 22, 2018$202M then
State-registered IARs (5.B.3)7 as of Jul 13, 2026
Mar 14, 20120 then
Employees (5.A)11 as of Jul 13, 2026
Mar 14, 20134 then
Private funds: no history
RAUM +15% over the last fiscal year+16% a year over threeIARs 6 to 7offices 3 to 8
Practice profile
derived from the filing of Jul 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $89.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $441,213derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 5.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 0.8derived9 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Custody
- $589M, 358 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$544M87%
- Individuals$42.5M6.8%
- Pension and profit-sharing plans$34.1M5.5%
- Corporations and businesses$2.9M0.5%
- Individual clients
- 183reported
- HNW clients
- 216reported
- Pension plan clients
- 32reported
- Charitable clients
- n/areported
- Accounts
- 1,413reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $589M for 358 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• A•••••• M••••Certified Financial Planner | Naperville, Il | Nov 16, 1997 | 30 y | 0 |
| T••••••• J••• C•••••Certified Financial Planner | Naperville, Il | Jul 19, 2007 | 19 y | 0 |
| C•••••• C•••••••• C••••Certified Financial Planner | Bartlett, Il | Nov 11, 2011 | 15 y | 0 |
| K•••••••• T•••••• B••••Certified Financial Planner | Naperville, Il | Jan 22, 2016 | 11 y | 0 |
| S•••••• M•••• L••••••••• | St. Charles, Il | Jul 15, 2021 | 34 y | 0 |
| D••• M•••••• A•••••••Certified Financial Planner | Naperville, Il | Jul 11, 2025 | 11 y | 0 |
| K•••••• W•••••Certified Financial Planner | Naperville, Il | Aug 22, 2025 | 10 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
- J••••• T•••••• J•••••• to P•••••••• F•••••••• P•••Sep 26, 2022 · RIA to a state-registered adviser
- N••••••• J••••• D• J••• to S••••• W••••• M•••••••••Jul 23, 2015 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• E••••• J•••• · Vice Presidentcontrolsince 09/1997 · owns 10% to 25%
- B••••• K••••••••• T•••••• · Vice Presidentcontrolsince 07/2022 · owns 10% to 25%
- C•••••• T•••••••• J••• · Vice Presidentcontrolsince 07/2012 · owns 10% to 25%
- C••••• C••••••• C•••••••• · Chief Compliance Officercontrolsince 06/2023 · owns 10% to 25%
- K•••••• P••••••• W• · Chief Financial Officercontrolsince 07/2021 · owns 10% to 25%
- M•••••• R•••••• · Presidentcontrolsince 07/2021 · owns 10% to 25%
- M••••• P•••• A•••••• · Treasurercontrolsince 07/2005 · owns 10% to 25%
- M•••••••• K••••• P•••••• · Vice Presidentcontrolsince 07/2018 · owns 10% to 25%
- O••••••••• R••••••• E••••• · Vice Presidentcontrolsince 07/2021 · owns 10% to 25%
- S•••• C••••• P•••••• · Vice Presidentcontrolsince 07/2020 · owns 10% to 25%
Related persons
Schedule D 7.A
- D•••••••• H•••• J••••• • J•••••• L•••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Naperville, Il · principal | 7 | 0 | 0 | ||
| St Charles, Il | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- St. Charles, IL4 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- office count surgeChange between filings · filing Mar 23, 2026offices other than the principal office (Item 1.F.5) moved from 3.0 to 8.0 (+167.0%) between the annual amendments of 2025-02-16 and 2026-03-23; the peer median change was 0.0% (233 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $500M to $1B (233) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 1,366 to 1,413Nov 11, 2025 to Mar 23, 2026
- HNW clients · 197 to 216Nov 11, 2025 to Mar 23, 2026
- Individual clients · 177 to 183Nov 11, 2025 to Mar 23, 2026
- Pension plan clients · 16 to 32Nov 11, 2025 to Mar 23, 2026
- Assets in custody · $521M to $589MNov 11, 2025 to Mar 23, 2026
- Employees · 10 to 11Nov 11, 2025 to Mar 23, 2026
- State-registered IARs · 6 to 7Nov 11, 2025 to Mar 23, 2026
- Other offices · 3 to 8Nov 11, 2025 to Mar 23, 2026
- Discretionary RAUM · $521M to $598MNov 11, 2025 to Mar 23, 2026
- HNW RAUM · $448M to $544MNov 11, 2025 to Mar 23, 2026
- Individual RAUM · $59.9M to $42.5MNov 11, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $22.3M to $25.0MNov 11, 2025 to Mar 23, 2026
- Pension RAUM · $34.5M to $34.1MNov 11, 2025 to Mar 23, 2026
- RAUM · $544M to $623MNov 11, 2025 to Mar 23, 2026
- Financial planning clients · 26-50 to 26-50Feb 16, 2025 to Jul 16, 2025
- Accounts · 1,319 to 1,366Feb 22, 2024 to Feb 16, 2025
- HNW clients · 200 to 197Feb 22, 2024 to Feb 16, 2025
- Individual clients · 154 to 177Feb 22, 2024 to Feb 16, 2025
- Pension plan clients · 11 to 16Feb 22, 2024 to Feb 16, 2025
- Assets in custody · $450M to $521MFeb 22, 2024 to Feb 16, 2025
- Financial planning clients · 1-10 to 26-50Feb 22, 2024 to Feb 16, 2025
- Discretionary RAUM · $450M to $521MFeb 22, 2024 to Feb 16, 2025
- HNW RAUM · $413M to $448MFeb 22, 2024 to Feb 16, 2025
- Individual RAUM · $25.1M to $59.9MFeb 22, 2024 to Feb 16, 2025
- Non-discretionary RAUM · $14.1M to $22.3MFeb 22, 2024 to Feb 16, 2025
- Pension RAUM · $25.6M to $34.5MFeb 22, 2024 to Feb 16, 2025
- RAUM · $464M to $544MFeb 22, 2024 to Feb 16, 2025
- Accounts · 383 to 1,319Aug 8, 2023 to Feb 21, 2024
- Advisory employees · 11 to 8Aug 8, 2023 to Feb 21, 2024
- Charity clients · 0.0 to unsetAug 8, 2023 to Feb 21, 2024
- Corporate clients · 2.0 to unsetAug 8, 2023 to Feb 21, 2024
- HNW clients · 162 to 200Aug 8, 2023 to Feb 21, 2024
- Individual clients · 206 to 154Aug 8, 2023 to Feb 21, 2024
- Pension plan clients · 13 to 11Aug 8, 2023 to Feb 21, 2024
- Pooled vehicle clients · 0.0 to unsetAug 8, 2023 to Feb 21, 2024
- Assets in custody · $391M to $450MAug 8, 2023 to Feb 21, 2024
- Employees · 12 to 10Aug 8, 2023 to Feb 21, 2024
- Financial planning clients · 11-25 to 1-10Aug 8, 2023 to Feb 21, 2024
- Other offices · 1 to 3Aug 8, 2023 to Feb 21, 2024
- Discretionary RAUM · $389M to $450MAug 8, 2023 to Feb 21, 2024
Signals
12 dated events
- D••• F•••••••• A••••••• reported 8 offices beyond its principal office, up from 3 (2025-11-11 to 2026-03-23)Mar 23, 2026 · Office count change · derived
- Nmn Samantha Bonamassa (Chief Compliance Officer) no longer on Schedule A of D••• F•••••••• A••••••• (listed 2023-03-15, absent 2023-07-05)Jul 5, 2023 · Control person left · inference
- Theresa Katherine Byrne (Vice President) appeared on Schedule A of D••• F•••••••• A•••••••Mar 15, 2023 · Control person joined · fact
- J••••• T•••••• J•••••• left D••• F•••••••• A••••••• for P•••••••• F•••••••• P••• (registered 2023-01-03)Sep 26, 2022 · Advisor changed firm · fact
- Edmund Richard Ochenkowski (Vice President) appeared on Schedule A of D••• F•••••••• A•••••••Jan 31, 2022 · Control person joined · fact
- Patrick Colin Shaw (Vice President) appeared on Schedule A of D••• F•••••••• A•••••••Mar 30, 2021 · Control person joined · fact
- James Kenneth Overholt (Secretary) no longer on Schedule A of D••• F•••••••• A••••••• (listed 2020-12-23, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Joseph Thomas J••••• (Executive Vice President) no longer on Schedule A of D••• F•••••••• A••••••• (listed 2020-12-23, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Nmn Samantha Bonamassa (Chief Compliance Officer) appeared on Schedule A of D••• F•••••••• A•••••••Mar 20, 2020 · Control person joined · fact
- Owen T•••••• J•••••• (Vice President) no longer on Schedule A of D••• F•••••••• A••••••• (listed 2019-01-09, absent 2019-03-18)Mar 18, 2019 · Control person left · inference
- Anne Mary Powers (Vice President) no longer on Schedule A of D••• F•••••••• A••••••• (listed 2019-01-09, absent 2019-03-18)Mar 18, 2019 · Control person left · inference
- Patrick Kevin Mulligan (Vice President) appeared on Schedule A of D••• F•••••••• A•••••••Mar 18, 2019 · Control person joined · fact
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
- 360-377-1106reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 630-377-2294reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 630-377-1106reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/15216168reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 630-420-1360reportedpublic record, Form ADV, Jul 13, 2026
- Contact form
- dhjjfinancial.com/contactreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- dhjjfinancial.com/our-teamreportedpublished by the firm, firm site, Sep 17, 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
- $89.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026