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

A••••••• H•••••• • T•••••• L••

Former SEC-registered adviserWinnetka, IllinoisCRD 107045SEC 801-30081IAPD
Latest filing Jan 24, 2017
First filing on the tape Mar 16, 2012 · 7 filings
RAUM
$136M
reported, Item 5.F
Discretionary
100%
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$136M as of Jan 24, 2017
Mar 16, 2012$107M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 24, 2017
Mar 16, 20120 then
Employees (5.A)1 as of Jan 24, 2017
Jan 30, 20132 then
Private funds: no history
RAUM +2.1% over the last fiscal year+4.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 24, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+2.1%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
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
75reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, hourly, commissionsreported
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
    • T••••••• J••••• M•••• · President/ Chief Compliance Officer (10/06)/Treasurer/Secretarycontrol
      since 12/2013 · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Discretionary RAUM · $133M to $136M
      Feb 11, 2016 to Jan 24, 2017
    • RAUM · $133M to $136M
      Feb 11, 2016 to Jan 24, 2017
    • Advisory employees · 2 to 1
      Feb 4, 2015 to Feb 11, 2016
    • Accounts · 97 to 75
      Feb 4, 2015 to Feb 11, 2016
    • Advisory activities · 3 to 2
      Feb 4, 2015 to Feb 11, 2016
    • Employees · 2 to 1
      Feb 4, 2015 to Feb 11, 2016
    • Discretionary RAUM · $128M to $133M
      Feb 4, 2015 to Feb 11, 2016
    • Non-discretionary RAUM · $242,700 to $0
      Feb 4, 2015 to Feb 11, 2016
    • RAUM · $128M to $133M
      Feb 4, 2015 to Feb 11, 2016
    • Accounts · 98 to 97
      Feb 17, 2014 to Feb 4, 2015
    • Advisory activities · 4 to 3
      Feb 17, 2014 to Feb 4, 2015
    • Financial planning clients · 101-250 to 51-100
      Feb 17, 2014 to Feb 4, 2015
    • Discretionary RAUM · $115M to $128M
      Feb 17, 2014 to Feb 4, 2015
    • Non-discretionary RAUM · $3.2M to $242,700
      Feb 17, 2014 to Feb 4, 2015
    • RAUM · $119M to $128M
      Feb 17, 2014 to Feb 4, 2015
    • Accounts · 109 to 98
      Mar 27, 2013 to Feb 17, 2014
    • BD registered reps · 1 to 0
      Mar 27, 2013 to Feb 17, 2014
    • Insurance-licensed employees · 1 to 0
      Mar 27, 2013 to Feb 17, 2014
    • State-registered IARs · 2 to 0
      Mar 27, 2013 to Feb 17, 2014
    • Discretionary RAUM · $107M to $115M
      Mar 27, 2013 to Feb 17, 2014
    • Non-discretionary RAUM · $1.9M to $3.2M
      Mar 27, 2013 to Feb 17, 2014
    • RAUM · $108M to $119M
      Mar 27, 2013 to Feb 17, 2014
    • Accounts · 108 to 109
      Mar 16, 2012 to Jan 30, 2013
    • Advisory employees · unset to 2.0
      Mar 16, 2012 to Jan 30, 2013
    • BD registered reps · unset to 1.0
      Mar 16, 2012 to Jan 30, 2013
    • Employees · unset to 2.0
      Mar 16, 2012 to Jan 30, 2013
    • State-registered IARs · 0 to 2
      Mar 16, 2012 to Jan 30, 2013
    • Discretionary RAUM · $104M to $107M
      Mar 16, 2012 to Jan 30, 2013
    • Non-discretionary RAUM · $2.0M to $1.9M
      Mar 16, 2012 to Jan 30, 2013
    • RAUM · $107M to $108M
      Mar 16, 2012 to Jan 30, 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