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
M••• B••• A••••••• S•••••••• I•••
Latest filing Mar 25, 2026
First filing on the tape Mar 14, 2012 · 16 filings
SEC status approved since Dec 10, 1990
RAUM
$138M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$138M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$138M
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
16 filings and snapshots on the tape
RAUM$138M as of Mar 25, 2026
Mar 14, 2012$94.2M then
HNW client RAUM$137M as of Mar 25, 2026
Mar 7, 2018$134M then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Mar 14, 20120 then
Employees (5.A)1 as of Mar 25, 2026
Mar 20, 20131 then
Private funds: no history
RAUM -1.1% over the last fiscal year+5.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $138MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.1MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM 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
- -1.1%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 assetsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$137M99%
- Individuals$1.5M1.1%
- Individual clients
- n/areported
- HNW clients
- 27reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 90reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• M••• B•••Certified Financial Planner | Chicago, Il | Mar 31, 2006 | 42 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• R•••••• M••• · President/Chief Compliance Officercontrolsince 11/1990 · 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 · 110 to 90Mar 21, 2025 to Mar 25, 2026
- HNW clients · 33 to 27Mar 21, 2025 to Mar 25, 2026
- Individual clients · 3.0 to unsetMar 21, 2025 to Mar 25, 2026
- Discretionary RAUM · $140M to $138MMar 21, 2025 to Mar 25, 2026
- HNW RAUM · $137M to $137MMar 21, 2025 to Mar 25, 2026
- Individual RAUM · $2.5M to $1.5MMar 21, 2025 to Mar 25, 2026
- RAUM · $140M to $138MMar 21, 2025 to Mar 25, 2026
- Accounts · 121 to 110Mar 6, 2024 to Mar 21, 2025
- HNW clients · 36 to 33Mar 6, 2024 to Mar 21, 2025
- Financial planning clients · 11-25 to 11-25Mar 6, 2024 to Mar 21, 2025
- Discretionary RAUM · $129M to $140MMar 6, 2024 to Mar 21, 2025
- HNW RAUM · $127M to $137MMar 6, 2024 to Mar 21, 2025
- Individual RAUM · $2.0M to $2.5MMar 6, 2024 to Mar 21, 2025
- RAUM · $129M to $140MMar 6, 2024 to Mar 21, 2025
- Accounts · 122 to 121Mar 6, 2023 to Mar 6, 2024
- Individual clients · 4 to 3Mar 6, 2023 to Mar 6, 2024
- Discretionary RAUM · $119M to $129MMar 6, 2023 to Mar 6, 2024
- HNW RAUM · $116M to $127MMar 6, 2023 to Mar 6, 2024
- Individual RAUM · $2.5M to $2.0MMar 6, 2023 to Mar 6, 2024
- RAUM · $119M to $129MMar 6, 2023 to Mar 6, 2024
- Accounts · 130 to 122Mar 9, 2022 to Mar 6, 2023
- HNW clients · 38 to 36Mar 9, 2022 to Mar 6, 2023
- Individual clients · 6 to 4Mar 9, 2022 to Mar 6, 2023
- Discretionary RAUM · $140M to $119MMar 9, 2022 to Mar 6, 2023
- HNW RAUM · $136M to $116MMar 9, 2022 to Mar 6, 2023
- Individual RAUM · $4.1M to $2.5MMar 9, 2022 to Mar 6, 2023
- RAUM · $140M to $119MMar 9, 2022 to Mar 6, 2023
- Accounts · 135 to 130Feb 24, 2021 to Mar 9, 2022
- HNW clients · 39 to 38Feb 24, 2021 to Mar 9, 2022
- Individual clients · 7 to 6Feb 24, 2021 to Mar 9, 2022
- Discretionary RAUM · $131M to $140MFeb 24, 2021 to Mar 9, 2022
- HNW RAUM · $126M to $136MFeb 24, 2021 to Mar 9, 2022
- Individual RAUM · $5.0M to $4.1MFeb 24, 2021 to Mar 9, 2022
- RAUM · $131M to $140MFeb 24, 2021 to Mar 9, 2022
- Accounts · 138 to 135Jun 24, 2020 to Feb 24, 2021
- Individual clients · 8 to 7Jun 24, 2020 to Feb 24, 2021
- Discretionary RAUM · $124M to $131MJun 24, 2020 to Feb 24, 2021
- HNW RAUM · $118M to $126MJun 24, 2020 to Feb 24, 2021
- Individual RAUM · $6.3M to $5.0MJun 24, 2020 to Feb 24, 2021
- RAUM · $124M to $131MJun 24, 2020 to Feb 24, 2021
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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 312-840-8265reportedpublic record, Form ADV, Mar 25, 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
- $138Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026