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•••••• V••••• L••
Latest filing Jun 17, 2020
First filing on the tape Mar 8, 2012 · 35 filings
RAUM
$1.7B
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
90%
$1.5B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
33
22 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$1.7B as of Mar 28, 2020
Mar 8, 2012$492M then
HNW client RAUM$1.1B as of Mar 28, 2020
Mar 22, 2018$1.4B then
State-registered IARs (5.B.3)22 as of Mar 28, 2020
Mar 8, 20120 then
Employees (5.A)33 as of Mar 28, 2020
Mar 4, 201320 then
Private funds: no history
RAUM +10% over the last fiscal year+12% a year over threeIARs 22 to 22
Practice profile
derived from the filing of Jun 17, 2020; every figure names its basis
- RAUM per advisor
- $76.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $398,521derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 8.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 11.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +24%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $748M, 563 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B68%
- Individuals$366M22%
- Pension and profit-sharing plans$135M8.0%
- Corporations and businesses$22.0M1.3%
- Charitable organizations$8.8M0.5%
- Individual clients
- 435reported
- HNW clients
- 515reported
- Pension plan clients
- 81reported
- Charitable clients
- 8reported
- Accounts
- 4,207reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $748M for 563 clientsreported
- 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
Left, latest
- G•••••• P••• W••••••• to H•••••••• A•••••••• L••Nov 6, 2020 · RIA to affiliated broker-dealer or bank
- M•••••• R••••• M•••••••• to H•••••••• A•••••••• L••Nov 4, 2020 · RIA to affiliated broker-dealer or bank
- M•••••• J••••• M••••• to R•• P•••••• W•••••• L••Nov 4, 2020 · RIA to RIA
- M••• E•••••••• M••••• to H•••••••• A•••••••• L••Nov 4, 2020 · RIA to affiliated broker-dealer or bank
- M•••••• J•••• P•••••• to H•••••••• A•••••••• L••Nov 4, 2020 · RIA to affiliated broker-dealer or bank
- D••••• J••••• R••••• to H•••••••• A•••••••• L••Nov 4, 2020 · RIA to affiliated broker-dealer or bank
- D•••••• M••••••• O••••• to H•••••••• A•••••••• L••Nov 4, 2020 · RIA to affiliated broker-dealer or bank
- S••••• I•• M•••••••• to R•••••• J•••• F•••••••• S•••••••• I•••Nov 4, 2020 · Other
- N••••• J••• R••••• to H•••••••• A•••••••• L••Nov 4, 2020 · RIA to affiliated broker-dealer or bank
- R•••• E•••• P••••• to H•••••••• A•••••••• L••Nov 4, 2020 · RIA to affiliated broker-dealer or bank
- G•••••• R••••• B••••• to H•••••••• A•••••••• L••Nov 4, 2020 · RIA to affiliated broker-dealer or bank
- S••••• A••••• A••• to H•••••••• A•••••••• L••Nov 4, 2020 · RIA to affiliated broker-dealer or bank
- J•••••• M•••••• T•••• to H•••••••• A•••••••• L••Nov 4, 2020 · RIA to affiliated broker-dealer or bank
- J•••• M•••••• W••• to R•••••• J•••• F•••••••• S•••••••• I•••Nov 4, 2020 · Other
- S•••••••• C••• N••••• to H•••••••• A•••••••• L••Nov 4, 2020 · RIA to affiliated broker-dealer or bank
Joined, latest
- D••••• J••••• H•••••••• from I•• W••••• M••••••••• I•••Mar 20, 2018 · Other
- D••••• J••••• R••••• from F••••• W••••• M•••••••••Mar 20, 2018 · Other
- M•••••• J•••• P•••••• from K••••• A••••••• S•••••••• L••Jul 6, 2017 · Other
- M•••••• J••••• M••••• from W•• W••••• A•••••••• I•••Aug 2, 2016 · Other
- M••• E•••••••• M••••• from W•• W••••• A•••••••• I•••Aug 2, 2016 · Other
- T••••• E••••• W••••••• from W•• W••••• A•••••••• I•••Aug 2, 2016 · Other
- G•••••• P••• W••••••• from M••••• S••••••Jul 7, 2015 · Other
- G•••••• R••••• B••••• from A••••••••• F•••••••• S•••••••• L••May 21, 2015 · Other
- R•••• E•••• P••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 23, 2010 · Other
- N••••• J••• R••••• from O•••• F•• I•••May 19, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 13 left for H•••••••• A•••••••• L••Nov 4, 2020 · Oak Brook, Il · Firm absorbed
- 2 left for R•••••• J•••• F•••••••• S•••••••• I•••Nov 4, 2020 · Oak Brook, Il
- 3 joined from W•• W••••• A•••••••• I•••Aug 1, 2016 · Hinsdale, Il · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• D••••••• S•••••• · Managing Membercontrolsince 07/2017 · owns 10% to 25%
- M••••••••• S•••••• I•• · Managing Member, Chief Compliance Officercontrolsince 01/1999 · owns 25% to 50%
- T••••• J••••••• M•••••• · Managing Membercontrolsince 01/1999 · owns 25% to 50%
- W•••• J••••• M•••••• · Managing Membercontrolsince 01/1999 · owns 25% to 50%
- W•••••••• R•••••• A••••• · Managing Membercontrolsince 07/2016 · owns 25% to 50%
Related persons
Schedule D 7.A
- J••••• C• F•••••••insurancey
- M•••••• J• M•••••insurancey
- R••••• A• W•••••••insurancey
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL12 employees
What changed
consecutive filings, newest first
- Accounts · 958 to 4,207Aug 28, 2019 to Mar 28, 2020
- Charity clients · 22 to 8Aug 28, 2019 to Mar 28, 2020
- Corporate clients · 13 to 18Aug 28, 2019 to Mar 28, 2020
- HNW clients · 387 to 515Aug 28, 2019 to Mar 28, 2020
- Individual clients · 381 to 435Aug 28, 2019 to Mar 28, 2020
- Pension plan clients · 155 to 81Aug 28, 2019 to Mar 28, 2020
- Assets in custody · $139M to $748MAug 28, 2019 to Mar 28, 2020
- Employees · 34 to 33Aug 28, 2019 to Mar 28, 2020
- Discretionary RAUM · $1.5B to $1.6BAug 28, 2019 to Mar 28, 2020
- HNW RAUM · $1.2B to $1.1BAug 28, 2019 to Mar 28, 2020
- Individual RAUM · $140M to $366MAug 28, 2019 to Mar 28, 2020
- Non-discretionary RAUM · $37.3M to $112MAug 28, 2019 to Mar 28, 2020
- Pension RAUM · $159M to $135MAug 28, 2019 to Mar 28, 2020
- RAUM · $1.5B to $1.7BAug 28, 2019 to Mar 28, 2020
- Related insurance company · false to trueAug 28, 2019 to Mar 28, 2020
- Accounts · 1,198 to 958Nov 1, 2018 to Mar 28, 2019
- Advisory employees · 20 to 22Nov 1, 2018 to Mar 28, 2019
- BD registered reps · 1 to 0Nov 1, 2018 to Mar 28, 2019
- Charity clients · unset to 22.0Nov 1, 2018 to Mar 28, 2019
- Corporate clients · 0 to 13Nov 1, 2018 to Mar 28, 2019
- HNW clients · 520 to 387Nov 1, 2018 to Mar 28, 2019
- Individual clients · 616 to 381Nov 1, 2018 to Mar 28, 2019
- Pension plan clients · 60 to 155Nov 1, 2018 to Mar 28, 2019
- Assets in custody · $46.0M to $139MNov 1, 2018 to Mar 28, 2019
- Employees · 36 to 34Nov 1, 2018 to Mar 28, 2019
- Insurance-licensed employees · 0 to 1Nov 1, 2018 to Mar 28, 2019
- Financial planning clients · 251-500 to 101-250Nov 1, 2018 to Mar 28, 2019
- State-registered IARs · 20 to 22Nov 1, 2018 to Mar 28, 2019
- Other offices · 2 to 1Nov 1, 2018 to Mar 28, 2019
- Discretionary RAUM · $1.6B to $1.5BNov 1, 2018 to Mar 28, 2019
- HNW RAUM · $1.4B to $1.2BNov 1, 2018 to Mar 28, 2019
- Individual RAUM · $154M to $140MNov 1, 2018 to Mar 28, 2019
- Non-discretionary RAUM · $135M to $37.3MNov 1, 2018 to Mar 28, 2019
- Pension RAUM · $99.8M to $159MNov 1, 2018 to Mar 28, 2019
- RAUM · $1.7B to $1.5BNov 1, 2018 to Mar 28, 2019
- Accounts · 3,652 to 1,198Sep 25, 2017 to Mar 22, 2018
- Advisory employees · 13 to 20Sep 25, 2017 to Mar 22, 2018
- BD registered reps · 5 to 1Sep 25, 2017 to Mar 22, 2018
- Corporate clients · unset to 0.0Sep 25, 2017 to Mar 22, 2018
- HNW clients · unset to 520.0Sep 25, 2017 to Mar 22, 2018
Signals
1 dated events
- P•••••• V••••• L•• reported RAUM $1.7B, up 42% from $1.2B (2017-09-25 to 2018-03-22)Mar 22, 2018 · 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
- 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