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••••••••• • A••••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Mar 30, 2012 · 19 filings
SEC status approved since Feb 2, 1998
RAUM
$333M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
85%
$282M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$111M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$333M as of Mar 25, 2026
Mar 30, 2012$141M then
HNW client RAUM$236M as of Mar 25, 2026
Mar 29, 2018$42.5M then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Mar 26, 20133 then
Employees (5.A)3 as of Mar 25, 2026
Mar 26, 20133 then
Private funds: no history
RAUM +6.6% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $111MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 105derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $520,396derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 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
- 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)
- 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
- High-net-worth individuals$236M71%
- Pension and profit-sharing plans$50.8M15%
- Individuals$46.4M14%
- Individual clients
- 225reported
- HNW clients
- 89reported
- Pension plan clients
- 7reported
- Charitable clients
- n/areported
- Accounts
- 640reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• J••••• D•••••••••Chartered Financial Consultant | Rockford, Il | May 26, 2004 | 44 y | 1 |
| A••• J•••• D••••••••• | Rockford, Il | May 26, 2004 | 28 y | 1 |
| J•••••• C•••••• D••••••••• | Loves Park, Il | Aug 3, 2016 | 28 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
- D••••••••• A•••• J•••• · Chief Compliance Officercontrolsince 07/1998 · owns 10% to 25%
- D••••••••• C••••••• J••••• · Presidentcontrolsince 02/1998 · owns 25% to 50%
- D••••••••• J••••••• C•••••• · Vice Presidentcontrolsince 01/2004 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Rockford, Il | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 644 to 640Mar 19, 2025 to Mar 25, 2026
- HNW clients · 83 to 89Mar 19, 2025 to Mar 25, 2026
- Individual clients · 235 to 225Mar 19, 2025 to Mar 25, 2026
- Pension plan clients · 11 to 7Mar 19, 2025 to Mar 25, 2026
- Discretionary RAUM · $300M to $309MMar 19, 2025 to Mar 25, 2026
- HNW RAUM · $223M to $236MMar 19, 2025 to Mar 25, 2026
- Individual RAUM · $41.5M to $46.4MMar 19, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $12.9M to $23.7MMar 19, 2025 to Mar 25, 2026
- Pension RAUM · $47.7M to $50.8MMar 19, 2025 to Mar 25, 2026
- RAUM · $313M to $333MMar 19, 2025 to Mar 25, 2026
- Accounts · 623 to 644Mar 19, 2024 to Mar 19, 2025
- HNW clients · 77 to 83Mar 19, 2024 to Mar 19, 2025
- Individual clients · 230 to 235Mar 19, 2024 to Mar 19, 2025
- Pension plan clients · 9 to 11Mar 19, 2024 to Mar 19, 2025
- Financial planning clients · 1-10 to 1-10Mar 19, 2024 to Mar 19, 2025
- Discretionary RAUM · $238M to $300MMar 19, 2024 to Mar 19, 2025
- HNW RAUM · $171M to $223MMar 19, 2024 to Mar 19, 2025
- Individual RAUM · $33.8M to $41.5MMar 19, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $15.7M to $12.9MMar 19, 2024 to Mar 19, 2025
- Pension RAUM · $49.6M to $47.7MMar 19, 2024 to Mar 19, 2025
- RAUM · $254M to $313MMar 19, 2024 to Mar 19, 2025
- Accounts · 600 to 623Mar 23, 2023 to Mar 19, 2024
- HNW clients · 71 to 77Mar 23, 2023 to Mar 19, 2024
- Individual clients · 175 to 230Mar 23, 2023 to Mar 19, 2024
- Pension plan clients · 7 to 9Mar 23, 2023 to Mar 19, 2024
- Discretionary RAUM · $213M to $238MMar 23, 2023 to Mar 19, 2024
- HNW RAUM · $149M to $171MMar 23, 2023 to Mar 19, 2024
- Individual RAUM · $37.5M to $33.8MMar 23, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $16.8M to $15.7MMar 23, 2023 to Mar 19, 2024
- Pension RAUM · $42.9M to $49.6MMar 23, 2023 to Mar 19, 2024
- RAUM · $229M to $254MMar 23, 2023 to Mar 19, 2024
- Accounts · 585 to 600Mar 25, 2022 to Mar 23, 2023
- HNW clients · 78 to 71Mar 25, 2022 to Mar 23, 2023
- Individual clients · 197 to 175Mar 25, 2022 to Mar 23, 2023
- Discretionary RAUM · $245M to $213MMar 25, 2022 to Mar 23, 2023
- HNW RAUM · $162M to $149MMar 25, 2022 to Mar 23, 2023
- Individual RAUM · $52.5M to $37.5MMar 25, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $21.7M to $16.8MMar 25, 2022 to Mar 23, 2023
- Pension RAUM · $52.3M to $42.9MMar 25, 2022 to Mar 23, 2023
- RAUM · $267M to $229MMar 25, 2022 to Mar 23, 2023
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
- Business phone
- 815-654-8795reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 815-654-8850reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- t•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 815-654-8850reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- t•••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $111Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026