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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
D••••••• P••••••• L•••••
Latest filing Mar 23, 2026
First filing on the tape Dec 6, 2011 · 40 filings
SEC status approved since Apr 24, 1997
RAUM
$2.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
39%
$1.1B individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$305M
derived; firm RAUM over IAPD count
Employees
24
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$2.7B as of Mar 23, 2026
Mar 22, 2012$2.1B then
HNW client RAUM$1.0B as of Mar 23, 2026
Mar 29, 2018$474M then
State-registered IARs (5.B.3)10 as of Mar 23, 2026
Feb 12, 20132 then
Employees (5.A)24 as of Mar 23, 2026
Feb 12, 201337 then
Private funds1 as of Mar 28, 2014
Mar 22, 20121 then
RAUM -22% over the last fiscal year-8.4% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $305MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.1MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- High-net-worth individuals$1.0B37%
- Other investment advisers$585M21%
- Investment companies$570M21%
- Pension and profit-sharing plans$506M18%
- Individuals$49.0M1.8%
- Charitable organizations$16.5M0.6%
- Individual clients
- 108reported
- HNW clients
- 142reported
- Pension plan clients
- 18reported
- Charitable clients
- 2reported
- Accounts
- 2,124reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $585M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.39 fund_share=0.42 institutional_share=0.19 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• L••••• | Chicago, Il | Jan 24, 2017 | 12 y | 1 |
| J••• V•••••• C••••••••Certified Financial Planner | Chicago, Il | Jun 27, 2018 | 14 y | 0 |
| P•••• J• D•••••Chartered Financial Analyst | E•••••Sville, Il | Sep 25, 2018 | 25 y | 0 |
| M•••••• T••••• G•••••••Chartered Financial Analyst | Chicago, Il | Jun 14, 2019 | 15 y | 0 |
| B•••••• C•••••• S•••• | Chicago, Il | Jul 18, 2019 | 34 y | 2 |
| J•••• D•••••• L•••••• | Chicago, Il | Mar 17, 2020 | 40 y | 1 |
| R•••• D••• | Manhattan Beach, Ca | Jul 9, 2020 | 33 y | 3 |
| J••••••• D• W•• | Chicago, Il | Mar 23, 2023 | 14 y | 1 |
| E••••• J•••• T••••Certified Financial Planner | Chicago, Il | Apr 30, 2024 | 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
- G•••••• P•••••• S••••••• to Z•••• I••••••••• M••••••••• I•••Jun 16, 2020 · Other
- P••• J••••• N•••• to K•••••••• W••••• M••••••••• L••May 19, 2014 · Other
Joined, latest
- J••••••• D• W•• from E••••• J••••Mar 23, 2023 · Affiliated broker-dealer or bank to independent RIA
- R•••• D••• from D••••••• C•••••• M••••••••• A•••••••• I••Jul 9, 2020 · Other
- J•••• D•••••• L•••••• from R•••••• I•••••••••Mar 17, 2020 · Other
- G•••••• P•••••• S••••••• from W•••• F•••• A•••••••Sep 11, 2019 · Wirehouse to independent RIA
- B•••••• C•••••• S•••• from M•• I••••••••• M••••••••• I••Sep 17, 2018 · RIA to RIA
- S••••• L••••• from U•• F•••••••• S••••••• I•••Jan 24, 2017 · Other
- P••• J••••• N•••• from H••••••• A•••••••••Apr 21, 2010 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••••• P••••••• G•••• T••••no longer reported | Other Private Fund | $400,000 | 1 | Mar 22, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••••• M••••••• B• · Membercontrolsince 01/2016 · owns 25% to 50%
- C••••••••• J•••• V•••••• · Membersince 03/2022 · owns 5% to 10%
- D•••••• P••••• J• · Membersince 03/2022 · owns 5% to 10%
- L••••••• C••••• M••••• · Membersince 01/2017 · owns 10% to 25%
- M•••••••• D•••••• G••••• · Chief Compliance Officersince 04/2015 · owns less than 5%
- P••••• B••••• A••••• · Membersince 03/2022 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Chicago, Il · principal | 9 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,837 to 2,124Mar 21, 2025 to Mar 23, 2026
- Advisory employees · 14 to 13Mar 21, 2025 to Mar 23, 2026
- Corporate clients · 1.0 to unsetMar 21, 2025 to Mar 23, 2026
- HNW clients · 144 to 142Mar 21, 2025 to Mar 23, 2026
- Individual clients · 103 to 108Mar 21, 2025 to Mar 23, 2026
- Employees · 25 to 24Mar 21, 2025 to Mar 23, 2026
- Discretionary RAUM · $3.5B to $2.7BMar 21, 2025 to Mar 23, 2026
- HNW RAUM · $1.0B to $1.0BMar 21, 2025 to Mar 23, 2026
- Individual RAUM · $44.7M to $49.0MMar 21, 2025 to Mar 23, 2026
- Pension RAUM · $452M to $506MMar 21, 2025 to Mar 23, 2026
- RAUM · $3.5B to $2.7BMar 21, 2025 to Mar 23, 2026
- Wrap assets (manager) · $962M to $585MMar 21, 2025 to Mar 23, 2026
- Accounts · 4,516 to 2,837Mar 19, 2024 to Mar 21, 2025
- Charity clients · 3 to 2Mar 19, 2024 to Mar 21, 2025
- HNW clients · 140 to 144Mar 19, 2024 to Mar 21, 2025
- Individual clients · 108 to 103Mar 19, 2024 to Mar 21, 2025
- Pension plan clients · 17 to 18Mar 19, 2024 to Mar 21, 2025
- Financial planning clients · 51-100 to 101-250Mar 19, 2024 to Mar 21, 2025
- State-registered IARs · 8 to 10Mar 19, 2024 to Mar 21, 2025
- Discretionary RAUM · $3.8B to $3.5BMar 19, 2024 to Mar 21, 2025
- HNW RAUM · $880M to $1.0BMar 19, 2024 to Mar 21, 2025
- Individual RAUM · $44.6M to $44.7MMar 19, 2024 to Mar 21, 2025
- Pension RAUM · $397M to $452MMar 19, 2024 to Mar 21, 2025
- RAUM · $3.8B to $3.5BMar 19, 2024 to Mar 21, 2025
- Wrap assets (manager) · $1.5B to $962MMar 19, 2024 to Mar 21, 2025
- Accounts · 4,416 to 4,516Mar 23, 2023 to Mar 19, 2024
- Advisory employees · 15 to 14Mar 23, 2023 to Mar 19, 2024
- BD registered reps · 8 to 5Mar 23, 2023 to Mar 19, 2024
- Corporate clients · 5 to 1Mar 23, 2023 to Mar 19, 2024
- HNW clients · 154 to 140Mar 23, 2023 to Mar 19, 2024
- Individual clients · 67 to 108Mar 23, 2023 to Mar 19, 2024
- Pension plan clients · 19 to 17Mar 23, 2023 to Mar 19, 2024
- Pooled vehicle clients · 0.0 to unsetMar 23, 2023 to Mar 19, 2024
- Employees · 28 to 25Mar 23, 2023 to Mar 19, 2024
- Discretionary RAUM · $3.6B to $3.8BMar 23, 2023 to Mar 19, 2024
- HNW RAUM · $772M to $880MMar 23, 2023 to Mar 19, 2024
- Individual RAUM · $17.3M to $44.6MMar 23, 2023 to Mar 19, 2024
- Pension RAUM · $426M to $397MMar 23, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · 0.0 to unsetMar 23, 2023 to Mar 19, 2024
- RAUM · $3.6B to $3.8BMar 23, 2023 to Mar 19, 2024
Signals
3 dated events
- Jon Calvin Pedersen (Member - Class B) no longer on Schedule A of D••••••• P••••••• L••••• (listed 2020-06-19, absent 2020-10-14)Oct 14, 2020 · Control person left · inference
- D••••••• P••••••• L••••• reported RAUM $3.1B, up 35% from $2.3B (2019-03-28 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- D••••••• P••••••• L••••• reported RAUM $2.1B, down 27% from $2.8B (2017-09-29 to 2018-03-29)Mar 29, 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.
How to reach
public business contact points only, each with its source
- Business email
- c•••••••@d•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- c••••••••@d•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- m••••••••@d•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- r•@d•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- p•••••••••@d•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 312-795-1111reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 312-795-1000reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- D•••••••PARTNERS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-795-1000reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- d•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- d•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $305Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026