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
E••••• F•••••••• G••••
Latest filing Aug 17, 2026
First filing on the tape Feb 13, 2012 · 29 filings
SEC status approved since Sep 23, 2004
RAUM
$2.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
49%
$1.3B individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$203M
derived; firm RAUM over IAPD count
Employees
18
13 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$2.6B as of Aug 17, 2026
Feb 13, 2012$350M then
HNW client RAUM$1.1B as of Aug 17, 2026
Mar 2, 2018$336M then
State-registered IARs (5.B.3)13 as of Aug 17, 2026
Mar 22, 20130 then
Employees (5.A)18 as of Aug 17, 2026
Mar 22, 20136 then
Private funds: no history
RAUM +16% over the last fiscal year+18% a year over threeIARs 13 to 13offices 4 to 6
Practice profile
derived from the filing of Aug 17, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $203MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 50%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 1.9derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +7.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.4%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publicationsreportedItem 5.G
- Custody
- $404M, 337 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$1.3B50%
- High-net-worth individuals$1.1B43%
- Individuals$153M5.8%
- Corporations and businesses$30.5M1.2%
- Individual clients
- 472reported
- HNW clients
- 363reported
- Pension plan clients
- 88reported
- Charitable clients
- n/areported
- Accounts
- 2,378reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $404M for 337 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.49 fund_share=0.0 institutional_share=0.5 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
13 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• M•••• E••••• | Chicago, Il | Jan 24, 2000 | 38 y | 1 |
| M•••••• L•• S•••••• | Chicago, Il | Feb 24, 2004 | 35 y | 1 |
| J•••• J• K••••••Certified Financial Planner | Chicago, Il | Mar 4, 2016 | 41 y | 4 |
| J••••••• C•••••••Certified Financial Planner | Chicago, Il | Mar 4, 2016 | 23 y | 0 |
| S••••••• D•••••••Certified Financial Planner | Chicago, Il | Jan 31, 2017 | 12 y | 0 |
| W•••••• E•••••• E••••• | Chicago, Il | Jan 29, 2018 | 29 y | 0 |
| M•••••• D•••• P•••• | Chicago, Il | Jul 7, 2018 | 11 y | 1 |
| C••••• J•••••• P•••• | Chicago, Il | Sep 19, 2023 | 10 y | 1 |
| J•••• M••••• F••• | Chicago, Il | Sep 19, 2023 | 15 y | 1 |
| L••• M••••••• D•••••Certified Financial Planner | Chicago, Il | Sep 19, 2023 | 17 y | 2 |
| N••• T• D•••••••••Certified Financial Planner | Chicago, Il | Jun 16, 2024 | 18 y | 0 |
| A••••• N•••Chartered Financial Analyst | Chicago, Il | Sep 6, 2024 | 11 y | 0 |
| P•••••• C•••••••Certified Financial Planner, Chartered Financial Consultant | Chicago, Il | Nov 24, 2025 | 12 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 7.7% of current headcount2 left over 36 months
Left, latest
- A••••• J•••• F•••••••• to W•••••• W•••••Aug 17, 2026 · RIA to RIA
- G•••••• S•••••••• M••••• to S•••• B••• C•••••• L••Dec 31, 2024 · RIA to a state-registered adviser
- C••• J••••• R••••••• to F•••••••• S•••••••• A••••••• G••••Nov 6, 2017 · Other
- B••••••• T••••• O•••• to F••••• C•••••• M••••••••• L••Jun 23, 2014 · Other
- G••• M•••••• S•••••••• to W••••••••• F•••••••• G••••• I•••Nov 23, 2005 · Other
Joined, latest
- P•••••• C••••••• from W•••••• P•••••• W•••••Nov 24, 2025 · RIA to RIA
- G•••••• S•••••••• M••••• from M••••• S••••••Jul 9, 2024 · Wirehouse to independent RIA
- L••• M••••••• D••••• from W•••••• P•••••• W•••••Sep 19, 2023 · RIA to RIA
- J•••• M••••• F••• from M•• I•••••••• S•••••••• L••Sep 19, 2023 · Affiliated broker-dealer or bank to independent RIA
- C••••• J•••••• P•••• from M••••• L••Sep 19, 2023 · RIA to RIA
- A••••• J•••• F•••••••• from M••••• L••Mar 17, 2021 · RIA to RIA
- M•••••• D•••• P•••• from M••••• L••Jul 7, 2018 · RIA to RIA
- J•••• J• K•••••• from W•••••• • R•••Mar 4, 2016 · Other
- M•••••• L•• S•••••• from B•••••• F•••••••• G••••• I•••Feb 24, 2004 · Other
- P••• M•••• E••••• from P••••••••• A•••• M••••••••• L•••••Jan 24, 2000 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••••• P•••• M•••• · Ceocontrolsince 01/1995 · owns 75% or more
- D•••••••• S••••••• · Chief Compliance Officersince 12/2024 · owns less than 5%
- K••••••• J••••• J• · Chief Compliance Officersince 01/2016 · owns less than 5%
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 | 13 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- office count surgeChange between filings · filing Feb 13, 2026offices other than the principal office (Item 1.F.5) moved from 4.0 to 6.0 (+50.0%) between the annual amendments of 2025-02-25 and 2026-02-13; the peer median change was 0.0% (379 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $1B to $5B (379) · 93% percentile
What changed
consecutive filings, newest first
- Advisory employees · 14 to 13Feb 13, 2026 to Aug 17, 2026
- Employees · 19 to 18Feb 13, 2026 to Aug 17, 2026
- State-registered IARs · 14 to 13Feb 13, 2026 to Aug 17, 2026
- Accounts · 2,363 to 2,378Dec 11, 2025 to Feb 13, 2026
- HNW clients · 288 to 363Dec 11, 2025 to Feb 13, 2026
- Individual clients · 497 to 472Dec 11, 2025 to Feb 13, 2026
- Pension plan clients · 86 to 88Dec 11, 2025 to Feb 13, 2026
- Assets in custody · $305M to $404MDec 11, 2025 to Feb 13, 2026
- Other offices · 5 to 6Dec 11, 2025 to Feb 13, 2026
- Discretionary RAUM · $2.1B to $2.6BDec 11, 2025 to Feb 13, 2026
- HNW RAUM · $903M to $1.1BDec 11, 2025 to Feb 13, 2026
- Individual RAUM · $139M to $153MDec 11, 2025 to Feb 13, 2026
- Non-discretionary RAUM · $153M to $8.5MDec 11, 2025 to Feb 13, 2026
- Pension RAUM · $1.2B to $1.3BDec 11, 2025 to Feb 13, 2026
- RAUM · $2.3B to $2.6BDec 11, 2025 to Feb 13, 2026
- Advisory employees · 13 to 14Jun 12, 2025 to Dec 11, 2025
- Employees · 18 to 19Jun 12, 2025 to Dec 11, 2025
- State-registered IARs · 13 to 14Jun 12, 2025 to Dec 11, 2025
- Other offices · 4 to 5Jun 12, 2025 to Dec 11, 2025
- Financial planning clients · 101-250 to 101-250Feb 25, 2025 to Jun 12, 2025
- Accounts · 798 to 2,363Jan 21, 2025 to Feb 25, 2025
- Advisory employees · 16 to 13Jan 21, 2025 to Feb 25, 2025
- Corporate clients · 11 to 12Jan 21, 2025 to Feb 25, 2025
- HNW clients · 200 to 288Jan 21, 2025 to Feb 25, 2025
- Individual clients · 496 to 497Jan 21, 2025 to Feb 25, 2025
- Pension plan clients · 91 to 86Jan 21, 2025 to Feb 25, 2025
- Assets in custody · $211M to $305MJan 21, 2025 to Feb 25, 2025
- Employees · 20 to 18Jan 21, 2025 to Feb 25, 2025
- State-registered IARs · 16 to 13Jan 21, 2025 to Feb 25, 2025
- Discretionary RAUM · $1.8B to $2.1BJan 21, 2025 to Feb 25, 2025
- HNW RAUM · $738M to $903MJan 21, 2025 to Feb 25, 2025
- Individual RAUM · $157M to $139MJan 21, 2025 to Feb 25, 2025
- Non-discretionary RAUM · $195M to $153MJan 21, 2025 to Feb 25, 2025
- Pension RAUM · $1.1B to $1.2BJan 21, 2025 to Feb 25, 2025
- RAUM · $2.0B to $2.3BJan 21, 2025 to Feb 25, 2025
- Advisory employees · 15 to 16Dec 5, 2024 to Jan 21, 2025
- Employees · 19 to 20Dec 5, 2024 to Jan 21, 2025
- State-registered IARs · 15 to 16Dec 5, 2024 to Jan 21, 2025
- State-registered IARs · 14 to 15Aug 28, 2024 to Sep 18, 2024
- Advisory employees · 14 to 15Aug 28, 2024 to Sep 18, 2024
Signals
4 dated events
- A••••• J•••• F•••••••• left E••••• F•••••••• G•••• for W•••••• W••••• (registered 2026-08-20)Aug 17, 2026 · Advisor changed firm · fact
- G•••••• S•••••••• M••••• left E••••• F•••••••• G•••• for S•••• B••• C•••••• L•• (registered 2025-06-24)Dec 31, 2024 · Advisor changed firm · fact
- E••••• F•••••••• G•••• reported 13 state-registered advisory representatives, up from 0 (2024-04-15 to 2024-04-23)Apr 23, 2024 · Advisor headcount change · derived
- E••••• F•••••••• G•••• reported RAUM $2.0B, up 26% from $1.6B (2023-06-14 to 2024-03-20)Mar 20, 2024 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- E••••• F•••••••• G•••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Website
- E•••••FINANCIALGROUP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-527-5565reportedpublic record, Form ADV, Aug 17, 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
- $203Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026