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

W•••••• H••••• I••••••••• I•••

Former SEC-registered adviserChicago, IllinoisCRD 108353SEC 801-29805IAPD
Latest filing Mar 21, 2017
First filing on the tape Mar 22, 2012 · 12 filings
RAUM
$1.6B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
38
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
19
$475M gross assets
History
12 filings and snapshots on the tape
RAUM$1.6B as of Mar 21, 2017
Mar 22, 2012$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 21, 2017
Mar 22, 20120 then
Employees (5.A)38 as of Mar 21, 2017
Mar 25, 201353 then
Private funds19 as of Mar 21, 2017
Mar 22, 201233 then
RAUM -4.1% over the last fiscal year+2.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 21, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$3.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-4.1%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, publications, educational seminarsreportedItem 5.G
Custody
$1.5B, 386 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
419reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$1.5B for 386 clientsreported
Compensation
% of AUM, fixed, performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      31 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      W••••• G••••• F••• Q•••• L•••Hedge Fund$349M154Mar 22, 2012
      W•• M••••••••• F••• L••Hedge Fund$166M82Mar 22, 2012
      W•• N•• F•••• L••Hedge Fund$101M11Mar 22, 2012
      W•• E••••• M••••••• F••• L••Hedge Fund$69.0M58Mar 22, 2012
      W•• L•• F••••••• F••• L••no longer reportedHedge Fund$43.4M18Mar 22, 2012
      W•• T••••••••• F•••• L••no longer reportedHedge Fund$27.3M60Mar 22, 2012
      W•• P•••••• E••••• M••••••• F••• I••• L•••Private Equity Fund$24.2M34Mar 22, 2012
      W•• P•••••• E••••• M••••••• F••• I•• L•••Private Equity Fund$19.4M56Mar 22, 2012
      W•• F•••• I••••• F••• I••• L•••Private Equity Fund$18.8M46Mar 22, 2012
      H••••• F••••• R••Real Estate Fund$15.7M31Mar 25, 2013
      W•• S•••••• I••••••••• L••Hedge Fund$11.6M19Mar 15, 2016
      H••••• F••••• R•••••Real Estate Fund$11.3M8Mar 25, 2013
      W•• P•••••• E••••• M••••••• F••• I•• L•••Private Equity Fund$8.2M44Mar 22, 2012
      W•• R••••• F••• I••• L•••Real Estate Fund$7.0M49Mar 22, 2012
      W•• P•••••• E••••• M••••••• F•••• L••Private Equity Fund$6.5M47Mar 22, 2012
      W•• R••••• F•••• L••Real Estate Fund$5.7M53Mar 22, 2012
      W•• M••••• F••• I•• L•••Private Equity Fund$4.8M52Mar 22, 2012
      W•• E•• F•••• L•••no longer reportedHedge Fund$4.7M19Mar 22, 2012
      P•••••• F•••• L••no longer reportedHedge Fund$2.4M79Mar 22, 2012
      W•• R••••• F••• I•• L•••Real Estate Fund$1.9M46Mar 22, 2012
      W•• F•••• I••••• F••• I•• L••Private Equity Fund$1.7M53Mar 22, 2012
      W••••• E••••••• I••••••••• P•••••••••Real Estate Fund$1.4M11Mar 25, 2013
      W•• M••••• F•••• L••Private Equity Fund$725,83927Mar 22, 2012
      W•• L•• G• L••no longer reportedHedge Fund$472,83617Mar 22, 2012
      W•• S••••• F•••• L•no longer reportedHedge Fund$201,2686Mar 22, 2012
      W•• P•••••• E••••• F•••• L••Private Equity Fund$9,96628Mar 22, 2012
      C••••••• P•••••••no longer reportedPrivate Equity Fund$017Mar 22, 2012
      W•• P•••••• E••••• F••• I•• L•••no longer reportedPrivate Equity Fund$051Mar 22, 2012
      H••••• V•••••• P••••••• L••Private Equity Fund$049Mar 22, 2012
      W•• F•••• I••••• F•••• L••no longer reportedPrivate Equity Fund$056Mar 22, 2012
      W•• V••••••• F••• I• L••no longer reportedPrivate Equity Fund$00Mar 22, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• M•••• D• · Vice President, General Counsel, Secretary/Chief Compliance Officercontrol
        since 09/2009 · owns less than 5%
      • F••••• R••••••• H••••• · Trustee: R•••••• H• F•••• T••••control
        since 12/1997 · owns less than 5%
      • L••••••• A•••• B•••• · Senior Vice President/Chief Operating Officercontrol
        since 07/2012 · owns less than 5%
      • P•••••• C••••••• V• · Director, Ceo, President; Trustee: C•••••• P••••• Inv Trust, I•• G•••••• T••••control
        since 01/2002 · owns 5% to 10%
      • P•••••• J•••• R• · Director;Trustee: J••• P••••• Inv Trustcontrol
        since 01/2001 · owns 10% to 25%
      • P•••••• V•••••••• H••••• · Trustee: V••••••• H• P••••• T••••control
        since 12/1997 · owns less than 5%
      • S•••••••• M••• B••• · Trustee: R•••••• H. F•••• Trustcontrol
        since 12/2015 · owns less than 5%
      • W•••• A•• M••••• C• · Vice President, Treasurercontrol
        since 11/2008 · owns less than 5%
      • G•••••• J••••••• · Trustee: V•• G••••••••• T••••, R•• G• T••••
        since 11/2014 · owns less than 5%
      • H•••••• B•••••••• H••••••• · Trustee: I•• G•••••• T••••
        since 12/1997 · owns less than 5%
      • M••••••• M••••••• C••••••••• · Trustee: V•• G••••••••• T••••, R•• G• T••••, J••• P••••• Inv Trust, V••••••• H. P••••• Trust
        since 09/2010 · owns less than 5%
      • M••••• D•••••• H••••• · Trustee: I•• G•••••• T••••
        since 10/2002 · owns less than 5%
      Entity owners
      • C•••••• P••••• I••••••••• T•••• · Shareholder - Cl A And Cl B
        direct · owns 5% to 10%
      • J••• P••••• I••••••••• T•••• · Shareholder - Cl A And Cl B
        direct · owns 10% to 25%
      • R•••••• H• F•••• T•••• · Shareholder-Cl A
        direct · owns less than 5%
      • V••••••• H• P••••• T•••• · Shareholder-Cl A
        direct · owns less than 5%
      • I•• G•••••• T•••• · Shareholder-Cl B
        direct · owns 10% to 25%
      • R•• G• T•••• · Shareholder - Cl B
        direct · owns 10% to 25%
      • V•• G••••••••• T•••• · Shareholder-Cl B
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Advisers that list W•••••• H••••• I••••••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 11 to 4
        Sep 14, 2016 to Mar 21, 2017
      • Assets in custody · $1.6B to $1.5B
        Sep 14, 2016 to Mar 21, 2017
      • Employees · 47 to 38
        Sep 14, 2016 to Mar 21, 2017
      • Private funds · 21 to 19
        Sep 14, 2016 to Mar 21, 2017
      • Discretionary RAUM · $1.6B to $1.6B
        Sep 14, 2016 to Mar 21, 2017
      • Non-discretionary RAUM · $48.7M to $25.6M
        Sep 14, 2016 to Mar 21, 2017
      • RAUM · $1.7B to $1.6B
        Sep 14, 2016 to Mar 21, 2017
      • Accounts · 674 to 419
        Mar 26, 2015 to Mar 15, 2016
      • Advisory employees · 24 to 11
        Mar 26, 2015 to Mar 15, 2016
      • Advisory activities · 8 to 7
        Mar 26, 2015 to Mar 15, 2016
      • Assets in custody · $1.5B to $1.6B
        Mar 26, 2015 to Mar 15, 2016
      • Employees · 56 to 47
        Mar 26, 2015 to Mar 15, 2016
      • Private funds · 33 to 21
        Mar 26, 2015 to Mar 15, 2016
      • Discretionary RAUM · $1.6B to $1.6B
        Mar 26, 2015 to Mar 15, 2016
      • Non-discretionary RAUM · $326M to $48.7M
        Mar 26, 2015 to Mar 15, 2016
      • RAUM · $1.9B to $1.7B
        Mar 26, 2015 to Mar 15, 2016
      • Related adviser · false to true
        Mar 26, 2015 to Mar 15, 2016
      • Accounts · 598 to 674
        Mar 27, 2014 to Mar 26, 2015
      • Advisory activities · 7 to 8
        Mar 27, 2014 to Mar 26, 2015
      • Assets in custody · $1.4B to $1.5B
        Mar 27, 2014 to Mar 26, 2015
      • Employees · 55 to 56
        Mar 27, 2014 to Mar 26, 2015
      • Private funds · 36 to 33
        Mar 27, 2014 to Mar 26, 2015
      • Discretionary RAUM · $1.4B to $1.6B
        Mar 27, 2014 to Mar 26, 2015
      • Non-discretionary RAUM · $160M to $326M
        Mar 27, 2014 to Mar 26, 2015
      • RAUM · $1.5B to $1.9B
        Mar 27, 2014 to Mar 26, 2015
      • Accounts · 562 to 598
        Dec 20, 2013 to Mar 27, 2014
      • Advisory employees · 22 to 24
        Dec 20, 2013 to Mar 27, 2014
      • Assets in custody · $1.2B to $1.4B
        Dec 20, 2013 to Mar 27, 2014
      • Employees · 53 to 55
        Dec 20, 2013 to Mar 27, 2014
      • Private funds · 32 to 36
        Dec 20, 2013 to Mar 27, 2014
      • Discretionary RAUM · $1.3B to $1.4B
        Dec 20, 2013 to Mar 27, 2014
      • Non-discretionary RAUM · $129M to $160M
        Dec 20, 2013 to Mar 27, 2014
      • RAUM · $1.4B to $1.5B
        Dec 20, 2013 to Mar 27, 2014
      • Private funds · 33 to 32
        Jul 26, 2012 to Mar 25, 2013
      • Accounts · 463 to 562
        Jul 26, 2012 to Mar 25, 2013
      • Advisory employees · unset to 22.0
        Jul 26, 2012 to Mar 25, 2013
      • Assets in custody · $1.1B to $1.2B
        Jul 26, 2012 to Mar 25, 2013
      • Employees · unset to 53.0
        Jul 26, 2012 to Mar 25, 2013
      • Discretionary RAUM · $1.3B to $1.3B
        Jul 26, 2012 to Mar 25, 2013
      • Non-discretionary RAUM · $15.7M to $129M
        Jul 26, 2012 to Mar 25, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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
      Across the graphs

      W•••••• H••••• I••••••••• I••• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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