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
A••••••• W••••• M••••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Apr 2, 2012 · 19 filings
SEC status approved since Jul 17, 2000
RAUM
$699M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$699M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$350M
derived; firm RAUM over IAPD count
Employees
4
2 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$699M as of Mar 11, 2026
Apr 2, 2012$262M then
HNW client RAUM$698M as of Mar 11, 2026
Mar 29, 2018$394M then
State-registered IARs (5.B.3)0 as of Mar 11, 2026
Apr 2, 20120 then
Employees (5.A)4 as of Mar 11, 2026
Mar 21, 20135 then
Private funds: no history
RAUM +10% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $350MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.5MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$698M100%
- Individuals$1.5M0.2%
- Individual clients
- 10reported
- HNW clients
- 126reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 418reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• P•••• S••••••• | Lake Bluff, Il | Mar 28, 2019 | 26 y | 0 |
| R•••••• B••• F•••••••Certified Financial Planner, Chartered Financial Analyst | Lake Bluff, Il | Sep 15, 2025 | 26 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
- F•••••••• R••••••• B••• · Managing Directorcontrolsince 07/2000 · owns 50% to 75%
- S•••••••• K••••• P•••• · Chief Compliance Officer/Managing Directorcontrolsince 07/2000 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Lake Bluff, Il · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 390 to 418Feb 10, 2025 to Mar 11, 2026
- HNW clients · 133 to 126Feb 10, 2025 to Mar 11, 2026
- Discretionary RAUM · $611M to $675MFeb 10, 2025 to Mar 11, 2026
- HNW RAUM · $632M to $698MFeb 10, 2025 to Mar 11, 2026
- Individual RAUM · $2.0M to $1.5MFeb 10, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $23.3M to $23.8MFeb 10, 2025 to Mar 11, 2026
- RAUM · $634M to $699MFeb 10, 2025 to Mar 11, 2026
- Accounts · 433 to 390Nov 14, 2024 to Feb 10, 2025
- HNW clients · 180 to 133Nov 14, 2024 to Feb 10, 2025
- Individual clients · 22 to 10Nov 14, 2024 to Feb 10, 2025
- Financial planning clients · 51-100 to 51-100Nov 14, 2024 to Feb 10, 2025
- Discretionary RAUM · $548M to $611MNov 14, 2024 to Feb 10, 2025
- HNW RAUM · $566M to $632MNov 14, 2024 to Feb 10, 2025
- Individual RAUM · $3.5M to $2.0MNov 14, 2024 to Feb 10, 2025
- Non-discretionary RAUM · $21.6M to $23.3MNov 14, 2024 to Feb 10, 2025
- RAUM · $569M to $634MNov 14, 2024 to Feb 10, 2025
- Accounts · 418 to 433Mar 6, 2023 to Mar 27, 2024
- HNW clients · 165 to 180Mar 6, 2023 to Mar 27, 2024
- Discretionary RAUM · $503M to $548MMar 6, 2023 to Mar 27, 2024
- HNW RAUM · $522M to $566MMar 6, 2023 to Mar 27, 2024
- Individual RAUM · $3.1M to $3.5MMar 6, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $21.4M to $21.6MMar 6, 2023 to Mar 27, 2024
- RAUM · $525M to $569MMar 6, 2023 to Mar 27, 2024
- Accounts · 424 to 418Mar 28, 2022 to Mar 6, 2023
- HNW clients · 162 to 165Mar 28, 2022 to Mar 6, 2023
- Discretionary RAUM · $542M to $503MMar 28, 2022 to Mar 6, 2023
- HNW RAUM · $568M to $522MMar 28, 2022 to Mar 6, 2023
- Individual RAUM · $3.6M to $3.1MMar 28, 2022 to Mar 6, 2023
- Non-discretionary RAUM · $29.6M to $21.4MMar 28, 2022 to Mar 6, 2023
- RAUM · $571M to $525MMar 28, 2022 to Mar 6, 2023
- Accounts · 446 to 424Mar 26, 2021 to Mar 28, 2022
- HNW clients · 176 to 162Mar 26, 2021 to Mar 28, 2022
- Individual clients · 26 to 22Mar 26, 2021 to Mar 28, 2022
- Discretionary RAUM · $487M to $542MMar 26, 2021 to Mar 28, 2022
- HNW RAUM · $500M to $568MMar 26, 2021 to Mar 28, 2022
- Individual RAUM · $5.4M to $3.6MMar 26, 2021 to Mar 28, 2022
- Non-discretionary RAUM · $18.1M to $29.6MMar 26, 2021 to Mar 28, 2022
- RAUM · $505M to $571MMar 26, 2021 to Mar 28, 2022
- Accounts · 451 to 446Nov 30, 2020 to Mar 26, 2021
- Individual clients · 30 to 26Nov 30, 2020 to Mar 26, 2021
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
- Principal office phone
- 312-456-3315reportedpublic record, Form ADV, Mar 11, 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
- $350Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026