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
S••••••••• • N••••• W••••• A••••••• L••
Latest filing Feb 24, 2025
First filing on the tape Feb 9, 2012 · 19 filings
SEC status approved since Apr 13, 2017
RAUM
$299M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$299M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
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$299M as of Feb 24, 2025
Feb 9, 2012$75.8M then
HNW client RAUM$280M as of Feb 24, 2025
Mar 27, 2018$132M then
State-registered IARs (5.B.3)2 as of Feb 24, 2025
Feb 9, 20120 then
Employees (5.A)3 as of Feb 24, 2025
Mar 27, 20182 then
Private funds: no history
RAUM +18% over the last fiscal year+7.0% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 24, 2025; every figure names its basis
- RAUM per advisor
- $150MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $653,370derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.2%derived
- Compensation
- percentage of assetsreportedItem 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$280M94%
- Individuals$19.3M6.5%
- Individual clients
- 29reported
- HNW clients
- 76reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 458reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- S••••• R••• N••••• to R••••••••• W••••• L••Nov 7, 2025 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••• S•••••• R••• · Membercontrolsince 01/2009 · owns less than 5%
- S••••••••• D•••• S•••• · Chief Compliance Officercontrolsince 08/2004 · owns 75% or more
- S••••••••• D••••• S•••• · Adviser Associatesince 05/2019 · 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 |
|---|---|---|---|---|---|
| Oak Brook, Il | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 422 to 458Feb 20, 2024 to Feb 24, 2025
- HNW clients · 75 to 76Feb 20, 2024 to Feb 24, 2025
- Individual clients · 22 to 29Feb 20, 2024 to Feb 24, 2025
- Financial planning clients · 51-100 to 101-250Feb 20, 2024 to Feb 24, 2025
- Discretionary RAUM · $253M to $299MFeb 20, 2024 to Feb 24, 2025
- HNW RAUM · $244M to $280MFeb 20, 2024 to Feb 24, 2025
- Individual RAUM · $9.2M to $19.3MFeb 20, 2024 to Feb 24, 2025
- RAUM · $253M to $299MFeb 20, 2024 to Feb 24, 2025
- Accounts · 393 to 422Dec 19, 2023 to Feb 20, 2024
- Individual clients · 19 to 22Dec 19, 2023 to Feb 20, 2024
- Discretionary RAUM · $235M to $253MDec 19, 2023 to Feb 20, 2024
- HNW RAUM · $225M to $244MDec 19, 2023 to Feb 20, 2024
- Individual RAUM · $10.3M to $9.2MDec 19, 2023 to Feb 20, 2024
- RAUM · $235M to $253MDec 19, 2023 to Feb 20, 2024
- Accounts · 90 to 393Mar 24, 2022 to Mar 27, 2023
- HNW clients · 73 to 75Mar 24, 2022 to Mar 27, 2023
- Individual clients · 17 to 19Mar 24, 2022 to Mar 27, 2023
- Discretionary RAUM · $245M to $235MMar 24, 2022 to Mar 27, 2023
- HNW RAUM · $235M to $225MMar 24, 2022 to Mar 27, 2023
- Individual RAUM · $9.8M to $10.3MMar 24, 2022 to Mar 27, 2023
- RAUM · $245M to $235MMar 24, 2022 to Mar 27, 2023
- Accounts · 86 to 90Mar 24, 2021 to Mar 24, 2022
- HNW clients · 86 to 73Mar 24, 2021 to Mar 24, 2022
- Individual clients · 19 to 17Mar 24, 2021 to Mar 24, 2022
- Discretionary RAUM · $207M to $245MMar 24, 2021 to Mar 24, 2022
- HNW RAUM · $203M to $235MMar 24, 2021 to Mar 24, 2022
- Individual RAUM · $4.3M to $9.8MMar 24, 2021 to Mar 24, 2022
- RAUM · $207M to $245MMar 24, 2021 to Mar 24, 2022
- Accounts · 87 to 86Jun 23, 2020 to Mar 24, 2021
- HNW clients · 63 to 86Jun 23, 2020 to Mar 24, 2021
- Individual clients · 24 to 19Jun 23, 2020 to Mar 24, 2021
- Discretionary RAUM · $193M to $207MJun 23, 2020 to Mar 24, 2021
- HNW RAUM · $182M to $203MJun 23, 2020 to Mar 24, 2021
- Individual RAUM · $11.3M to $4.3MJun 23, 2020 to Mar 24, 2021
- RAUM · $193M to $207MJun 23, 2020 to Mar 24, 2021
- HNW clients · 62 to 63Mar 6, 2019 to Mar 24, 2020
- Individual clients · 25 to 24Mar 6, 2019 to Mar 24, 2020
- Employees · 2 to 3Mar 6, 2019 to Mar 24, 2020
- Discretionary RAUM · $164M to $193MMar 6, 2019 to Mar 24, 2020
- HNW RAUM · $152M to $182MMar 6, 2019 to Mar 24, 2020
Signals
3 dated events
- S••••••••• • N••••• W••••• A••••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $299.2M)Dec 20, 2025 · Left the SEC roster · derived
- S••••• R••• N••••• left S••••••••• • N••••• W••••• A••••••• L•• for R••••••••• W••••• L•• (registered 2025-10-20)Nov 7, 2025 · Advisor changed firm · fact
- S••••••••• • N••••• W••••• A••••••• L•• filed its initial SEC registration (Form ADV)Mar 20, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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