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

F••••••• C•••••• M••••••••• L••

Asset manager (funds and pooled vehicles)Libertyville, IllinoisCRD 109474SEC 801-56631websiteIAPD
Latest filing Mar 31, 2026
First filing on the tape Dec 7, 2011 · 21 filings
SEC status approved since Jun 28, 1999
RAUM
$3.5M
reported, Item 5.F
Discretionary
100%
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$3.5M as of Mar 31, 2026
Mar 20, 2012$273M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 19, 20130 then
Employees (5.A)1 as of Mar 31, 2026
Mar 19, 20134 then
Private funds: no history
RAUM +20% over the last fiscal year-38% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
$3.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
+20%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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
  • Investment companies$3.5M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••••• T•••••• H•••••• · President, Ceo, Cfo, Coo, Clo, Cco, Directorcontrol
        since 02/2004 · owns 75% or more
      Related persons
      Schedule D 7.A
      • F••••••• • A•••••••••
        y
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $2.9M to $3.5M
        Mar 26, 2025 to Mar 31, 2026
      • RAUM · $2.9M to $3.5M
        Mar 26, 2025 to Mar 31, 2026
      • Financial planning clients · 1-10 to 1-10
        Mar 28, 2024 to Mar 26, 2025
      • Discretionary RAUM · $3.5M to $2.9M
        Mar 28, 2024 to Mar 26, 2025
      • RAUM · $3.5M to $2.9M
        Mar 28, 2024 to Mar 26, 2025
      • Discretionary RAUM · $15.1M to $3.5M
        Mar 30, 2023 to Mar 28, 2024
      • RAUM · $15.1M to $3.5M
        Mar 30, 2023 to Mar 28, 2024
      • Discretionary RAUM · $17.1M to $15.1M
        Nov 4, 2022 to Mar 30, 2023
      • RAUM · $17.1M to $15.1M
        Nov 4, 2022 to Mar 30, 2023
      • Discretionary RAUM · $4.6M to $17.1M
        Jun 28, 2022 to Nov 4, 2022
      • RAUM · $4.6M to $17.1M
        Jun 28, 2022 to Nov 4, 2022
      • Accounts · 2 to 1
        Nov 5, 2021 to Mar 28, 2022
      • Advisory employees · 2 to 1
        Nov 5, 2021 to Mar 28, 2022
      • Employees · 2 to 1
        Nov 5, 2021 to Mar 28, 2022
      • Discretionary RAUM · $8.3M to $4.6M
        Nov 5, 2021 to Mar 28, 2022
      • RAUM · $8.3M to $4.6M
        Nov 5, 2021 to Mar 28, 2022
      • Discretionary RAUM · $12.4M to $8.3M
        Mar 31, 2020 to Mar 31, 2021
      • RAUM · $12.4M to $8.3M
        Mar 31, 2020 to Mar 31, 2021
      • Other offices · 1 to 0
        Mar 29, 2019 to Mar 31, 2020
      • Discretionary RAUM · $23.9M to $12.4M
        Mar 29, 2019 to Mar 31, 2020
      • RAUM · $23.9M to $12.4M
        Mar 29, 2019 to Mar 31, 2020
      • Accounts · 3 to 2
        Mar 31, 2018 to Mar 29, 2019
      • Advisory employees · 3 to 2
        Mar 31, 2018 to Mar 29, 2019
      • Employees · 3 to 2
        Mar 31, 2018 to Mar 29, 2019
      • HQ city · LAKE FOREST to LIBERTYVILLE
        Mar 31, 2018 to Mar 29, 2019
      • Other offices · 0 to 1
        Mar 31, 2018 to Mar 29, 2019
      • Discretionary RAUM · $54.7M to $23.9M
        Mar 31, 2018 to Mar 29, 2019
      • RAUM · $54.7M to $23.9M
        Mar 31, 2018 to Mar 29, 2019
      • Financial planning clients · unset to 1-10
        Mar 30, 2017 to Mar 31, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 31, 2018
      • Discretionary RAUM · $117M to $54.7M
        Mar 30, 2017 to Mar 31, 2018
      • RAUM · $117M to $54.7M
        Mar 30, 2017 to Mar 31, 2018
      • Advisory employees · 4 to 3
        Apr 13, 2016 to Mar 30, 2017
      • Employees · 4 to 3
        Apr 13, 2016 to Mar 30, 2017
      • Discretionary RAUM · $147M to $117M
        Apr 13, 2016 to Mar 30, 2017
      • RAUM · $147M to $117M
        Apr 13, 2016 to Mar 30, 2017
      • Discretionary RAUM · $191M to $147M
        Mar 18, 2015 to Mar 15, 2016
      • RAUM · $191M to $147M
        Mar 18, 2015 to Mar 15, 2016
      • Discretionary RAUM · $177M to $191M
        Mar 14, 2014 to Mar 18, 2015
      • RAUM · $177M to $191M
        Mar 14, 2014 to Mar 18, 2015
      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
      f••• website
      F•••••••VALUE.COMreportedpublic record, Form ADV, Sep 19, 2026
      Principal office phone
      224-544-5123reportedpublic record, Form ADV, Mar 31, 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
      Asset manager (funds and pooled vehicles)deriveda 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