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
C••• P•••••• W••••• A•••••••• I•••
Latest filing Jun 22, 2026
First filing on the tape Mar 30, 2012 · 60 filings
SEC status approved since Oct 27, 2000
RAUM
$68B
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
66%
$44B individuals and HNW
Advisors
173
registered through the firm on IAPD
RAUM per advisor
$392M
derived; firm RAUM over IAPD count
Employees
610
220 advisory (5.B.1)
Offices
16
beyond the principal office
Private funds
0
reported on Schedule D
History
60 filings and snapshots on the tape
RAUM$68B as of Jun 22, 2026
Mar 30, 2012$7.3B then
HNW client RAUM$35B as of Jun 22, 2026
Mar 28, 2018$16B then
State-registered IARs (5.B.3)160 as of Jun 22, 2026
Mar 28, 201326 then
Employees (5.A)610 as of Jun 22, 2026
Mar 28, 2013103 then
Private funds2 as of Mar 29, 2023
Mar 28, 20184 then
RAUM +11% over the last fiscal year+9.9% a year over threeIARs 160 to 160offices 13 to 16
Practice profile
derived from the filing of Jun 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $392MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $17.2MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 4.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 10.2derived17 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -10%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, otherreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $20B, 5,700 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$35B51%
- Corporations and businesses$18B26%
- Individuals$9.7B14%
- Investment companies$2.1B3.0%
- Charitable organizations$1.9B2.8%
- Pension and profit-sharing plans$950M1.4%
- State and municipal entities$384M0.6%
- Individual clients
- 6,063reported
- HNW clients
- 2,020reported
- Pension plan clients
- 309reported
- Charitable clients
- 402reported
- Accounts
- 29,019reported
- Financial planning clients
- 500reported
- Wrap fee programs
- $0 sponsored, $1.5B managedreported
- Custody of client assets
- $20B for 5,700 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.66 fund_share=0.03 institutional_share=0.05 related_bd=true related_bank=true bd_reps=60.0derived
Advisors registered through the firm
173 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• W•••••• V•••Chartered Financial Analyst | Chicago, Il | Dec 22, 2000 | 32 y | 0 |
| J•• E••• H••••••••Chartered Financial Analyst | Chicago, Il | Dec 22, 2000 | 34 y | 0 |
| K•••••• G••••• P••••••Chartered Financial Analyst | Chicago, Il | Dec 22, 2000 | 39 y | 0 |
| C•••••• R••••• D•••Chartered Financial Analyst | Chicago, Il | Dec 22, 2000 | 33 y | 0 |
| E••• B•••• P••••••Chartered Financial Analyst | West Palm Beach, Fl | Jan 1, 2001 | 31 y | 0 |
| J••••••• Y•••••••• M••Chartered Financial Analyst | San Francisco, Ca | Jan 1, 2001 | 26 y | 0 |
| C•••• H•••••• L••••••Chartered Financial Analyst | New York, Ny | Jan 1, 2001 | 31 y | 0 |
| A•••••••• L•••••• F•••••••Chartered Financial Analyst | New York, Ny | Oct 3, 2002 | 12 y | 0 |
| B•••• D•••• K•••Certified Financial Planner | New York, Ny | Jan 5, 2004 | 34 y | 0 |
| J••• B••••• C•••••••Certified Financial Planner | San Francisco, Ca | Sep 8, 2004 | 34 y | 0 |
| G•••••• B•••• C••••••• | Chicago, Il | Nov 8, 2004 | 30 y | 0 |
| V••••• E••••••••Chartered Financial Analyst | San Francisco, Ca | Feb 28, 2005 | 23 y | 0 |
| B•••• T••••• F••••Certified Financial Planner, Chartered Financial Analyst | West Palm Beach, Fl | Jan 6, 2015 | 26 y | 2 |
| M•••••• D• Z•••• | Chicago, Il | Apr 16, 2015 | 12 y | 0 |
| E•••••••• A•• K••••••••• | Chicago, Il | Apr 22, 2015 | 11 y | 0 |
| D•• A•• S••••••• | Washington, Dc | May 14, 2015 | 38 y | 0 |
| C•••••• R••••• H•••Chartered Financial Analyst | Atlanta, Ga | Jun 30, 2015 | 32 y | 1 |
| K•••• M•••••• F•••••• | Washington, Dc | Sep 24, 2015 | 28 y | 4 |
| M••••••• M•••• H•••••• | Chicago, Il | Sep 6, 2017 | 33 y | 2 |
| C••••••• P••••••••• M••••• | Chicago, Il | Sep 6, 2017 | 13 y | 1 |
| C••••••••• J•••• L••••Chartered Financial Analyst | Chicago, Il | Sep 6, 2017 | 21 y | 1 |
| J••••• J••• L••••Chartered Financial Consultant | Chicago, Il | Sep 6, 2017 | 34 y | 2 |
| R••••• J••• M•••••Chartered Financial Analyst | Chicago, Il | Sep 6, 2017 | 24 y | 2 |
| J••• B••••••• C•••• | San Francisco, Ca | Sep 6, 2017 | 40 y | 0 |
| J••••• H••••• S••••••Certified Financial Planner | Chicago, Il | Sep 6, 2017 | 10 y | 1 |
| M••••• A••••• B••••Chartered Financial Analyst | Chicago, Il | Sep 6, 2017 | 22 y | 2 |
| G••••• C• S••••Chartered Financial Analyst | Chicago, Il | Sep 6, 2017 | 26 y | 2 |
| K••••••• A••• B••••••••• | Chicago, Il | Sep 6, 2017 | 32 y | 2 |
| W•••• C•••••••• C••• | Newport Beach, Ca | Sep 29, 2017 | 22 y | 0 |
| B•• S•••••••• | Houston, Tx | Oct 23, 2017 | 12 y | 0 |
| R••••• J• C•••••• | Chicago, Il | Nov 3, 2017 | 22 y | 2 |
| J•••• A•••••• B••••• | Chicago, Il | Nov 3, 2017 | 25 y | 2 |
| G•••• D•••••• A••••••• | Chicago, Il | Nov 3, 2017 | 28 y | 1 |
| N••••• W• B••• | Chicago, Il | Nov 3, 2017 | 16 y | 1 |
| M••• J•••• C••••••Chartered Financial Analyst | Chicago, Il | Nov 3, 2017 | 37 y | 5 |
| R••••• C••••••• B•••••• | Chicago, Il | Nov 6, 2017 | 34 y | 2 |
| P••••••• D•••• D•••••• | Chicago, Il | Nov 8, 2017 | 41 y | 1 |
| S••• B•••• D•••••• | Chicago, Il | Nov 8, 2017 | 23 y | 1 |
| D••••• P••••• D•••••Chartered Financial Analyst | Chicago, Il | Nov 8, 2017 | 32 y | 2 |
| T••• M•••• F•••Certified Financial Planner | Chicago, Il | Nov 8, 2017 | 43 y | 2 |
Advisor movement
5 left, 8 joined in 12 months
net +3 in 12 months1 left in 90 days1 joined in 90 daysdeparture rate 2.9% of current headcount11 left over 36 months
Left, latest
- W••••• M•••••• B•••• to L••••••• W•••••• I•••Jul 17, 2026 · Affiliated broker-dealer or bank to independent RIA
- K•••• J••••• G••••• to P•••••••• L••Apr 6, 2026 · Affiliated broker-dealer or bank to independent RIA
- J•••••• A•••••• B•••••••• to R•• W••••• P•••••••Jan 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- K••• W•••••• M•••••• to J••• M••••• S••••••••• L••Oct 2, 2025 · Affiliated broker-dealer or bank to wirehouse
- C••••••••• C•••••• S••••• to M••••• G••••• A••••••• I•••Sep 19, 2025 · Affiliated broker-dealer or bank to independent RIA
- M••• E••• R••••• to B•••••• W••••• P•••••••Sep 17, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- A••• D•••• to B•••••• W••••• P•••••••Sep 17, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- K••• M•••••• N••••• to X•• W•••••• L••Sep 13, 2024 · Affiliated broker-dealer or bank to independent RIA
- G•••• L• N••••• to M••••• G••••• A••••••• I•••Mar 8, 2024 · Affiliated broker-dealer or bank to independent RIA
- S••••• L•• V•••• to C••••••• P•••••••Oct 31, 2023 · Affiliated broker-dealer or bank to independent RIA
- J••••• M•••••• W•••••••• to U•• F•••••••• S••••••• I•••Oct 11, 2023 · Affiliated broker-dealer or bank to wirehouse
- E•••• A••• M•••••••• M••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 3, 2023 · Affiliated broker-dealer or bank to wirehouse
- K•••••• J••••• G••••• to S•••••• W••••• A••••••• L••Jan 3, 2023 · Affiliated broker-dealer or bank to independent RIA
- E••• S•••••••• D••••• to M••••• S••••••Aug 12, 2022 · Affiliated broker-dealer or bank to wirehouse
- E•••• S•• S••••• to F••• P••• C•••••• G••••• L••Mar 12, 2020 · Affiliated broker-dealer or bank to independent RIA
Joined, latest
- C••••• M•••••• D•••••••• from C••••• I••••••••• A••••••• L••Jul 14, 2026 · Affiliated broker-dealer or bank to another
- W•••••• R••••• P••••• from Z•••• I••••••••• M••••••••• I•••May 29, 2026 · RIA to affiliated broker-dealer or bank
- P•••••• L•• from M••••• S••••••Apr 6, 2026 · Wirehouse to affiliated broker-dealer or bank
- M•••••• R••••• L••• from C•••••• S••••• • C••• I•••Mar 26, 2026 · Affiliated broker-dealer or bank to another
- K•••• J••••• G••••• from Z•••• I••••••••• M••••••••• I•••Feb 4, 2026 · RIA to affiliated broker-dealer or bank
- K•••••• A•••• M••••••••• from T••••••••• A••••••• I••Dec 23, 2025 · Other
- J•••• M•••••• K••• from A••••••••• L••Oct 17, 2025 · RIA to affiliated broker-dealer or bank
- J•••• J••• M••••••• from A•••• W••••• M••••••••• L••Oct 9, 2025 · RIA to affiliated broker-dealer or bank
- T•••• A•••• T••••••• from T•• I••••••• C••••••••• L••Jul 8, 2025 · RIA to affiliated broker-dealer or bank
- J••••• A••• K•••••• from L•••May 14, 2025 · RIA to affiliated broker-dealer or bank
- M•••••• E••••• O•••••• from S•• W•••••May 9, 2025 · RIA to affiliated broker-dealer or bank
- M•••• U•••••••• O•••• from I•• W••••• M••••••••• L••Apr 11, 2025 · RIA to affiliated broker-dealer or bank
- H•••••• T••••• E••••• from L••• I••••••••• A•••••••• L••Mar 27, 2025 · RIA to affiliated broker-dealer or bank
- C•••••••• E• F•••••••• from B•••••••• I••••••••• M••••••••• L••Feb 26, 2025 · Other
- R••• P••• L•••••••• from S•• I••••••••• M••••••••• C•••Jan 14, 2025 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for B•••••• W••••• P•••••••Sep 17, 2024 · Chicago, Il
- 2 left for J•• C•••••• M••••••••• L••May 28, 2019 · Chicago, Il
- 3 joined from S•• W•••••Sep 15, 2023 · Boston, Ma
- 2 joined from S•• W•••••Aug 28, 2023 · Boston, Ma
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• P•••• C•••••• G••••• F••• I•• L••no longer reported | P•••••• Equity Fund | $17.8M | 54 | Mar 16, 2016 |
| A•••• P•••• C•••••• G••••• F••• I• L••no longer reported | P•••••• Equity Fund | $5.6M | 52 | Feb 10, 2012 |
| G••••• R••• E••••• F••• L••no longer reported | Real Estate Fund | $105,556 | 108 | Feb 10, 2012 |
| G••••• S••••• L••••• F•••• L••no longer reported | P•••••• Equity Fund | $0 | 0 | Feb 10, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• K••••• J• · Directorcontrolsince 10/2018 · owns less than 5%
- C•••••••• G••••••• B•••• · General Counsel & Asst Secretary, Directorcontrolsince 08/2022 · owns less than 5%
- C••••• P••• · Chief Financial Officercontrolsince 02/2019 · owns less than 5%
- C••••• P•••••• W•••• · Secretarycontrolsince 02/2021 · owns less than 5%
- C•••••••• T•••••• C• · Directorcontrolsince 05/2025 · owns less than 5%
- C••••••••• Z••••••• S• · Director & Assistant Secretarycontrolsince 03/2019 · owns less than 5%
- D•••••• B•••• · Chief Compliance Officercontrolsince 11/2024 · owns less than 5%
- D••••••••• D••••• L•••••• · Chief Investment Officercontrolsince 06/2009 · owns less than 5%
- F••••••• D•••••• E••• · Directorcontrolsince 05/2025 · owns less than 5%
- M••••••••• J•••• S•••••• · Chairman Of The Board, Chief Executive Officercontrolsince 03/2004 · owns less than 5%
- P•••••• G••• · Chief Investment Officercontrolsince 02/2025 · owns less than 5%
- S••••• K•••••• · Presidentcontrolsince 11/2023 · owns less than 5%
- V••••••• D••••• K••••••• · Directorcontrolsince 11/2023 · owns less than 5%
Entity owners
- C••• P•••••• W••••• G•••• L•• · Sole Shareholder Secretary, Directordirect · owns 75% or more
- C••••••• I••••••• B••• O• C••••••• · 100% Shareholderindirect · owns 75% or more of C••• B•••••• U••• I••• · public reporting company
- C••• B•••••• U••• I••• · 100% Shareholderindirect · owns 75% or more of C••• P•••••• W••••• G•••• L••
Related persons
Schedule D 7.A
- C••••••• I••••••• B••• O• C•••••••y
- C••• Global Asset Managementinvestment adviserbanknRAUM $163B
- C••• B••• U••n
- C••• D••••••• T•••• C••••••n
- C••• I••••••• S••••••• I•••broker-dealerinvestment advisern
- C••• M••••• G••••• S••••••••• S••••••• C••••••n
- C••• N••••••• T•••• C••••••investment advisern
- C••• W•••• M•••••• C••••broker-dealern
Advisers that list C••• P•••••• W••••• A•••••••• I••• as a related person
- 106508 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 66 | 5 | 2 | ||
| Boston, Ma | 18 | 1 | 1 | ||
| New York, Ny | 18 | 1 | 0 | ||
| Denver, Co | 11 | 0 | 0 | ||
| San F••••••Co, Ca | 11 | 1 | 0 | ||
| West Palm Beach, Fl | 6 | 1 | 0 | ||
| Newport Beach, Ca | 6 | 0 | 0 | ||
| Atlanta, Ga | 5 | 0 | 0 | ||
| Washington, Dc | 5 | 0 | 1 | ||
| Austin, Tx | 4 | 0 | 0 | ||
| Houston, Tx | 4 | 1 | 1 | ||
| Dallas, Tx | 3 | 0 | 0 | ||
| Milwaukee, Wi | 2 | 1 | 0 | ||
| St Louis, Mo | 2 | 0 | 0 | ||
| B•••••••••, Mi | 2 | 2 | 0 | ||
| Tampa, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boston, MA58 employees
- New York, NY15 employees
- Denver, CO15 employees
- San F••••••Co, CA9 employees
- Washington, DC9 employees
- Atlanta, GA6 employees
- West Palm Beach, FL5 employees
- Newport Beach, CA5 employees
- St. Louis, MO5 employees
- Dallas, TX4 employees
- Houston, TX3 employees
- Austin, TX2 employees
- St. Simons Island, GA1 employees
ADV anomalies
10 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Jun 22, 2026HNW RAUM per HNW client of $17,209,281 against a peer median of $2,031,987 (50 comparable advisers, 100.0th percentile, 10.1 robust deviations)peers: affiliated wealth managers, $20B and over (50) · 100% percentile
- control person changedChange between filings · filing Jun 22, 2026F••••••• D•••••• E••• (DIRECTOR) appeared on Schedule A between the filings of 2024-12-02 and 2026-06-22peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Jun 22, 2026C•••••••• T•••••• C• (DIRECTOR) appeared on Schedule A between the filings of 2024-12-02 and 2026-06-22peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Jun 22, 2026P•••••• G••• (CHIEF INVESTMENT OFFICER) appeared on Schedule A between the filings of 2024-12-02 and 2026-06-22peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Jun 22, 2026M••••••••• J•••• S•••••• (CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER) left Schedule A between the filings of 2024-12-02 and 2026-06-22peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Jun 22, 2026C•••••••• G••••••• B•••• (GENERAL COUNSEL & ASST SECRETARY, DIRECTOR) left Schedule A between the filings of 2024-12-02 and 2026-06-22peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Jun 22, 2026D••••••••• D••••• L•••••• (CHIEF INVESTMENT OFFICER) left Schedule A between the filings of 2024-12-02 and 2026-06-22peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Jun 22, 2026C••••••••• Z••••••• S• (DIRECTOR & ASSISTANT SECRETARY) left Schedule A between the filings of 2024-12-02 and 2026-06-22peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Jun 22, 2026B••••• K••••• J• (DIRECTOR) left Schedule A between the filings of 2024-12-02 and 2026-06-22peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Jun 22, 2026C••••• P••• (CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2024-12-02 and 2026-06-22peers: affiliated wealth managers, $20B and over (50)
What changed
consecutive filings, newest first
- Accounts · 28,865 to 29,019Feb 27, 2026 to Mar 31, 2026
- Advisory employees · 210 to 220Feb 27, 2026 to Mar 31, 2026
- Charity clients · 284 to 402Feb 27, 2026 to Mar 31, 2026
- Corporate clients · 415 to 427Feb 27, 2026 to Mar 31, 2026
- HNW clients · 2,156 to 2,020Feb 27, 2026 to Mar 31, 2026
- Individual clients · 6,844 to 6,063Feb 27, 2026 to Mar 31, 2026
- Pension plan clients · 333 to 309Feb 27, 2026 to Mar 31, 2026
- Assets in custody · $12B to $20BFeb 27, 2026 to Mar 31, 2026
- Employees · 570 to 610Feb 27, 2026 to Mar 31, 2026
- Financial planning clients · 251-500 to More than 500Feb 27, 2026 to Mar 31, 2026
- Other offices · 13 to 16Feb 27, 2026 to Mar 31, 2026
- Discretionary RAUM · $58B to $64BFeb 27, 2026 to Mar 31, 2026
- HNW RAUM · $30B to $35BFeb 27, 2026 to Mar 31, 2026
- Individual RAUM · $11B to $9.7BFeb 27, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $3.5B to $3.4BFeb 27, 2026 to Mar 31, 2026
- Pension RAUM · $912M to $950MFeb 27, 2026 to Mar 31, 2026
- RAUM · $61B to $68BFeb 27, 2026 to Mar 31, 2026
- Wrap assets (manager) · $1.2B to $1.5BFeb 27, 2026 to Mar 31, 2026
- Financial planning clients · 251-500 to 251-500Apr 3, 2025 to Jun 23, 2025
- Accounts · 29,445 to 28,865Dec 2, 2024 to Apr 3, 2025
- Advisory employees · 204 to 210Dec 2, 2024 to Apr 3, 2025
- BD registered reps · 65 to 60Dec 2, 2024 to Apr 3, 2025
- Charity clients · 945 to 284Dec 2, 2024 to Apr 3, 2025
- Corporate clients · 640 to 415Dec 2, 2024 to Apr 3, 2025
- HNW clients · 1,048 to 2,156Dec 2, 2024 to Apr 3, 2025
- Individual clients · 26,137 to 6,844Dec 2, 2024 to Apr 3, 2025
- Pension plan clients · 652 to 333Dec 2, 2024 to Apr 3, 2025
- Assets in custody · $57B to $12BDec 2, 2024 to Apr 3, 2025
- Employees · 539 to 570Dec 2, 2024 to Apr 3, 2025
- State-registered IARs · 152 to 160Dec 2, 2024 to Apr 3, 2025
- Discretionary RAUM · $55B to $58BDec 2, 2024 to Apr 3, 2025
- HNW RAUM · $14B to $30BDec 2, 2024 to Apr 3, 2025
- Individual RAUM · $23B to $11BDec 2, 2024 to Apr 3, 2025
- Non-discretionary RAUM · $1.9B to $3.5BDec 2, 2024 to Apr 3, 2025
- Pension RAUM · $803M to $912MDec 2, 2024 to Apr 3, 2025
- RAUM · $57B to $61BDec 2, 2024 to Apr 3, 2025
- Wrap assets (manager) · $1.1B to $1.2BDec 2, 2024 to Apr 3, 2025
- Accounts · 35,555 to 29,445Nov 22, 2023 to Mar 26, 2024
- Advisory employees · 206 to 204Nov 22, 2023 to Mar 26, 2024
- BD registered reps · 67 to 65Nov 22, 2023 to Mar 26, 2024
Signals
39 dated events
- M•••••• D• Z•••• added a OK registration at C••• P•••••• W••••• A•••••••• I•••Sep 14, 2026 · New state registration · fact
- W••••• M•••••• B•••• left C••• P•••••• W••••• A•••••••• I••• for L••••••• W•••••• I••• (registered 2026-07-17)Jul 17, 2026 · Advisor changed firm · fact
- K•••• J••••• G••••• left C••• P•••••• W••••• A•••••••• I••• for P•••••••• L•• (registered 2026-07-07)Apr 6, 2026 · Advisor changed firm · fact
- J•••••• A•••••• B•••••••• left C••• P•••••• W••••• A•••••••• I••• for R•• W••••• P••••••• (registered 2026-01-13)Jan 2, 2026 · Advisor changed firm · fact
- K••• W•••••• M•••••• left C••• P•••••• W••••• A•••••••• I••• for J••• M••••• S••••••••• L•• (registered 2025-10-15)Oct 2, 2025 · Advisor changed firm · fact
- C••••••••• C•••••• S••••• left C••• P•••••• W••••• A•••••••• I••• for M••••• G••••• A••••••• I••• (registered 2025-09-30)Sep 19, 2025 · Advisor changed firm · fact
- B•••• Delman (Chief Compliance Officer) appeared on Schedule A of C••• P•••••• W••••• A•••••••• I•••Dec 2, 2024 · Control person joined · fact
- A••• D•••• left C••• P•••••• W••••• A•••••••• I••• for B•••••• W••••• P••••••• (registered 2024-09-11)Sep 17, 2024 · Advisor changed firm · fact
- 2 advisors left C••• P•••••• W••••• A•••••••• I••• (Chicago, IL) for B•••••• W••••• P••••••• on the same daySep 17, 2024 · Team lift-out · derived
- M••• E••• R••••• left C••• P•••••• W••••• A•••••••• I••• for B•••••• W••••• P••••••• (registered 2024-09-11)Sep 17, 2024 · Advisor changed firm · fact
- K••• M•••••• N••••• left C••• P•••••• W••••• A•••••••• I••• for X•• W•••••• L•• (registered 2026-07-15)Sep 13, 2024 · Advisor changed firm · fact
- L T••• S••••••• (Chief Compliance Officer) no longer on Schedule A of C••• P•••••• W••••• A•••••••• I••• (listed 2024-03-26, absent 2024-07-08)Jul 8, 2024 · Control person left · inference
- G•••• L• N••••• left C••• P•••••• W••••• A•••••••• I••• for M••••• G••••• A••••••• I••• (registered 2024-06-12)Mar 8, 2024 · Advisor changed firm · fact
- J••• K•••••• Kozanda (Director) no longer on Schedule A of C••• P•••••• W••••• A•••••••• I••• (listed 2023-04-04, absent 2023-11-22)Nov 22, 2023 · Control person left · inference
- K•••••• S•••• (President) appeared on Schedule A of C••• P•••••• W••••• A•••••••• I•••Nov 22, 2023 · Control person joined · fact
- Brown Eric Propper (Director And President) no longer on Schedule A of C••• P•••••• W••••• A•••••••• I••• (listed 2023-04-04, absent 2023-11-22)Nov 22, 2023 · Control person left · inference
- S••••• L•• V•••• left C••• P•••••• W••••• A•••••••• I••• for C••••••• P••••••• (registered 2023-10-31)Oct 31, 2023 · Advisor changed firm · fact
- J••••• M•••••• W•••••••• left C••• P•••••• W••••• A•••••••• I••• for U•• F•••••••• S••••••• I••• (registered 2023-10-06)Oct 11, 2023 · Advisor changed firm · fact
- 3 advisors left S•• W••••• (Boston, MA) for C••• P•••••• W••••• A•••••••• I••• within 7 daysSep 15, 2023 · Team lift-out · derived
- 2 advisors left S•• W••••• (Boston, MA) for C••• P•••••• W••••• A•••••••• I••• on the same dayAug 28, 2023 · Team lift-out · derived
- Anthony Scott Wilson (Chief Operating Officer) no longer on Schedule A of C••• P•••••• W••••• A•••••••• I••• (listed 2022-08-04, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- C••• P•••••• W••••• A•••••••• I••• reported RAUM $51.1B, down 31% from $73.8B (2022-08-04 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- L T••• S••••••• (Chief Compliance Officer) appeared on Schedule A of C••• P•••••• W••••• A•••••••• I•••Mar 29, 2023 · Control person joined · fact
- Elizabeth Mary Antunes (Chief Compliance Officer) no longer on Schedule A of C••• P•••••• W••••• A•••••••• I••• (listed 2022-08-04, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Diana Kifarkis (Chief Administrative Officer) appeared on Schedule A of C••• P•••••• W••••• A•••••••• I•••Mar 29, 2023 · Control person joined · fact
- E•••• A••• M•••••••• M••••••• left C••• P•••••• W••••• A•••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2026-08-18)Mar 3, 2023 · Advisor changed firm · fact
- K•••••• J••••• G••••• left C••• P•••••• W••••• A•••••••• I••• for S•••••• W••••• A••••••• L•• (registered 2022-09-21)Jan 3, 2023 · Advisor changed firm · fact
- E••• S•••••••• D••••• left C••• P•••••• W••••• A•••••••• I••• for M••••• S•••••• (registered 2022-07-29)Aug 12, 2022 · Advisor changed firm · fact
- Elizabeth Mary Antunes (Chief Compliance Officer) appeared on Schedule A of C••• P•••••• W••••• A•••••••• I•••Aug 4, 2022 · Control person joined · fact
- C••• P•••••• W••••• A•••••••• I••• reported RAUM $73.8B, up 61% from $45.9B (2022-03-14 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- A• I••••••••• A•••••••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/C•••_USreportedpublic record, Form ADV, Sep 19, 2026
- Website
- P••••••-WEALTH.US.C•••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-368-7700reportedpublic record, Form ADV, Jun 22, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $392Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
C••• P•••••• W••••• A•••••••• 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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