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

C••• I••

Former SEC-registered adviserPalatine, IllinoisCRD 109692SEC 801-55936IAPD
Latest filing Mar 28, 2020
First filing on the tape Mar 21, 2012 · 11 filings
RAUM
$142M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$140M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
11 filings and snapshots on the tape
RAUM$142M as of Mar 28, 2020
Mar 21, 2012$114M then
HNW client RAUM$105M as of Mar 28, 2020
Mar 26, 2018$106M then
State-registered IARs (5.B.3)2 as of Mar 28, 2020
Mar 18, 20130 then
Employees (5.A)4 as of Mar 28, 2020
Mar 18, 20137 then
Private funds: no history
RAUM +18% over the last fiscal year+1.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 28, 2020; every figure names its basis
RAUM per advisor
$71.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
44derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$495,328derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.4%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
+18%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.2%derived
Compensation
percentage of assets, otherreportedItem 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)
  • 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
  • High-net-worth individuals$105M74%
  • Individuals$35.0M25%
  • Charitable organizations$2.0M1.4%
Individual clients
41reported
HNW clients
46reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
287reported
Financial planning clients
51-100reported
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
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
    • R••••••• A•••••• S•••••• · President/Chief Compliance Officer
      since 07/2009 · owns less than 5%
    Entity owners
    • M••••• G••••• A••••••• I••• · Parent Company
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • HNW clients · 45 to 46
      Feb 7, 2020 to Mar 28, 2020
    • Discretionary RAUM · $121M to $142M
      Feb 7, 2020 to Mar 28, 2020
    • HNW RAUM · $90.5M to $105M
      Feb 7, 2020 to Mar 28, 2020
    • Individual RAUM · $28.0M to $35.0M
      Feb 7, 2020 to Mar 28, 2020
    • RAUM · $121M to $142M
      Feb 7, 2020 to Mar 28, 2020
    • Accounts · 315 to 287
      Mar 26, 2018 to Mar 27, 2019
    • Advisory employees · 3 to 2
      Mar 26, 2018 to Mar 27, 2019
    • HNW clients · 48 to 45
      Mar 26, 2018 to Mar 27, 2019
    • Individual clients · 45 to 41
      Mar 26, 2018 to Mar 27, 2019
    • Employees · 5 to 4
      Mar 26, 2018 to Mar 27, 2019
    • Financial planning clients · 101-250 to 51-100
      Mar 26, 2018 to Mar 27, 2019
    • State-registered IARs · 3 to 2
      Mar 26, 2018 to Mar 27, 2019
    • Discretionary RAUM · $138M to $121M
      Mar 26, 2018 to Mar 27, 2019
    • HNW RAUM · $106M to $90.5M
      Mar 26, 2018 to Mar 27, 2019
    • Individual RAUM · $30.0M to $28.0M
      Mar 26, 2018 to Mar 27, 2019
    • RAUM · $138M to $121M
      Mar 26, 2018 to Mar 27, 2019
    • Accounts · 319 to 315
      Mar 22, 2017 to Mar 26, 2018
    • HNW clients · unset to 48.0
      Mar 22, 2017 to Mar 26, 2018
    • Individual clients · unset to 45.0
      Mar 22, 2017 to Mar 26, 2018
    • Other offices · unset to 0.0
      Mar 22, 2017 to Mar 26, 2018
    • Discretionary RAUM · $137M to $138M
      Mar 22, 2017 to Mar 26, 2018
    • HNW RAUM · unset to 105545000.0
      Mar 22, 2017 to Mar 26, 2018
    • Individual RAUM · unset to 30000000.0
      Mar 22, 2017 to Mar 26, 2018
    • RAUM · $137M to $138M
      Mar 22, 2017 to Mar 26, 2018
    • Accounts · 322 to 319
      Mar 30, 2016 to Mar 22, 2017
    • State-registered IARs · 0 to 3
      Mar 30, 2016 to Mar 22, 2017
    • Discretionary RAUM · $137M to $137M
      Mar 30, 2016 to Mar 22, 2017
    • RAUM · $137M to $137M
      Mar 30, 2016 to Mar 22, 2017
    • Accounts · 326 to 322
      Mar 17, 2015 to Mar 30, 2016
    • Discretionary RAUM · $147M to $137M
      Mar 17, 2015 to Mar 30, 2016
    • RAUM · $147M to $137M
      Mar 17, 2015 to Mar 30, 2016
    • Accounts · 322 to 326
      Mar 19, 2014 to Mar 17, 2015
    • Advisory employees · 4 to 3
      Mar 19, 2014 to Mar 17, 2015
    • Employees · 6 to 5
      Mar 19, 2014 to Mar 17, 2015
    • Discretionary RAUM · $144M to $147M
      Mar 19, 2014 to Mar 17, 2015
    • RAUM · $144M to $147M
      Mar 19, 2014 to Mar 17, 2015
    • Accounts · 327 to 322
      Mar 18, 2013 to Mar 19, 2014
    • Employees · 7 to 6
      Mar 18, 2013 to Mar 19, 2014
    • Discretionary RAUM · $127M to $144M
      Mar 18, 2013 to Mar 19, 2014
    • RAUM · $127M to $144M
      Mar 18, 2013 to Mar 19, 2014
    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.
    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