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•••• C•••••• M••••••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 109865SEC 801-60017IAPD
Latest filing Mar 22, 2016
First filing on the tape Mar 28, 2012 · 11 filings
RAUM
$810M
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
11
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$27.3M gross assets
History
11 filings and snapshots on the tape
RAUM$810M as of Mar 22, 2016
Mar 28, 2012$673M then
HNW client RAUM: no history
State-registered IARs (5.B.3)9 as of Mar 22, 2016
Mar 26, 20133 then
Employees (5.A)11 as of Mar 22, 2016
Mar 26, 201310 then
Private funds4 as of Mar 22, 2016
Mar 28, 20125 then
RAUM -33% over the last fiscal year-5.2% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Mar 22, 2016; every figure names its basis
RAUM per advisor
$90.1MderivedRAUM 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
$23.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
9.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-33%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$27.2M, 4 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
35reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$27.2M for 4 clientsreported
Compensation
% of AUM, performancereported
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
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    C•••• A•• C•• G••••• F•••no longer reportedOther Private Fund$1.9M2Mar 28, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • C••••• A•••••• S•••• · President, Chief Investment Officer, Managing Member, Portfolio Managercontrol
      since 05/2000 · owns 75% or more
    • F••••••• L••••• A••• · Chief Compliance Officer/Coo
      since 08/2006 · owns less than 5%
    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
    • Accounts · 46 to 35
      Nov 11, 2015 to Mar 22, 2016
    • Advisory activities · 4 to 3
      Nov 11, 2015 to Mar 22, 2016
    • Assets in custody · $46.0M to $27.2M
      Nov 11, 2015 to Mar 22, 2016
    • Employees · 12 to 11
      Nov 11, 2015 to Mar 22, 2016
    • Discretionary RAUM · $1.2B to $810M
      Nov 11, 2015 to Mar 22, 2016
    • RAUM · $1.2B to $810M
      Nov 11, 2015 to Mar 22, 2016
    • Accounts · 64 to 46
      Oct 7, 2014 to Feb 18, 2015
    • Advisory employees · 3 to 5
      Oct 7, 2014 to Feb 18, 2015
    • Advisory activities · 3 to 4
      Oct 7, 2014 to Feb 18, 2015
    • BD registered reps · 0 to 2
      Oct 7, 2014 to Feb 18, 2015
    • Assets in custody · $59.7M to $46.0M
      Oct 7, 2014 to Feb 18, 2015
    • Employees · 10 to 12
      Oct 7, 2014 to Feb 18, 2015
    • State-registered IARs · 7 to 9
      Oct 7, 2014 to Feb 18, 2015
    • Private funds · 5 to 4
      Oct 7, 2014 to Feb 18, 2015
    • Discretionary RAUM · $1.5B to $1.2B
      Oct 7, 2014 to Feb 18, 2015
    • RAUM · $1.5B to $1.2B
      Oct 7, 2014 to Feb 18, 2015
    • Accounts · 55 to 64
      Sep 26, 2013 to Mar 10, 2014
    • Advisory employees · 5 to 3
      Sep 26, 2013 to Mar 10, 2014
    • Assets in custody · $36.2M to $59.7M
      Sep 26, 2013 to Mar 10, 2014
    • State-registered IARs · 3 to 7
      Sep 26, 2013 to Mar 10, 2014
    • Discretionary RAUM · $951M to $1.5B
      Sep 26, 2013 to Mar 10, 2014
    • RAUM · $951M to $1.5B
      Sep 26, 2013 to Mar 10, 2014
    • Accounts · 4 to 55
      Mar 28, 2012 to Mar 26, 2013
    • Advisory employees · unset to 5.0
      Mar 28, 2012 to Mar 26, 2013
    • Assets in custody · $28.0M to $36.2M
      Mar 28, 2012 to Mar 26, 2013
    • Employees · unset to 10.0
      Mar 28, 2012 to Mar 26, 2013
    • State-registered IARs · unset to 3.0
      Mar 28, 2012 to Mar 26, 2013
    • Discretionary RAUM · $673M to $951M
      Mar 28, 2012 to Mar 26, 2013
    • RAUM · $673M to $951M
      Mar 28, 2012 to Mar 26, 2013
    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