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

I••••• I••••••••• A•••••••• L••

Former SEC-registered adviserOak Brook, IllinoisCRD 109933SEC 801-60053IAPD
Latest filing Dec 11, 2023
First filing on the tape Mar 22, 2012 · 27 filings
RAUM
$249M
reported, Item 5.F
Discretionary
61%
of RAUM
Private clients
59%
$146M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$249M as of Mar 28, 2023
Mar 22, 2012$468M then
HNW client RAUM$144M as of Mar 28, 2023
Mar 8, 2018$155M then
State-registered IARs (5.B.3)0 as of Mar 28, 2023
Mar 22, 20120 then
Employees (5.A)2 as of Mar 28, 2023
Feb 12, 20132 then
Private funds: no history
RAUM -2.4% over the last fiscal year-0.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 11, 2023; 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
$12.0MderivedHNW RAUM over HNW clients
Average account
$8.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
61%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
-2.4%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-8.3%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$144M58%
  • Corporations and businesses$103M41%
  • Individuals$2.2M0.9%
Individual clients
10reported
HNW clients
12reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
31reported
Financial planning clients
0reported
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
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
      • C••••••• A••••••• J••••• · Managercontrol
        since 08/2022 · owns less than 5%
      • G••••••• D••••• · Manager And Chief Executive Officercontrol
        since 07/1982 · owns 50% to 75%
      • H•••••• J•••• · Secretarycontrol
        since 12/2015 · owns less than 5%
      • H••••••• K••••••• · Treasurercontrol
        since 05/2019 · owns less than 5%
      • H••••••••• T•• · Manager And Vice Presidentcontrol
        since 05/2013 · owns less than 5%
      • G••••••• D•••••• L• · Membercontrol
        since 07/1982 · owns 50% to 75% of T•• I••••• G••••• L••
      • K••••••• T•••••• G••••• · Chief Compliance Officer
        since 12/2023 · owns less than 5%
      Entity owners
      • I•• A•••••••• L•• · Member
        direct · owns 25% to 50%
      • I••••• G•••• M•••••••• L•• · Manager
        indirect · owns F of T•• I••••• G••••• L••
      • I••••••••• M••••••••• G••••• L•• · Member
        indirect · owns 75% or more of I•• A•••••••• L••
      • T•• I••••• G••••• L•• · Member
        indirect · owns 75% or more of T•• I••••• R••• E••••• C••••••••• L••
      • T•• I••••• R••• E••••• C••••••••• L•• · Member
        indirect · owns 75% or more of I••••••••• M••••••••• G••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list I••••• I••••••••• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Business name · E•••••• W•••••• L•• to I••••• I••••••••• A•••••••• L••
        Mar 28, 2023 to Dec 11, 2023
      • Legal name · E•••••• W•••••• L•• to I••••• I••••••••• A•••••••• L••
        Mar 28, 2023 to Dec 11, 2023
      • Accounts · 28 to 31
        Oct 7, 2022 to Mar 28, 2023
      • Corporate clients · 4 to 9
        Oct 7, 2022 to Mar 28, 2023
      • HNW clients · 9 to 12
        Oct 7, 2022 to Mar 28, 2023
      • Individual clients · 15 to 10
        Oct 7, 2022 to Mar 28, 2023
      • Discretionary RAUM · $148M to $151M
        Oct 7, 2022 to Mar 28, 2023
      • HNW RAUM · $162M to $144M
        Oct 7, 2022 to Mar 28, 2023
      • Individual RAUM · $9.9M to $2.2M
        Oct 7, 2022 to Mar 28, 2023
      • Non-discretionary RAUM · $108M to $98.0M
        Oct 7, 2022 to Mar 28, 2023
      • RAUM · $255M to $249M
        Oct 7, 2022 to Mar 28, 2023
      • Accounts · 31 to 28
        Mar 4, 2021 to Mar 29, 2022
      • Advisory employees · 2 to 1
        Mar 4, 2021 to Mar 29, 2022
      • BD registered reps · 3 to 1
        Mar 4, 2021 to Mar 29, 2022
      • HNW clients · 7 to 9
        Mar 4, 2021 to Mar 29, 2022
      • Individual clients · 20 to 15
        Mar 4, 2021 to Mar 29, 2022
      • Employees · 4 to 2
        Mar 4, 2021 to Mar 29, 2022
      • Insurance-licensed employees · 1 to 0
        Mar 4, 2021 to Mar 29, 2022
      • State-registered IARs · 2 to 0
        Mar 4, 2021 to Mar 29, 2022
      • Discretionary RAUM · $127M to $148M
        Mar 4, 2021 to Mar 29, 2022
      • HNW RAUM · $127M to $162M
        Mar 4, 2021 to Mar 29, 2022
      • Individual RAUM · $16.7M to $9.9M
        Mar 4, 2021 to Mar 29, 2022
      • Non-discretionary RAUM · $73.8M to $108M
        Mar 4, 2021 to Mar 29, 2022
      • RAUM · $201M to $255M
        Mar 4, 2021 to Mar 29, 2022
      • Accounts · 29 to 31
        Jul 29, 2020 to Mar 4, 2021
      • HNW clients · 8 to 7
        Jul 29, 2020 to Mar 4, 2021
      • Individual clients · 17 to 20
        Jul 29, 2020 to Mar 4, 2021
      • Discretionary RAUM · $152M to $127M
        Jul 29, 2020 to Mar 4, 2021
      • HNW RAUM · $157M to $127M
        Jul 29, 2020 to Mar 4, 2021
      • Individual RAUM · $7.9M to $16.7M
        Jul 29, 2020 to Mar 4, 2021
      • Non-discretionary RAUM · $103M to $73.8M
        Jul 29, 2020 to Mar 4, 2021
      • RAUM · $255M to $201M
        Jul 29, 2020 to Mar 4, 2021
      • Accounts · 27 to 29
        Mar 22, 2019 to Mar 17, 2020
      • Corporate clients · 5 to 4
        Mar 22, 2019 to Mar 17, 2020
      • Individual clients · 14 to 17
        Mar 22, 2019 to Mar 17, 2020
      • Discretionary RAUM · $127M to $152M
        Mar 22, 2019 to Mar 17, 2020
      • HNW RAUM · $129M to $157M
        Mar 22, 2019 to Mar 17, 2020
      • Individual RAUM · $6.4M to $7.9M
        Mar 22, 2019 to Mar 17, 2020
      • Non-discretionary RAUM · $83.4M to $103M
        Mar 22, 2019 to Mar 17, 2020
      • RAUM · $210M to $255M
        Mar 22, 2019 to Mar 17, 2020
      Signals
      11 dated events
      • Irene Suzanne Ballek (Chief Compliance Officer And Vice President) no longer on Schedule A of I••••• I••••••••• A•••••••• L•• (listed 2023-03-28, absent 2023-12-11)
        Dec 11, 2023 · Control person left · inference
      • Joseph Anthony Chereso (Manager) appeared on Schedule A of I••••• I••••••••• A•••••••• L••
        Oct 7, 2022 · Control person joined · fact
      • M Howard Fields (Manager) no longer on Schedule A of I••••• I••••••••• A•••••••• L•• (listed 2022-03-29, absent 2022-10-07)
        Oct 7, 2022 · Control person left · inference
      • Jean-Louis Guinchard no longer registered at I••••• I••••••••• A•••••••• L••; no later IA registration on IAPD
        Jun 28, 2022 · Advisor departure · fact
      • M Howard Fields (Manager) appeared on Schedule A of I••••• I••••••••• A•••••••• L••
        Mar 29, 2022 · Control person joined · fact
      • Jean-Louis Guinchard (Manager And President) no longer on Schedule A of I••••• I••••••••• A•••••••• L•• (listed 2021-03-04, absent 2022-03-29)
        Mar 29, 2022 · Control person left · inference
      • Diane April Guinchard (Trustee) no longer on Schedule A of I••••• I••••••••• A•••••••• L•• (listed 2021-03-04, absent 2022-03-29)
        Mar 29, 2022 · Control person left · inference
      • Prashant Bodhanwala (Treasurer) no longer on Schedule A of I••••• I••••••••• A•••••••• L•• (listed 2019-03-22, absent 2020-03-17)
        Mar 17, 2020 · Control person left · inference
      • M Ernest Fiorante (Manager) no longer on Schedule A of I••••• I••••••••• A•••••••• L•• (listed 2019-03-22, absent 2020-03-17)
        Mar 17, 2020 · Control person left · inference
      • K••••••• H•••••• (Treasurer) appeared on Schedule A of I••••• I••••••••• A•••••••• L••
        Mar 17, 2020 · Control person joined · fact
      • I••••• I••••••••• A•••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Mar 29, 2017 · Succession (Item 4) · 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