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
U•••• F•••••••• A••••••• C•••••••••
Legal name U•••• F•••••••• A••••••• C•••
Latest filing Jul 30, 2026
First filing on the tape Jun 14, 2012 · 22 filings
SEC status approved since Aug 3, 1994
RAUM
$1.3B
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
96%
$1.2B individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$425M
derived; firm RAUM over IAPD count
Employees
15
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$1.3B as of Jul 30, 2026
Sep 25, 2012$540M then
HNW client RAUM$1.2B as of Jul 30, 2026
Sep 28, 2018$852M then
State-registered IARs (5.B.3)1 as of Jul 30, 2026
Sep 25, 20120 then
Employees (5.A)15 as of Jul 30, 2026
Sep 30, 20138 then
Private funds: no history
RAUM +25% over the last fiscal year+3.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jul 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $425MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.3MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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
- 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$1.2B93%
- Corporations and businesses$51.1M4.0%
- Individuals$28.4M2.2%
- Pension and profit-sharing plans$2.9M0.2%
- Charitable organizations$882,7690.1%
- Individual clients
- 87reported
- HNW clients
- 163reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 965reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• D•••••• U••••Certified Financial Planner | Evanston, Il | Oct 16, 1997 | 36 y | 0 |
| J••••• A• A••••Certified Financial Planner | Chicago, Il | Jan 22, 2026 | 19 y | 0 |
| A••••• N• K••••Certified Financial Planner | Chicago, Il | Mar 11, 2026 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- U••••• S•••••• D•••••• · President/Chief Compliance Officercontrolsince 02/1990 · owns 75% or more
- A••••• J•••••• A• · Principalsince 01/2023 · owns 5% to 10%
- S•••••••• L•••• J• · Principalsince 01/2023 · owns 5% to 10%
Related persons
Schedule D 7.A
- S••••• D• U••••• A••••••• A• L••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 906 to 965Sep 25, 2024 to Sep 25, 2025
- Advisory employees · 12 to 14Sep 25, 2024 to Sep 25, 2025
- HNW clients · 161 to 163Sep 25, 2024 to Sep 25, 2025
- Individual clients · 77 to 87Sep 25, 2024 to Sep 25, 2025
- Employees · 13 to 15Sep 25, 2024 to Sep 25, 2025
- Financial planning clients · 51-100 to 101-250Sep 25, 2024 to Sep 25, 2025
- Discretionary RAUM · $1.1B to $1.2BSep 25, 2024 to Sep 25, 2025
- HNW RAUM · $1.0B to $1.2BSep 25, 2024 to Sep 25, 2025
- Individual RAUM · $24.4M to $28.4MSep 25, 2024 to Sep 25, 2025
- Non-discretionary RAUM · $23.3M to $98.7MSep 25, 2024 to Sep 25, 2025
- Pension RAUM · $2.4M to $2.9MSep 25, 2024 to Sep 25, 2025
- RAUM · $1.1B to $1.3BSep 25, 2024 to Sep 25, 2025
- Accounts · 890 to 906Sep 28, 2023 to Sep 23, 2024
- Advisory employees · 14 to 12Sep 28, 2023 to Sep 23, 2024
- HNW clients · 153 to 161Sep 28, 2023 to Sep 23, 2024
- Individual clients · 79 to 77Sep 28, 2023 to Sep 23, 2024
- Employees · 15 to 13Sep 28, 2023 to Sep 23, 2024
- Discretionary RAUM · $997M to $1.1BSep 28, 2023 to Sep 23, 2024
- HNW RAUM · $960M to $1.0BSep 28, 2023 to Sep 23, 2024
- Individual RAUM · $24.9M to $24.4MSep 28, 2023 to Sep 23, 2024
- Non-discretionary RAUM · $24.0M to $23.3MSep 28, 2023 to Sep 23, 2024
- Pension RAUM · $2.1M to $2.4MSep 28, 2023 to Sep 23, 2024
- RAUM · $1.0B to $1.1BSep 28, 2023 to Sep 23, 2024
- Accounts · 886 to 890Sep 29, 2022 to Sep 28, 2023
- Advisory employees · 12 to 14Sep 29, 2022 to Sep 28, 2023
- Corporate clients · unset to 4.0Sep 29, 2022 to Sep 28, 2023
- HNW clients · 143 to 153Sep 29, 2022 to Sep 28, 2023
- Individual clients · 90 to 79Sep 29, 2022 to Sep 28, 2023
- Pension plan clients · unset to 1.0Sep 29, 2022 to Sep 28, 2023
- Employees · 13 to 15Sep 29, 2022 to Sep 28, 2023
- Discretionary RAUM · $850M to $997MSep 29, 2022 to Sep 28, 2023
- HNW RAUM · $965M to $960MSep 29, 2022 to Sep 28, 2023
- Individual RAUM · $25.9M to $24.9MSep 29, 2022 to Sep 28, 2023
- Non-discretionary RAUM · $141M to $24.0MSep 29, 2022 to Sep 28, 2023
- Pension RAUM · unset to 2073231.0Sep 29, 2022 to Sep 28, 2023
- RAUM · $991M to $1.0BSep 29, 2022 to Sep 28, 2023
- Accounts · 815 to 886Sep 28, 2021 to Sep 29, 2022
- HNW clients · 139 to 143Sep 28, 2021 to Sep 29, 2022
- Individual clients · 83 to 90Sep 28, 2021 to Sep 29, 2022
- Discretionary RAUM · $1.0B to $850MSep 28, 2021 to Sep 29, 2022
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
- Business email
- i•••@u••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 312-379-0150reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 312-379-0366reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.u••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-379-0150reportedpublic record, Form ADV, Jul 30, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $425Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026