DFX Intelligence
RIA Intelligence
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SEC-registered adviser
H•••••• F•••••••• R••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 14, 2012 · 16 filings
SEC status approved since Oct 17, 2000
RAUM
$190M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
94%
$178M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$94.9M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$190M as of Mar 30, 2026
Mar 14, 2012$103M then
HNW client RAUM$157M as of Mar 30, 2026
Mar 12, 2018$76.0M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Feb 20, 20132 then
Employees (5.A)3 as of Mar 30, 2026
Feb 20, 20133 then
Private funds: no history
RAUM +5.2% over the last fiscal year+10% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $94.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $524,355derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 6.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.1%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $177M, 116 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
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$157M83%
- Individuals$20.4M11%
- Pension and profit-sharing plans$12.1M6.4%
- Individual clients
- 58reported
- HNW clients
- 54reported
- Pension plan clients
- 12reported
- Charitable clients
- n/areported
- Accounts
- 362reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $177M for 116 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• A••• L••• | Skokie, Il | Dec 13, 1997 | 35 y | 0 |
| M•••••• G•• V•••••• | Skokie, Il | Mar 13, 2003 | 40 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
- L•••• R•••••• A••• · President & Chief Compliance Officercontrolsince 05/1994 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Skokie, Il · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 30, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
- custody status changedChange between filings · filing Mar 30, 2026custody of client assets (Item 9.A): no on the filing of 2025-02-25, yes on the filing of 2026-03-30peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 391 to 362Feb 25, 2025 to Mar 30, 2026
- HNW clients · 55 to 54Feb 25, 2025 to Mar 30, 2026
- Individual clients · 63 to 58Feb 25, 2025 to Mar 30, 2026
- Pension plan clients · 26 to 12Feb 25, 2025 to Mar 30, 2026
- Assets in custody · unset to 176825705.0Feb 25, 2025 to Mar 30, 2026
- Custody of client assets · false to trueFeb 25, 2025 to Mar 30, 2026
- HNW RAUM · $136M to $157MFeb 25, 2025 to Mar 30, 2026
- Individual RAUM · $22.7M to $20.4MFeb 25, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $180M to $190MFeb 25, 2025 to Mar 30, 2026
- Pension RAUM · $21.5M to $12.1MFeb 25, 2025 to Mar 30, 2026
- RAUM · $180M to $190MFeb 25, 2025 to Mar 30, 2026
- Accounts · 419 to 391Feb 29, 2024 to Feb 25, 2025
- HNW clients · 60 to 55Feb 29, 2024 to Feb 25, 2025
- Individual clients · 66 to 63Feb 29, 2024 to Feb 25, 2025
- Pension plan clients · 36 to 26Feb 29, 2024 to Feb 25, 2025
- Financial planning clients · 101-250 to 101-250Feb 29, 2024 to Feb 25, 2025
- HNW RAUM · $114M to $136MFeb 29, 2024 to Feb 25, 2025
- Individual RAUM · $21.1M to $22.7MFeb 29, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $156M to $180MFeb 29, 2024 to Feb 25, 2025
- Pension RAUM · $20.5M to $21.5MFeb 29, 2024 to Feb 25, 2025
- RAUM · $156M to $180MFeb 29, 2024 to Feb 25, 2025
- Accounts · 427 to 419Feb 22, 2023 to Feb 29, 2024
- Individual clients · 74 to 66Feb 22, 2023 to Feb 29, 2024
- HNW RAUM · $104M to $114MFeb 22, 2023 to Feb 29, 2024
- Individual RAUM · $19.4M to $21.1MFeb 22, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $142M to $156MFeb 22, 2023 to Feb 29, 2024
- Pension RAUM · $18.4M to $20.5MFeb 22, 2023 to Feb 29, 2024
- RAUM · $142M to $156MFeb 22, 2023 to Feb 29, 2024
- Accounts · 444 to 427Mar 11, 2022 to Feb 22, 2023
- HNW clients · 61 to 60Mar 11, 2022 to Feb 22, 2023
- Individual clients · 84 to 74Mar 11, 2022 to Feb 22, 2023
- HNW RAUM · $122M to $104MMar 11, 2022 to Feb 22, 2023
- Individual RAUM · $24.8M to $19.4MMar 11, 2022 to Feb 22, 2023
- Non-discretionary RAUM · $168M to $142MMar 11, 2022 to Feb 22, 2023
- Pension RAUM · $21.1M to $18.4MMar 11, 2022 to Feb 22, 2023
- RAUM · $168M to $142MMar 11, 2022 to Feb 22, 2023
- Accounts · 457 to 444Mar 16, 2021 to Mar 11, 2022
- HNW clients · 51 to 61Mar 16, 2021 to Mar 11, 2022
- Individual clients · 91 to 84Mar 16, 2021 to Mar 11, 2022
- HNW RAUM · $104M to $122MMar 16, 2021 to Mar 11, 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
- Principal office phone
- 847-675-6836reportedpublic record, Form ADV, Mar 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
- $94.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026