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
H••••••• C•••••• M••••••••• I••
Latest filing May 21, 2012
First filing on the tape Dec 1, 2011 · 13 filings
RAUM
$30.4M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$30.4M as of May 21, 2012
Dec 1, 2011$40.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 21, 2012; 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $66,531derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 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
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
- 457reported
- Financial planning clients
- n/areported
- 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
- D•••• D••••• M••••••• to H••••••• C•••••• A•••••••• L••Dec 17, 2015 · Other
- M•••••• L•• L••••• to B••••••••• C•••••• M••••••••• L••Dec 17, 2015 · Other
- G••• J••••• S•••••••• to P••••••• C•••••• M••••••••• I•••Nov 9, 2012 · Other
- L•••• W•••••• O•••• to W••••••••• F•••••••• G••••• I•••May 21, 2012 · Other
- A•• M•••• M••••••••• to M••• I••••••••• S••••••••• I•••Dec 1, 2011 · Other
- L•••• W•••• J•••••• to S••••••• F•••••••• A••••••• S•••••••• I•••Dec 31, 2008 · Other
- S•••••• W••••• M••• to M••• I••••••••• S••••••••• I•••Dec 31, 2008 · Other
- N••••• P•••• C••••••• to M••• I••••••••• S••••••••• I•••Dec 31, 2008 · Other
- J•••• A••• I•••• to S••••••• P•••••••• A••••••••• S•••••• I••Dec 31, 2008 · Other
- T••••••• J••••• M•••• to W••••••••• F•••••••• G••••• I•••Oct 24, 2006 · Other
- D•••••• J•••• S•••••••• to W••••••••• F•••••••• G••••• I•••Sep 22, 2006 · Other
- L••• P• Z••••• to W••••••••• F•••••••• G••••• I•••Sep 22, 2006 · Other
- C•••••• A•••• M••• to L•• F•••••••• L••Aug 29, 2006 · Other
- J•••••• S• G••••• to W••••••••• F•••••••• G••••• I•••Aug 22, 2006 · Other
- M••••• H••••• C••••••• to W••••••••• F•••••••• G••••• I•••Aug 22, 2006 · Other
Joined, latest
- M•••••• L•• L••••• from J•• C•••••• A•••••••• L••Jul 25, 2013 · Other
- G••• J••••• S•••••••• from C•••••• S••••• C•••••• L••Dec 2, 2011 · Other
- L•••• W•••••• O•••• from R••••••••• R•••••••• I•••Apr 27, 2005 · Other
- C•••••• A•••• M••• from W••••••••• F•••••••• G••••• I•••Apr 5, 2004 · Other
- L•••• W•••• J•••••• from S••••••• P•••••••• A••••••••• S•••••• I••Feb 26, 1998 · Other
- M••••• H••••• C••••••• from S••••••• P•••••••• A••••••••• S•••••• I••Jan 12, 1998 · Other
- C•••••• S•••••• B••••• from O••• F•••••••• A••••••• S•••••••Jan 12, 1998 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• D••••• D••••• · Presidentcontrolsince 05/1989 · owns 75% or more
- S••••••••• G•••• J••••• · Ccosince 11/2011 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- ,
What changed
consecutive filings, newest first
- Insurance-licensed employees · unset to 0.0Dec 16, 2011 to Feb 29, 2012
- HQ city · DOWNERS GROVE to SCHAUMBURGDec 16, 2011 to Feb 29, 2012
- Accounts · 518 to 457Feb 29, 2012 to Feb 29, 2012
- Discretionary RAUM · $40.0M to $30.4MFeb 29, 2012 to Feb 29, 2012
- RAUM · $40.0M to $30.4MFeb 29, 2012 to Feb 29, 2012
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