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
B•••••••• R••••• • F•••••••• I•••
Latest filing Mar 23, 2026
First filing on the tape Jun 2, 2014 · 34 filings
SEC status approved since Jun 10, 2014
RAUM
$4.8B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
94%
$4.5B individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$299M
derived; firm RAUM over IAPD count
Employees
26
16 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$4.8B as of Mar 23, 2026
Mar 30, 2015$10B then
HNW client RAUM$4.5B as of Mar 23, 2026
Mar 28, 2018$10B then
State-registered IARs (5.B.3)15 as of Mar 23, 2026
Mar 30, 201547 then
Employees (5.A)26 as of Mar 23, 2026
Mar 30, 201556 then
Private funds: no history
RAUM +12% over the last fiscal year+8.8% a year over threeIARs 15 to 15
Practice profile
derived from the filing of Mar 23, 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
- uhnw p•••••• wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $299MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $17.1MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 4.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%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
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$4.5B94%
- Charitable organizations$222M4.6%
- Corporations and businesses$74.4M1.6%
- Individuals$2.0M0.0%
- Individual clients
- n/areported
- HNW clients
- 263reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 3,489reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• A••• D•••••• | Chicago, Il | Jan 10, 2000 | 27 y | 0 |
| J••• M•••••• L•••••••Certified Financial Planner, Chartered Financial Analyst | White Plains, Ny | Sep 24, 2004 | 39 y | 0 |
| H••••• N••••• L••••••Certified Financial Planner | Chicago, Il | Jun 29, 2006 | 23 y | 1 |
| S•••• M••• S••••••••• | Chicago, Il | Mar 7, 2008 | 19 y | 0 |
| K••••• L••• M•••• | Chicago, Il | Jul 31, 2008 | 21 y | 0 |
| K•••• M•••••• C••••••Chartered Financial Analyst | Chicago, Il | Jan 30, 2009 | 34 y | 0 |
| R••••• K• W•••Certified Financial Planner | Chicago, Il | Feb 3, 2009 | 25 y | 0 |
| J••••• J•••• F••••••Certified Financial Planner | White Plains, Ny | May 16, 2011 | 16 y | 0 |
| K•••• M•••••• P••••••••• | Chicago, Il | Oct 19, 2015 | 12 y | 1 |
| C•••••• K•••• M•••••Certified Financial Planner | Chicago, Il | Jan 26, 2016 | 24 y | 3 |
| P••••• J••• R•••••••Certified Financial Planner | Chicago, Il | Aug 11, 2016 | 19 y | 1 |
| I•• R••• C••••Certified Financial Planner | Chicago, Il | May 9, 2022 | 15 y | 3 |
| N•••••••• M••••••• C•••••• | Chicago, Il | Jun 14, 2022 | 11 y | 0 |
| B•••••• H••••• | Chicago, Il | May 15, 2024 | 13 y | 0 |
| J•••• M•••••• F••••• | Chicago, Il | Sep 13, 2024 | 12 y | 0 |
| M••• A•••••••• E•••••• | Chicago, Il | Sep 30, 2024 | 10 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
- A••••• D•••• to F•••••••• A••••••• L••Apr 12, 2022 · RIA to RIA
- K•••••••• T••• D•••••••• to D•••••• W••••• A•••••••Jan 13, 2022 · RIA to RIA
- R••• F••••••••• U•••• to R••••••• V•••• P•••••••• L••Jan 13, 2022 · RIA to RIA
- S•••••• M•••• W••••• to D•••••• W••••• A•••••••Jan 13, 2022 · RIA to RIA
- K•••••• C• G•••• to R••••••• V•••• P•••••••• L••Jan 13, 2022 · RIA to RIA
- J••••••• M•••• D•••• to R••••••• V•••• P•••••••• L••Jan 13, 2022 · RIA to RIA
- K••••• A••• S••••••• to D•••••• W••••• A•••••••Jan 13, 2022 · RIA to RIA
- M•••••• V•••••• M••••• to D•••••• W••••• A•••••••Jan 13, 2022 · RIA to RIA
- M••• C••••• A•••••• to D•••••• W••••• A•••••••Jan 13, 2022 · RIA to RIA
- K•••••• L•• B•••• to D•••••• W••••• A•••••••Jan 13, 2022 · RIA to RIA
- P••••• C••••• S•••••• to D•••••• W••••• A•••••••Jan 13, 2022 · RIA to RIA
- Q•••• P•••••• M••••• to R••••••• V•••• P•••••••• L••Jan 13, 2022 · RIA to RIA
- R•••••• E•••• D••••• to R••••••• V•••• P•••••••• L••Jan 13, 2022 · RIA to RIA
- A••• R•••••• P•••• to D•••••• W••••• A•••••••Jan 13, 2022 · RIA to RIA
- W•••••• K•••••• S••••••• S•••••• to R••••••• V•••• P•••••••• L••Jan 13, 2022 · RIA to RIA
Joined, latest
- I•• R••• C•••• from F••••May 9, 2022 · RIA to RIA
- P••••• C••••• S•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 17, 2020 · Wirehouse to independent RIA
- Q•••• P•••••• M••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dec 26, 2019 · Affiliated broker-dealer or bank to independent RIA
- A••••• J••• I•• from L••May 13, 2019 · RIA to RIA
- A•••• M••••••• S••••••• from J••• M••••• P•••••• W••••• A••••••• L••Feb 20, 2019 · Other
- J••••••• M•••• D•••• from R••••••• C••••••••• G••••Sep 24, 2018 · RIA to RIA
- A••••• D•••• from O•••• F•• I•••Feb 22, 2018 · Other
- P••••• J••• R••••••• from B••••• D••••••• F•••• L••Aug 11, 2016 · Other
- C•••••• K•••• M••••• from M••••• S••••••Jan 26, 2016 · Other
- A••• R•••••• P•••• from F•••••••• S•••••••• A••••••• G••••Nov 10, 2015 · Other
- K•••• M•••••• P••••••••• from G•••••• S•••• W••••• S•••••••• L•••Oct 19, 2015 · Other
- R••• F••••••••• U•••• from K••••• I••••••••• G••••• L••Apr 30, 2015 · Other
- D•••• K•••• M•••••• from S••••••••• A•••• M••••••••• G•••• L••Feb 23, 2015 · Other
- J•••• M•••••• K••• from B••••••• • C•Sep 1, 2011 · Other
- A••••• B••••••• from M••••• S••••••Feb 16, 2011 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for R••••••• V•••• P•••••••• L••Jan 13, 2022 · Chicago, Il
- 9 left for D•••••• W••••• A•••••••Jan 13, 2022 · Chicago, Il
- 6 left for P•••••• P•••••••Dec 31, 2019 · Menlo P•••, Ca
- 4 left for P•••••• P•••••••Dec 31, 2019 · Chicago, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••••• J•••• M•••••• · Principal, Director, Chief Compliance Officercontrolsince 01/2007 · owns 25% to 50%
- L••••••• H•••••• N••••• · Principal, Director, Treasurer, Secretarycontrolsince 01/2020 · owns 25% to 50%
- S••••••••• S••••• M••• · Principal, Director, Presidentcontrolsince 01/2012 · owns 25% to 50%
- C••••••• K••••• M•••••• · Chief Investment Officersince 03/2009 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Chicago, Il · principal | 14 | 0 | 0 | ||
| Tarrytown, Ny | 2 | 0 | 0 | ||
| White Plains, Ny | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Tarrytown, NY2 employees
- Naples, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 23, 2026discretionary share of RAUM of 0% against a peer median of 99% (1362 comparable advisers, 0.0th percentile, 33.2 robust deviations)peers: independent wealth managers, $1B to $5B (1,362) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 3,359 to 3,489Mar 31, 2025 to Mar 23, 2026
- Advisory activities · 3 to 4Mar 31, 2025 to Mar 23, 2026
- HNW clients · 248 to 263Mar 31, 2025 to Mar 23, 2026
- Assets in custody · $122M to $142MMar 31, 2025 to Mar 23, 2026
- HNW RAUM · $4.0B to $4.5BMar 31, 2025 to Mar 23, 2026
- Individual RAUM · $1.4M to $2.0MMar 31, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $4.3B to $4.8BMar 31, 2025 to Mar 23, 2026
- RAUM · $4.3B to $4.8BMar 31, 2025 to Mar 23, 2026
- Accounts · 3,496 to 3,359Mar 29, 2024 to Mar 31, 2025
- Advisory employees · 14 to 16Mar 29, 2024 to Mar 31, 2025
- Assets in custody · $103M to $122MMar 29, 2024 to Mar 31, 2025
- Employees · 25 to 26Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 251-500 to 251-500Mar 29, 2024 to Mar 31, 2025
- State-registered IARs · 13 to 15Mar 29, 2024 to Mar 31, 2025
- HNW RAUM · $3.8B to $4.0BMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $1.5M to $1.4MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $4.0B to $4.3BMar 29, 2024 to Mar 31, 2025
- RAUM · $4.0B to $4.3BMar 29, 2024 to Mar 31, 2025
- Accounts · 3,467 to 3,496Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 16 to 14Mar 31, 2023 to Mar 29, 2024
- Charity clients · 4.0 to unsetMar 31, 2023 to Mar 29, 2024
- Corporate clients · 1.0 to unsetMar 31, 2023 to Mar 29, 2024
- HNW clients · 226 to 248Mar 31, 2023 to Mar 29, 2024
- Individual clients · 24.0 to unsetMar 31, 2023 to Mar 29, 2024
- Assets in custody · $94.9M to $103MMar 31, 2023 to Mar 29, 2024
- Custody of client assets · true to falseMar 31, 2023 to Mar 29, 2024
- Employees · 24 to 25Mar 31, 2023 to Mar 29, 2024
- Financial planning clients · 101-250 to 251-500Mar 31, 2023 to Mar 29, 2024
- State-registered IARs · 15 to 13Mar 31, 2023 to Mar 29, 2024
- HNW RAUM · $3.4B to $3.8BMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $47.1M to $1.5MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $3.7B to $4.0BMar 31, 2023 to Mar 29, 2024
- RAUM · $3.7B to $4.0BMar 31, 2023 to Mar 29, 2024
- Accounts · 3,325 to 3,467Apr 28, 2022 to Mar 31, 2023
- Advisory employees · 17 to 16Apr 28, 2022 to Mar 31, 2023
- Charity clients · 5 to 4Apr 28, 2022 to Mar 31, 2023
- HNW clients · 217 to 226Apr 28, 2022 to Mar 31, 2023
- Individual clients · 3 to 24Apr 28, 2022 to Mar 31, 2023
- Assets in custody · $124M to $94.9MApr 28, 2022 to Mar 31, 2023
- Employees · 21 to 24Apr 28, 2022 to Mar 31, 2023
Signals
36 dated events
- A••••• D•••• left B•••••••• R••••• • F•••••••• I••• for F•••••••• A••••••• L•• (registered 2023-02-07)Apr 12, 2022 · Advisor changed firm · fact
- Sinko K••••••• Warner (Chief Administrative Officer, Chief Security Officer, Secretary) no longer on Schedule A of B•••••••• R••••• • F•••••••• I••• (listed 2021-09-03, absent 2022-01-31)Jan 31, 2022 · Control person left · inference
- Naujokas Laura Stern (Principal) no longer on Schedule A of B•••••••• R••••• • F•••••••• I••• (listed 2021-09-03, absent 2022-01-31)Jan 31, 2022 · Control person left · inference
- Tara Katherine Donaldson (Principal) no longer on Schedule A of B•••••••• R••••• • F•••••••• I••• (listed 2021-09-03, absent 2022-01-31)Jan 31, 2022 · Control person left · inference
- Alan Richard Doppelt (Principal, President/Ceo, Director) no longer on Schedule A of B•••••••• R••••• • F•••••••• I••• (listed 2021-09-03, absent 2022-01-31)Jan 31, 2022 · Control person left · inference
- M••• C••••• A•••••• (Principal, Director) no longer on Schedule A of B•••••••• R••••• • F•••••••• I••• (listed 2021-09-03, absent 2022-01-31)Jan 31, 2022 · Control person left · inference
- Ellen Rebecca Deaton (Principal) no longer on Schedule A of B•••••••• R••••• • F•••••••• I••• (listed 2021-09-03, absent 2022-01-31)Jan 31, 2022 · Control person left · inference
- B•••••••• R••••• • F•••••••• I••• reported RAUM $3.8B, down 38% from $6.0B (2021-09-03 to 2022-01-31)Jan 31, 2022 · RAUM change · derived
- B•••••••• R••••• • F•••••••• I••• reported 16 state-registered advisory representatives, down from 35 (2021-09-03 to 2022-01-31)Jan 31, 2022 · Advisor headcount change · derived
- 9 advisors left B•••••••• R••••• • F•••••••• I••• (Chicago, IL) for D•••••• W••••• A••••••• on the same dayJan 13, 2022 · Team lift-out · derived
- R•••••• E•••• D••••• left B•••••••• R••••• • F•••••••• I••• for R••••••• V•••• P•••••••• L•• (registered 2022-01-19)Jan 13, 2022 · Advisor changed firm · fact
- S•••••• M•••• W••••• left B•••••••• R••••• • F•••••••• I••• for D•••••• W••••• A••••••• (registered 2022-02-09)Jan 13, 2022 · Advisor changed firm · fact
- A••••• K••••••• S••••••• left B•••••••• R••••• • F•••••••• I••• for D•••••• W••••• A••••••• (registered 2022-02-09)Jan 13, 2022 · Advisor changed firm · fact
- A••• R•••••• P•••• left B•••••••• R••••• • F•••••••• I••• for D•••••• W••••• A••••••• (registered 2022-02-09)Jan 13, 2022 · Advisor changed firm · fact
- K•••••• L•• B•••• left B•••••••• R••••• • F•••••••• I••• for D•••••• W••••• A••••••• (registered 2022-02-09)Jan 13, 2022 · Advisor changed firm · fact
- K•••••• C• G•••• left B•••••••• R••••• • F•••••••• I••• for R••••••• V•••• P•••••••• L•• (registered 2022-01-21)Jan 13, 2022 · Advisor changed firm · fact
- K•••••••• T••• D•••••••• left B•••••••• R••••• • F•••••••• I••• for D•••••• W••••• A••••••• (registered 2022-02-09)Jan 13, 2022 · Advisor changed firm · fact
- R••• F••••••••• U•••• left B•••••••• R••••• • F•••••••• I••• for R••••••• V•••• P•••••••• L•• (registered 2022-01-14)Jan 13, 2022 · Advisor changed firm · fact
- 6 advisors left B•••••••• R••••• • F•••••••• I••• (Chicago, IL) for R••••••• V•••• P•••••••• L•• on the same dayJan 13, 2022 · Team lift-out · derived
- M•••••• V•••••• M••••• left B•••••••• R••••• • F•••••••• I••• for D•••••• W••••• A••••••• (registered 2022-02-09)Jan 13, 2022 · Advisor changed firm · fact
- M••• C••••• A•••••• left B•••••••• R••••• • F•••••••• I••• for D•••••• W••••• A••••••• (registered 2022-02-05)Jan 13, 2022 · Advisor changed firm · fact
- Q•••• P•••••• M••••• left B•••••••• R••••• • F•••••••• I••• for R••••••• V•••• P•••••••• L•• (registered 2022-01-14)Jan 13, 2022 · Advisor changed firm · fact
- W•••••• K•••••• S••••••• S•••••• left B•••••••• R••••• • F•••••••• I••• for R••••••• V•••• P•••••••• L•• (registered 2022-01-14)Jan 13, 2022 · Advisor changed firm · fact
- J••••••• M•••• D•••• left B•••••••• R••••• • F•••••••• I••• for R••••••• V•••• P•••••••• L•• (registered 2022-01-18)Jan 13, 2022 · Advisor changed firm · fact
- K••••• A••• S••••••• left B•••••••• R••••• • F•••••••• I••• for D•••••• W••••• A••••••• (registered 2022-02-09)Jan 13, 2022 · Advisor changed firm · fact
- P••••• C••••• S•••••• left B•••••••• R••••• • F•••••••• I••• for D•••••• W••••• A••••••• (registered 2022-02-09)Jan 13, 2022 · Advisor changed firm · fact
- Arden C••••• Gregory (Chief Compliance Officer) no longer on Schedule A of B•••••••• R••••• • F•••••••• I••• (listed 2021-03-31, absent 2021-07-23)Jul 23, 2021 · Control person left · inference
- M•••• Janice Mortensen (Chief Administrative Officer, Secretary) no longer on Schedule A of B•••••••• R••••• • F•••••••• I••• (listed 2020-03-30, absent 2020-05-16)May 16, 2020 · Control person left · inference
- Sinko K••••••• Warner (Chief Administrative Officer, Secretary) appeared on Schedule A of B•••••••• R••••• • F•••••••• I•••May 16, 2020 · Control person joined · fact
- John Robert Patterson (Principal, Treasurer) no longer on Schedule A of B•••••••• R••••• • F•••••••• I••• (listed 2019-10-02, absent 2020-01-17)Jan 17, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- B•••••••• R••••• • F•••••••• I••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 239-302-1697reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 312-346-5850reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 914-332-5400reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/brownson-rehmus-&-foxworthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- brfadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-346-5850reportedpublic record, Form ADV, Mar 23, 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
- $299Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026