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

C•••••• P••••••• A••••••• C•••

Former SEC-registered adviserEvanston, IllinoisCRD 110824SEC 801-21753IAPD
Latest filing Aug 26, 2015
First filing on the tape Mar 16, 2012 · 7 filings
RAUM
$71.9M
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$71.9M as of Aug 26, 2015
Aug 27, 2012$91.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Aug 26, 2015
Aug 27, 20120 then
Employees (5.A)2 as of Aug 26, 2015
Jun 26, 20133 then
Private funds: no history
RAUM -21% over the last fiscal year-7.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Aug 26, 2015; every figure names its basis
RAUM per advisor
$71.9MderivedRAUM 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
$322,326derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-21%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
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, 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
223reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      • G•••••• R••••••• A••••• · Presidentcontrol
        since 05/1984 · owns 75% or more
      • D••••••• G•••• D••• · Chief Compliance Officer
        since 04/2015 · owns less than 5%
      Related persons
      Schedule D 7.A
      • R•••••• A• G•••••
        investment adviserreal estatey
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 287 to 223
        Aug 22, 2014 to Aug 26, 2015
      • Advisory employees · 3 to 2
        Aug 22, 2014 to Aug 26, 2015
      • Employees · 3 to 2
        Aug 22, 2014 to Aug 26, 2015
      • Discretionary RAUM · $91.3M to $71.9M
        Aug 22, 2014 to Aug 26, 2015
      • RAUM · $91.3M to $71.9M
        Aug 22, 2014 to Aug 26, 2015
      • Accounts · 76 to 287
        Jun 26, 2013 to Aug 21, 2014
      • Discretionary RAUM · $92.9M to $91.3M
        Jun 26, 2013 to Aug 21, 2014
      • RAUM · $92.9M to $91.3M
        Jun 26, 2013 to Aug 21, 2014
      • Advisory employees · unset to 3.0
        Aug 27, 2012 to Jun 26, 2013
      • Advisory activities · 5 to 4
        Aug 27, 2012 to Jun 26, 2013
      • BD registered reps · unset to 0.0
        Aug 27, 2012 to Jun 26, 2013
      • Employees · unset to 3.0
        Aug 27, 2012 to Jun 26, 2013
      • State-registered IARs · 0 to 1
        Aug 27, 2012 to Jun 26, 2013
      • Discretionary RAUM · $91.1M to $92.9M
        Aug 27, 2012 to Jun 26, 2013
      • RAUM · $91.1M to $92.9M
        Aug 27, 2012 to Jun 26, 2013
      • Accounts · 73 to 76
        Mar 21, 2012 to Aug 27, 2012
      • Discretionary RAUM · $90.9M to $91.1M
        Mar 21, 2012 to Aug 27, 2012
      • RAUM · $90.9M to $91.1M
        Mar 21, 2012 to Aug 27, 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