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

S•••••••• I••••••••• A••••••• G••••• I•••

Former SEC-registered adviserMt. Prospect, IllinoisCRD 111363SEC 801-36259IAPD
Legal name S•••••••• I••••••••• A••••••• G•••• I•••
Latest filing Jun 25, 2023
First filing on the tape Mar 29, 2012 · 17 filings
RAUM
$26.3M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
100%
$26.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$26.3M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$26.3M as of Mar 28, 2023
Mar 29, 2012$128M then
HNW client RAUM$24.9M as of Mar 28, 2023
Mar 29, 2018$28.0M then
State-registered IARs (5.B.3)1 as of Mar 28, 2023
Mar 29, 20120 then
Employees (5.A)1 as of Mar 28, 2023
Mar 28, 20131 then
Private funds: no history
RAUM -84% over the last fiscal year-44% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 25, 2023; every figure names its basis
RAUM per advisor
$26.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
61derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$591,785derivedHNW RAUM over HNW clients
Average account
$431,933derivedRAUM over accounts (5.F.2.f)
Discretionary
90%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-84%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.7%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$24.9M94%
  • Individuals$1.5M5.7%
Individual clients
19reported
HNW clients
42reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
61reported
Financial planning clients
n/areported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
A••••• J••• B••••Mount Prospect, IlMar 9, 199836 y0
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• A•••••• J••• · President & Chief Compliance Officercontrol
        since 01/1990 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 64 to 61
        Mar 28, 2022 to Mar 28, 2023
      • Advisory activities · 2 to 1
        Mar 28, 2022 to Mar 28, 2023
      • HNW clients · 41 to 42
        Mar 28, 2022 to Mar 28, 2023
      • Discretionary RAUM · $43.3M to $23.7M
        Mar 28, 2022 to Mar 28, 2023
      • HNW RAUM · $33.4M to $24.9M
        Mar 28, 2022 to Mar 28, 2023
      • Individual RAUM · $1.5M to $1.5M
        Mar 28, 2022 to Mar 28, 2023
      • Non-discretionary RAUM · $124M to $2.6M
        Mar 28, 2022 to Mar 28, 2023
      • RAUM · $167M to $26.3M
        Mar 28, 2022 to Mar 28, 2023
      • HNW clients · 43 to 41
        Mar 31, 2021 to Mar 28, 2022
      • Individual clients · 18 to 19
        Mar 31, 2021 to Mar 28, 2022
      • Discretionary RAUM · $43.2M to $43.3M
        Mar 31, 2021 to Mar 28, 2022
      • HNW RAUM · $31.5M to $33.4M
        Mar 31, 2021 to Mar 28, 2022
      • Individual RAUM · $926,057 to $1.5M
        Mar 31, 2021 to Mar 28, 2022
      • Non-discretionary RAUM · $128M to $124M
        Mar 31, 2021 to Mar 28, 2022
      • RAUM · $171M to $167M
        Mar 31, 2021 to Mar 28, 2022
      • Accounts · 67 to 64
        Jun 26, 2020 to Mar 31, 2021
      • HNW clients · 46 to 43
        Jun 26, 2020 to Mar 31, 2021
      • Individual clients · 17 to 18
        Jun 26, 2020 to Mar 31, 2021
      • Discretionary RAUM · $42.0M to $43.2M
        Jun 26, 2020 to Mar 31, 2021
      • HNW RAUM · $29.4M to $31.5M
        Jun 26, 2020 to Mar 31, 2021
      • Individual RAUM · $831,503 to $926,057
        Jun 26, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $107M to $128M
        Jun 26, 2020 to Mar 31, 2021
      • RAUM · $149M to $171M
        Jun 26, 2020 to Mar 31, 2021
      • HNW clients · 48 to 46
        Mar 22, 2019 to Mar 30, 2020
      • Individual clients · 15 to 17
        Mar 22, 2019 to Mar 30, 2020
      • Discretionary RAUM · $38.9M to $42.0M
        Mar 22, 2019 to Mar 30, 2020
      • HNW RAUM · $26.3M to $29.4M
        Mar 22, 2019 to Mar 30, 2020
      • Individual RAUM · $571,518 to $831,503
        Mar 22, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $90.9M to $107M
        Mar 22, 2019 to Mar 30, 2020
      • RAUM · $130M to $149M
        Mar 22, 2019 to Mar 30, 2020
      • Accounts · 69 to 67
        Mar 29, 2018 to Mar 22, 2019
      • HNW clients · 50 to 48
        Mar 29, 2018 to Mar 22, 2019
      • Discretionary RAUM · $40.1M to $38.9M
        Mar 29, 2018 to Mar 22, 2019
      • HNW RAUM · $28.0M to $26.3M
        Mar 29, 2018 to Mar 22, 2019
      • Individual RAUM · $563,049 to $571,518
        Mar 29, 2018 to Mar 22, 2019
      • Non-discretionary RAUM · $91.7M to $90.9M
        Mar 29, 2018 to Mar 22, 2019
      • RAUM · $132M to $130M
        Mar 29, 2018 to Mar 22, 2019
      • Accounts · 72 to 69
        Mar 29, 2017 to Mar 29, 2018
      • HNW clients · unset to 50.0
        Mar 29, 2017 to Mar 29, 2018
      • Individual clients · unset to 15.0
        Mar 29, 2017 to Mar 29, 2018
      Signals
      1 dated events
      • S•••••••• I••••••••• A••••••• G••••• I••• reported RAUM $26.3M, down 84% from $167.3M (2022-03-28 to 2023-03-28)
        Mar 28, 2023 · RAUM change · derived
      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
      $26.3Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026