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
F•••••• F•••••••• G••••• I•••
Latest filing Aug 18, 2026
First filing on the tape Jul 15, 2025 · 7 filings
SEC status approved since Jul 7, 2025
RAUM
$141M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$141M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$47.0M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$141M as of Aug 18, 2026
Jul 15, 2025$107M then
HNW client RAUM$108M as of Aug 18, 2026
Jul 15, 2025$60.0M then
State-registered IARs (5.B.3)4 as of Aug 18, 2026
Jul 15, 20253 then
Employees (5.A)4 as of Aug 18, 2026
Jul 15, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 18, 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
- RAUM per advisor
- $47.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $271,154derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 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 assets, hourly, commissions, otherreportedItem 5.E
- Advisory activities
- financial planning, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$108M77%
- Individuals$33.0M23%
- Individual clients
- 124reported
- HNW clients
- 50reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 520reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••••• S•••• K••••••Certified Financial Planner | Naples, Fl | Jan 11, 2019 | 34 y | 0 |
| B•••••• H••••• R•••••Certified Financial Planner | Glen Ellyn, Il | Nov 21, 2023 | 34 y | 2 |
| N••••••• P•••• K•••••• | Glen Ellyn, Il | Aug 13, 2026 | 12 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•• E•••••••• G•••• to R••••••••• W••••• L••Nov 16, 2015 · Other
- B•••••• H••••• R••••• to L•• C•••••• M••••••••• I••Dec 31, 2002 · Other
Joined, latest
- B•••••• H••••• R••••• from L•• C•••••• M••••••••• I••Nov 21, 2023 · RIA to RIA
- A•• E•••••••• G•••• from L•••• A•••••••• I•••Nov 4, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• B••••••• H••••• · President & Chief Compliance Officercontrolsince 11/1996 · 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 |
|---|---|---|---|---|---|
| Glen Ellyn, Il | 3 | 1 | 0 | ||
| Naples, Fl | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Jul 28, 2026 to Aug 18, 2026
- Employees · 3 to 4Jul 28, 2026 to Aug 18, 2026
- State-registered IARs · 3 to 4Jul 28, 2026 to Aug 18, 2026
- Other offices · 2 to 1Jun 1, 2026 to Jul 28, 2026
- Accounts · 486 to 520Dec 9, 2025 to Jan 16, 2026
- HNW clients · 24 to 50Dec 9, 2025 to Jan 16, 2026
- Individual clients · 191 to 124Dec 9, 2025 to Jan 16, 2026
- Pension plan clients · 1 to 0Dec 9, 2025 to Jan 16, 2026
- Discretionary RAUM · $107M to $141MDec 9, 2025 to Jan 16, 2026
- HNW RAUM · $60.0M to $108MDec 9, 2025 to Jan 16, 2026
- Individual RAUM · $46.0M to $33.0MDec 9, 2025 to Jan 16, 2026
- Pension RAUM · $1.0M to $0Dec 9, 2025 to Jan 16, 2026
- RAUM · $107M to $141MDec 9, 2025 to Jan 16, 2026
- HQ city · GLEN ELLYN to Jul 15, 2025 to Dec 9, 2025
- HQ state · IL to Jul 15, 2025 to Dec 9, 2025
- Other offices · 1 to 2Jul 15, 2025 to Dec 9, 2025
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
- Business phone
- 630-942-9007reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••://LIFEPLANNINGTODAY.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 630-942-9007reportedpublic record, Form ADV, Aug 18, 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
- $47.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026