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
C••••••• T••• • A••••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Dec 6, 2011 · 28 filings
SEC status approved since Dec 8, 2000
RAUM
$3.0B
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
97%
$2.9B individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$603M
derived; firm RAUM over IAPD count
Employees
18
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$3.0B as of Mar 19, 2026
Mar 27, 2012$721M then
HNW client RAUM$2.9B as of Mar 19, 2026
Mar 19, 2018$1.6B then
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 27, 20120 then
Employees (5.A)18 as of Mar 19, 2026
Mar 27, 201311 then
Private funds: no history
RAUM +7.8% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 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
- RAUM per advisor
- $603MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 123derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.6derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +65%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.9B96%
- Corporations and businesses$75.4M2.5%
- Charitable organizations$22.5M0.7%
- Individuals$10.9M0.4%
- Pension and profit-sharing plans$7.4M0.2%
- Individual clients
- 32reported
- HNW clients
- 585reported
- Pension plan clients
- 5reported
- Charitable clients
- 7reported
- Accounts
- 1,831reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• M•••• G•••••••Chartered Financial Analyst | Chicago, Il | Jul 25, 2008 | 23 y | 0 |
| M•••••• P•••••• S•••••••••Chartered Financial Analyst | Chicago, Il | Aug 4, 2026 | 26 y | 1 |
| M•••••• S•••••• S•••••••••Certified Financial Planner, Chartered Financial Analyst | Chicago, Il | Aug 4, 2026 | 16 y | 0 |
| B•••• A•••• Z••••••••Chartered Financial Analyst | Chicago, Il | Aug 4, 2026 | 17 y | 0 |
| T••••• B••••• C•••••••Certified Financial Planner, Chartered Financial Analyst | Chicago, Il | Aug 4, 2026 | 16 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M•••••• P•••••• S••••••••• from J••• M••••• A•••• M•••••••••Aug 4, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• F••••• F••••••• · Principal, Manager And Chairmancontrolsince 06/2000 · owns 25% to 50%
- F••••••• L••••• A••• · Chief Compliance Officercontrolsince 12/2025 · owns less than 5%
- G•••••••• J•••• M•••• · Principalcontrolsince 06/2003 · owns 10% to 25%
- G••••••••• W••••••• A•••• · Principal, Presidentcontrolsince 05/2012 · owns less than 5%
- O•••••• G••••••• J•••• · Principalcontrolsince 01/2008 · owns 10% to 25%
- S•••••• D••••••• T•••• · Chief Compliance Officercontrolsince 03/2016 · owns less than 5%
- Z••••••••• B••••• A•••• · Principalcontrolsince 06/2009 · owns 10% to 25%
- C••••••• F••••• F••••••• · Trusteecontrolsince 06/2002 · owns 75% or more of F•••• F• C•••••• T•••• D•••• J••• 7• 2•••
- G•••••••• J•••• M•••• · Trusteecontrolsince 04/1998 · owns 75% or more of J••• M• G••••••• T•••• D•••• A•••• 0•• 1•••
- G••••••••• W••••••• A•••• · Trusteecontrolsince 05/1988 · owns 75% or more of W•••••• A• G•••••••• R•••••••• T••••• D•••• M•• 5• 1•••• A• A•••••• A•• R•••••••
- S•••••• D••••••• T•••• · Trusteecontrolsince 03/2006 · owns F of D•••••• T• S••••• A•••••• A•• R••••••• R•••••••• T•••• A•••••••• D•••• M•••• 2•• 2•••
- Z••••••••• B••••• A•••• · Trusteecontrolsince 12/2003 · owns 75% or more of B•••• A• Z•••••••• R•••••••• T•••• D•••• D••••••• 2•• 2•••• A• A••••••
- B•••••••• T•••••• A••• · Principalsince 01/2022 · owns less than 5%
- H••••• J•••••• · Membersince 01/2020 · owns less than 5%
- S••••• J•••• J•••••• · Principalsince 05/2012 · owns 5% to 10%
- S••••••••• M••••••• P•••••• · Membersince 01/2020 · owns less than 5%
- S••••••••• M••••••• S• · Membersince 01/2020 · owns less than 5%
- S••••••••• M••••••• P•••••• · Trusteesince 11/2010 · owns F of M•••••• P• S••••••••• R•••••••• T•••• D•••• 1•••••••••
Entity owners
- F•••• F• C•••••• T•••• D•••• J••• 7• 2••• · Memberdirect · owns 25% to 50%
- B•••• A• Z•••••••• R•••••••• T•••• D•••• D••••••• 2•• 2•••• A• A•••••• · Memberdirect · owns 10% to 25%
- D•••••• T• S••••• A•••••• A•• R••••••• R•••••••• T•••• A•••••••• D•••• M•••• 2•• 2••• · Memberdirect · owns less than 5%
- J••• M• G••••••• T•••• D•••• A•••• 0•• 1••• · Memberdirect · owns 10% to 25%
- M•••••• P• S••••••••• R•••••••• T•••• D•••• 1••••••••• · Memberdirect · owns less than 5%
- W•••••• A• G•••••••• R•••••••• T••••• D•••• M•• 5• 1•••• A• A•••••• A•• R••••••• · Memberdirect · 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 | 5 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 19, 2026S•••••• D••••••• T•••• (TRUSTEE) left Schedule A between the filings of 2024-03-12 and 2026-03-19peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 19, 2026F••••••• L••••• A••• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2024-03-12 and 2026-03-19peers: independent wealth managers, $1B to $5B (1,362)
- client count surgeChange between filings · filing Mar 19, 2026individual and HNW clients (Item 5.D) moved from 375.0 to 617.0 (+65.0%) between the annual amendments of 2025-03-07 and 2026-03-19; the peer median change was +5.0% (1132 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,132) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 1,879 to 1,831Mar 7, 2025 to Mar 19, 2026
- Charity clients · 8 to 7Mar 7, 2025 to Mar 19, 2026
- Corporate clients · 7 to 6Mar 7, 2025 to Mar 19, 2026
- HNW clients · 350 to 585Mar 7, 2025 to Mar 19, 2026
- Individual clients · 25 to 32Mar 7, 2025 to Mar 19, 2026
- Pension plan clients · unset to 5.0Mar 7, 2025 to Mar 19, 2026
- Employees · 16 to 18Mar 7, 2025 to Mar 19, 2026
- Discretionary RAUM · $2.6B to $2.8BMar 7, 2025 to Mar 19, 2026
- HNW RAUM · $2.6B to $2.9BMar 7, 2025 to Mar 19, 2026
- Individual RAUM · $27.5M to $10.9MMar 7, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $209M to $251MMar 7, 2025 to Mar 19, 2026
- Pension RAUM · $9.6M to $7.4MMar 7, 2025 to Mar 19, 2026
- RAUM · $2.8B to $3.0BMar 7, 2025 to Mar 19, 2026
- Accounts · 1,815 to 1,879Mar 12, 2024 to Mar 7, 2025
- HNW clients · 296 to 350Mar 12, 2024 to Mar 7, 2025
- Individual clients · 70 to 25Mar 12, 2024 to Mar 7, 2025
- Financial planning clients · 251-500 to 251-500Mar 12, 2024 to Mar 7, 2025
- Discretionary RAUM · $2.2B to $2.6BMar 12, 2024 to Mar 7, 2025
- HNW RAUM · $2.3B to $2.6BMar 12, 2024 to Mar 7, 2025
- Individual RAUM · $25.3M to $27.5MMar 12, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $178M to $209MMar 12, 2024 to Mar 7, 2025
- Pension RAUM · $6.6M to $9.6MMar 12, 2024 to Mar 7, 2025
- RAUM · $2.4B to $2.8BMar 12, 2024 to Mar 7, 2025
- Accounts · 1,768 to 1,815Mar 9, 2023 to Mar 12, 2024
- Advisory employees · 8 to 9Mar 9, 2023 to Mar 12, 2024
- Charity clients · 7 to 8Mar 9, 2023 to Mar 12, 2024
- Corporate clients · 6 to 7Mar 9, 2023 to Mar 12, 2024
- HNW clients · 302 to 296Mar 9, 2023 to Mar 12, 2024
- Individual clients · 52 to 70Mar 9, 2023 to Mar 12, 2024
- Employees · 14 to 16Mar 9, 2023 to Mar 12, 2024
- Discretionary RAUM · $1.9B to $2.2BMar 9, 2023 to Mar 12, 2024
- HNW RAUM · $1.9B to $2.3BMar 9, 2023 to Mar 12, 2024
- Individual RAUM · $28.9M to $25.3MMar 9, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $156M to $178MMar 9, 2023 to Mar 12, 2024
- Pension RAUM · $14.7M to $6.6MMar 9, 2023 to Mar 12, 2024
- RAUM · $2.1B to $2.4BMar 9, 2023 to Mar 12, 2024
- Accounts · 1,715 to 1,768Mar 14, 2022 to Mar 9, 2023
- Charity clients · 6 to 7Mar 14, 2022 to Mar 9, 2023
- Corporate clients · 7 to 6Mar 14, 2022 to Mar 9, 2023
- HNW clients · 295 to 302Mar 14, 2022 to Mar 9, 2023
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
- 312-873-1260reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 866-243-7838reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/C••••••-T•••-&-ASSOCIATESreportedpublic record, Form ADV, Sep 18, 2026
- Website
- C••••••T•••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-873-1260reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $603Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026