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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
P•••••• C•••••• M••••••••• I••
Latest filing Sep 29, 2025
First filing on the tape Nov 28, 2011 · 25 filings
SEC status approved since Oct 1, 1987
RAUM
$280M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
71%
$199M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$280M as of Sep 29, 2025
Nov 28, 2011$607M then
HNW client RAUM$165M as of Sep 29, 2025
Oct 1, 2018$126M then
State-registered IARs (5.B.3)3 as of Sep 29, 2025
Nov 28, 20110 then
Employees (5.A)6 as of Sep 29, 2025
Sep 26, 201312 then
Private funds: no history
RAUM +7.1% over the last fiscal year-1.3% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Sep 29, 2025; every figure names its basis
- RAUM per advisor
- $93.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 7.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +29%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for investment companies, pension consultingreportedItem 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$165M59%
- Investment companies$55.5M20%
- Individuals$33.2M12%
- Pension and profit-sharing plans$19.8M7.1%
- Corporations and businesses$4.5M1.6%
- Charitable organizations$1.3M0.5%
- Individual clients
- 62reported
- HNW clients
- 51reported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 122reported
- Financial planning clients
- 1-10reported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- M•••••• J•••• C•••••• to R••••••••• W••••• L••May 4, 2026 · RIA to RIA
- S••• M•••••• C••••• to R••••••••• W••••• L••Dec 18, 2025 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••• M•••• J• · Chief Financial Officer And Vice Presidentcontrolsince 02/2012 · owns less than 5%
- C••••••• M••••••• J•••• · Presidentcontrolsince 10/2010 · owns less than 5%
- C••••••• M••••••• J•••• · President And Chairmancontrolsince 10/2010 · owns 50% to 75% of I••••••••• I••••••••• S•••••••
- B••••••••• L•••• E•• · Chief Compliance Officersince 05/2010 · owns less than 5%
Entity owners
- I••••••••• I••••••••• S••••••• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Chicago, Il · principal | 0 | 0 | 2 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 130 to 122Sep 16, 2024 to Sep 29, 2025
- Advisory employees · 4 to 3Sep 16, 2024 to Sep 29, 2025
- Individual clients · 64 to 62Sep 16, 2024 to Sep 29, 2025
- Pension plan clients · 5 to 8Sep 16, 2024 to Sep 29, 2025
- Employees · 8 to 6Sep 16, 2024 to Sep 29, 2025
- Financial planning clients · 1-10 to 1-10Sep 16, 2024 to Sep 29, 2025
- State-registered IARs · 4 to 3Sep 16, 2024 to Sep 29, 2025
- Discretionary RAUM · $266M to $274MSep 16, 2024 to Sep 29, 2025
- HNW RAUM · $164M to $165MSep 16, 2024 to Sep 29, 2025
- Individual RAUM · $29.1M to $33.2MSep 16, 2024 to Sep 29, 2025
- Non-discretionary RAUM · $5.1M to $5.7MSep 16, 2024 to Sep 29, 2025
- Pension RAUM · $9.4M to $19.8MSep 16, 2024 to Sep 29, 2025
- RAUM · $271M to $280MSep 16, 2024 to Sep 29, 2025
- Accounts · 96 to 130Sep 27, 2023 to Sep 16, 2024
- Advisory employees · 5 to 4Sep 27, 2023 to Sep 16, 2024
- HNW clients · 41 to 51Sep 27, 2023 to Sep 16, 2024
- Individual clients · 48 to 64Sep 27, 2023 to Sep 16, 2024
- Pension plan clients · 8 to 5Sep 27, 2023 to Sep 16, 2024
- Discretionary RAUM · $256M to $266MSep 27, 2023 to Sep 16, 2024
- HNW RAUM · $153M to $164MSep 27, 2023 to Sep 16, 2024
- Individual RAUM · $21.9M to $29.1MSep 27, 2023 to Sep 16, 2024
- Non-discretionary RAUM · $4.8M to $5.1MSep 27, 2023 to Sep 16, 2024
- Pension RAUM · $12.6M to $9.4MSep 27, 2023 to Sep 16, 2024
- RAUM · $261M to $271MSep 27, 2023 to Sep 16, 2024
- Accounts · 116 to 96Jul 10, 2023 to Sep 27, 2023
- Corporate clients · 3.0 to unsetJul 10, 2023 to Sep 27, 2023
- HNW clients · 49 to 41Jul 10, 2023 to Sep 27, 2023
- Individual clients · 55 to 48Jul 10, 2023 to Sep 27, 2023
- Pension plan clients · 7 to 8Jul 10, 2023 to Sep 27, 2023
- State-registered IARs · 5 to 4Jul 10, 2023 to Sep 27, 2023
- Discretionary RAUM · $239M to $256MJul 10, 2023 to Sep 27, 2023
- HNW RAUM · $142M to $153MJul 10, 2023 to Sep 27, 2023
- Individual RAUM · $19.0M to $21.9MJul 10, 2023 to Sep 27, 2023
- Non-discretionary RAUM · $4.0M to $4.8MJul 10, 2023 to Sep 27, 2023
- Pension RAUM · $11.6M to $12.6MJul 10, 2023 to Sep 27, 2023
- RAUM · $243M to $261MJul 10, 2023 to Sep 27, 2023
- Accounts · 101 to 116Sep 30, 2021 to Sep 30, 2022
- BD registered reps · 2 to 1Sep 30, 2021 to Sep 30, 2022
- Corporate clients · 5 to 3Sep 30, 2021 to Sep 30, 2022
- HNW clients · 25 to 49Sep 30, 2021 to Sep 30, 2022
Signals
4 dated events
- P•••••• C•••••• M••••••••• I•• no longer on the SEC adviser roster (last listed 2026-05-01, RAUM $279.8M)Jun 1, 2026 · Left the SEC roster · derived
- M•••••• J•••• C•••••• left P•••••• C•••••• M••••••••• I•• for R••••••••• W••••• L•• (registered 2025-12-18)May 4, 2026 · Advisor changed firm · fact
- S••• M•••••• C••••• left P•••••• C•••••• M••••••••• I•• for R••••••••• W••••• L•• (registered 2025-12-18)Dec 18, 2025 · Advisor changed firm · fact
- P•••••• C•••••• M••••••••• I•• reported RAUM $217.4M, down 33% from $325.2M (2020-06-30 to 2020-09-30)Sep 30, 2020 · 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026