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
G••••••• W••••• M••••••••• L•••
Latest filing Mar 10, 2026
First filing on the tape Mar 23, 2012 · 24 filings
SEC status approved since Aug 29, 1969
RAUM
$526M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
97%
$510M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$526M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$526M as of Mar 10, 2026
Aug 6, 2012$212M then
HNW client RAUM$436M as of Mar 10, 2026
Sep 11, 2018$159M then
State-registered IARs (5.B.3)0 as of Mar 10, 2026
Aug 6, 20120 then
Employees (5.A)5 as of Mar 10, 2026
Aug 26, 20136 then
Private funds: no history
RAUM +23% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 10, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $526MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 269derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $808,867derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $81.8M, 37 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$436M83%
- Individuals$73.5M14%
- Pension and profit-sharing plans$7.9M1.5%
- Charitable organizations$7.3M1.4%
- Corporations and businesses$786,9860.1%
- Individual clients
- 168reported
- HNW clients
- 101reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 650reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $81.8M for 37 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• M• B•••• | Elmhurst, Il | Feb 2, 2004 | 29 y | 2 |
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• D•••••• M• · Executive Vice Presidentcontrolsince 07/2017 · owns less than 5%
- K••••••• P•••••• B• · President, Ccocontrolsince 07/2017 · owns 75% or more
- C•••••••• D••••• M••••• · Executive Vice Presidentsince 09/2019 · owns 10% to 25%
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 · 588 to 650Feb 25, 2025 to Mar 10, 2026
- Individual clients · 140 to 168Feb 25, 2025 to Mar 10, 2026
- Assets in custody · $77.1M to $81.8MFeb 25, 2025 to Mar 10, 2026
- Discretionary RAUM · $403M to $505MFeb 25, 2025 to Mar 10, 2026
- HNW RAUM · $354M to $436MFeb 25, 2025 to Mar 10, 2026
- Individual RAUM · $59.0M to $73.5MFeb 25, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $23.9M to $20.3MFeb 25, 2025 to Mar 10, 2026
- Pension RAUM · $6.5M to $7.9MFeb 25, 2025 to Mar 10, 2026
- RAUM · $427M to $526MFeb 25, 2025 to Mar 10, 2026
- Accounts · 560 to 588Mar 11, 2024 to Feb 25, 2025
- HNW clients · 84 to 101Mar 11, 2024 to Feb 25, 2025
- Individual clients · 160 to 140Mar 11, 2024 to Feb 25, 2025
- Assets in custody · $65.0M to $77.1MMar 11, 2024 to Feb 25, 2025
- Financial planning clients · 11-25 to 11-25Mar 11, 2024 to Feb 25, 2025
- Discretionary RAUM · $350M to $403MMar 11, 2024 to Feb 25, 2025
- HNW RAUM · $301M to $354MMar 11, 2024 to Feb 25, 2025
- Individual RAUM · $58.0M to $59.0MMar 11, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $20.5M to $23.9MMar 11, 2024 to Feb 25, 2025
- Pension RAUM · $5.3M to $6.5MMar 11, 2024 to Feb 25, 2025
- RAUM · $371M to $427MMar 11, 2024 to Feb 25, 2025
- Accounts · 517 to 560Feb 28, 2023 to Mar 11, 2024
- HNW clients · 80 to 84Feb 28, 2023 to Mar 11, 2024
- Individual clients · 153 to 160Feb 28, 2023 to Mar 11, 2024
- Assets in custody · $53.8M to $65.0MFeb 28, 2023 to Mar 11, 2024
- Discretionary RAUM · $305M to $350MFeb 28, 2023 to Mar 11, 2024
- HNW RAUM · $253M to $301MFeb 28, 2023 to Mar 11, 2024
- Individual RAUM · $53.5M to $58.0MFeb 28, 2023 to Mar 11, 2024
- Non-discretionary RAUM · $14.6M to $20.5MFeb 28, 2023 to Mar 11, 2024
- Pension RAUM · $8.3M to $5.3MFeb 28, 2023 to Mar 11, 2024
- RAUM · $320M to $371MFeb 28, 2023 to Mar 11, 2024
- Accounts · 504 to 517Oct 18, 2022 to Feb 28, 2023
- Business name · G••••••• B•••• A••••••••• L•• to G••••••• W••••• M••••••••• L•••Oct 18, 2022 to Feb 28, 2023
- HNW clients · 76 to 80Oct 18, 2022 to Feb 28, 2023
- Individual clients · 142 to 153Oct 18, 2022 to Feb 28, 2023
- Assets in custody · $36.8M to $53.8MOct 18, 2022 to Feb 28, 2023
- Legal name · G••••••• B•••• A••••••••• L•• to G••••••• W••••• M••••••••• L•••Oct 18, 2022 to Feb 28, 2023
- Discretionary RAUM · $285M to $305MOct 18, 2022 to Feb 28, 2023
- HNW RAUM · $228M to $253MOct 18, 2022 to Feb 28, 2023
- Individual RAUM · $58.1M to $53.5MOct 18, 2022 to Feb 28, 2023
- Non-discretionary RAUM · $12.9M to $14.6MOct 18, 2022 to Feb 28, 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 email
- d•••••••••@g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- d••••••••@g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- d••••@g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- j•••••@g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- p•••••••@g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 630-832-3491reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 630-941-9460reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- g•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 630-941-9460reportedpublic record, Form ADV, Mar 10, 2026
- Contact form
- g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $526Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026