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

B••••••• A•••••••

Former SEC-registered adviserWheaton, IllinoisCRD 113229SEC 801-70049IAPD
Legal name B••••••• L••
Latest filing Mar 30, 2016
First filing on the tape Nov 17, 2011 · 10 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
21
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 30, 2016
Mar 26, 20120 then
Employees (5.A)21 as of Mar 30, 2016
Mar 28, 201325 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 6 to 5
Practice profile
derived from the filing of Mar 30, 2016; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.2derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-17%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for investment companies, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
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••••• J•••• A•••• · Chairman Of The Boardcontrol
      since 04/2001 · owns less than 5%
    • B••••• K••••••• W•••••• · Chief Compliance Officercontrol
      since 02/2008 · owns less than 5%
    • C•••••••• M•••••• · Managing Director, Product Data Managementcontrol
      since 11/2014 · owns less than 5%
    • D••••• P•••• W•••••• · Managing Director, Fixed Information Labcontrol
      since 01/2015 · owns less than 5%
    • D••••• M••••••• A••••• · Managing Director, Chief Operating Officercontrol
      since 04/2001 · owns less than 5%
    • D••••• J••••• M••••• · Board Membercontrol
      since 01/2016 · owns less than 5%
    • F••••••••• P••••••• M•••••• · Board Membercontrol
      since 04/2001 · owns less than 5%
    • J••••••• W••••••• S•••• · General Counselcontrol
      since 08/2009 · owns less than 5%
    • M••••••••• R•••••• D••• · Board Membercontrol
      since 08/2009 · owns less than 5%
    • M•••••• K••••••• N••••• · Managing Director Of Product Managementcontrol
      since 03/2016 · owns less than 5%
    • R••••••••• A•••••• S•••• · Board Membercontrol
      since 04/2001 · owns less than 5%
    • R•••• M•••••• · Chief Executive Officercontrol
      since 03/2016 · owns less than 5%
    • T•••••• M••••••• R••••• · Managing Director, Product Strategy And Designcontrol
      since 04/2001 · owns less than 5%
    • V••••• J•••••••• J•• · Managing Director, Information Strategiescontrol
      since 01/2004 · owns less than 5%
    • B••••• J••••• A•••• · Sole Shareholdercontrol
      since 10/2010 · owns 75% or more of A•• V••••••• L••
    Entity owners
    • F•••• T•••• A••••••• L••• · Shareholder
      direct · owns less than 5%
    • F•••• T•••• C•••••• P••••••• L•• · Shareholder
      direct · owns 75% or more
    • A•• V••••••• L•• · Shareholder
      indirect · owns 75% or more of T•• C•••••• C•••••••••
    • T•• C•••••• C••••••••• · Managing Member
      indirect · owns F of F•••• T•••• C•••••• P••••••• L••
    • T•• C•••••• C••••••••• · General Partner
      indirect · owns F of G•••• P••••••• O• D••••• L•••
    • G•••• P••••••• O• D••••• L••• · Non-Managing Member
      indirect · owns 75% or more of F•••• T•••• C•••••• P••••••• L••
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 5 to 3
      Jan 29, 2016 to Mar 30, 2016
    • BD registered reps · 8 to 5
      Jan 29, 2016 to Mar 30, 2016
    • Employees · 24 to 21
      Jan 29, 2016 to Mar 30, 2016
    • State-registered IARs · 6 to 5
      Jan 29, 2016 to Mar 30, 2016
    • Employees · 26 to 24
      Mar 28, 2014 to Mar 31, 2015
    • BD registered reps · 9 to 8
      Dec 18, 2013 to Mar 28, 2014
    • Employees · 25 to 26
      Dec 18, 2013 to Mar 28, 2014
    • Related bank · false to true
      Dec 18, 2013 to Mar 28, 2014
    • Advisory employees · unset to 5.0
      Mar 26, 2012 to Mar 28, 2013
    • BD registered reps · unset to 9.0
      Mar 26, 2012 to Mar 28, 2013
    • Employees · unset to 25.0
      Mar 26, 2012 to Mar 28, 2013
    • State-registered IARs · 0 to 6
      Mar 26, 2012 to Mar 28, 2013
    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.
    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