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

P••••••• F•••••••• P•••••••• I•••

Former SEC-registered adviserDeerfield, IllinoisCRD 115605SEC 801-62565IAPD
Latest filing Mar 8, 2021
First filing on the tape Apr 17, 2012 · 12 filings
RAUM
$897M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$897M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$897M as of Mar 4, 2021
Apr 17, 2012$210M then
HNW client RAUM$897M as of Mar 4, 2021
May 30, 2018$598M then
State-registered IARs (5.B.3)0 as of Mar 4, 2021
Apr 17, 20120 then
Employees (5.A)4 as of Mar 4, 2021
Mar 19, 20133 then
Private funds: no history
RAUM +26% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 8, 2021; 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
$9.4MderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+26%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$897M100%
Individual clients
5reported
HNW clients
95reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
632reported
Financial planning clients
51-100reported
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
    • S•••••••• M•••• A•••• · President & Chief Compliance Officers)control
      since 05/1999 · owns 75% or more
    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 · 505 to 632
      Apr 24, 2020 to Mar 4, 2021
    • HNW clients · 100 to 95
      Apr 24, 2020 to Mar 4, 2021
    • Individual clients · unset to 5.0
      Apr 24, 2020 to Mar 4, 2021
    • Assets in custody · 115000000.0 to unset
      Apr 24, 2020 to Mar 4, 2021
    • Custody of client assets · true to false
      Apr 24, 2020 to Mar 4, 2021
    • Employees · 2 to 4
      Apr 24, 2020 to Mar 4, 2021
    • Discretionary RAUM · $710M to $897M
      Apr 24, 2020 to Mar 4, 2021
    • HNW RAUM · $710M to $897M
      Apr 24, 2020 to Mar 4, 2021
    • RAUM · $710M to $897M
      Apr 24, 2020 to Mar 4, 2021
    • Accounts · 100 to 505
      Jul 23, 2019 to Apr 24, 2020
    • Assets in custody · $25.5M to $115M
      Jul 23, 2019 to Apr 24, 2020
    • Discretionary RAUM · $655M to $710M
      Jul 23, 2019 to Apr 24, 2020
    • HNW RAUM · $655M to $710M
      Jul 23, 2019 to Apr 24, 2020
    • RAUM · $655M to $710M
      Jul 23, 2019 to Apr 24, 2020
    • Assets in custody · unset to 25500000.0
      Mar 27, 2019 to Jul 23, 2019
    • Custody of client assets · false to true
      Mar 27, 2019 to Jul 23, 2019
    • Accounts · 250 to 100
      May 30, 2018 to Mar 27, 2019
    • HNW clients · 95 to 100
      May 30, 2018 to Mar 27, 2019
    • Discretionary RAUM · $598M to $655M
      May 30, 2018 to Mar 27, 2019
    • HNW RAUM · $598M to $655M
      May 30, 2018 to Mar 27, 2019
    • RAUM · $598M to $655M
      May 30, 2018 to Mar 27, 2019
    • Accounts · 235 to 250
      Mar 30, 2017 to May 30, 2018
    • HNW clients · unset to 95.0
      Mar 30, 2017 to May 30, 2018
    • Employees · 3 to 2
      Mar 30, 2017 to May 30, 2018
    • Other offices · unset to 0.0
      Mar 30, 2017 to May 30, 2018
    • Discretionary RAUM · $425M to $598M
      Mar 30, 2017 to May 30, 2018
    • HNW RAUM · unset to 598000000.0
      Mar 30, 2017 to May 30, 2018
    • Non-discretionary RAUM · $510M to $0
      Mar 30, 2017 to May 30, 2018
    • RAUM · $935M to $598M
      Mar 30, 2017 to May 30, 2018
    • Accounts · 225 to 235
      Mar 30, 2016 to Mar 30, 2017
    • Discretionary RAUM · $395M to $425M
      Mar 30, 2016 to Mar 30, 2017
    • Non-discretionary RAUM · $472M to $510M
      Mar 30, 2016 to Mar 30, 2017
    • RAUM · $867M to $935M
      Mar 30, 2016 to Mar 30, 2017
    • Accounts · 400 to 225
      Jan 14, 2015 to Mar 30, 2016
    • Discretionary RAUM · $345M to $395M
      Jan 14, 2015 to Mar 30, 2016
    • Non-discretionary RAUM · $500M to $472M
      Jan 14, 2015 to Mar 30, 2016
    • RAUM · $845M to $867M
      Jan 14, 2015 to Mar 30, 2016
    • Accounts · 110 to 400
      Mar 31, 2014 to Jan 14, 2015
    • Discretionary RAUM · $293M to $345M
      Mar 31, 2014 to Jan 14, 2015
    • Non-discretionary RAUM · $0 to $500M
      Mar 31, 2014 to Jan 14, 2015
    Signals
    2 dated events
    • P••••••• F•••••••• P•••••••• I••• reported RAUM $897.0M, up 26% from $710.0M (2020-04-24 to 2021-03-04)
      Mar 4, 2021 · RAUM change · derived
    • P••••••• F•••••••• P•••••••• I••• reported RAUM $598.0M, down 36% from $935.0M (2017-03-30 to 2018-05-30)
      May 30, 2018 · 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