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
B•••• F•••••••• A•••••••• I•••
Latest filing Jun 25, 2026
First filing on the tape Mar 26, 2012 · 27 filings
SEC status approved since Feb 28, 2011
RAUM
$439M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$438M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$87.8M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$439M as of Jun 25, 2026
Mar 26, 2012$225M then
HNW client RAUM$312M as of Jun 25, 2026
Apr 2, 2018$181M then
State-registered IARs (5.B.3)1 as of Jun 25, 2026
Mar 26, 20120 then
Employees (5.A)5 as of Jun 25, 2026
Mar 12, 20133 then
Private funds: no history
RAUM +11% over the last fiscal year-0.9% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Jun 25, 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
- RAUM per advisor
- $87.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $345,021derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$312M71%
- Individuals$126M29%
- Charitable organizations$1.2M0.3%
- Individual clients
- 267reported
- HNW clients
- 130reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 1,273reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••• E••••• B•••• | Rockford, Il | May 24, 1998 | 43 y | 1 |
| G••••• D•••••• B•••• | Rockford, Il | Oct 8, 2020 | 45 y | 2 |
| J••• W•••••• W••••••••Certified Financial Planner | Chicago, Il | May 4, 2026 | 30 y | 2 |
| M•••••• D•••••• B•••• | Rockford, Il | Jul 3, 2026 | 11 y | 0 |
| G••••• H•••• B•••• | Rockford, Il | Sep 1, 2026 | 11 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount3 left over 36 months
Left, latest
- J••••••• R•••••• S••••••• to R••••• W• B•••• • C•• I•••••••••Jan 8, 2025 · RIA to RIA
- A••••• A••• W••••••• to A••••••• F•••••••• A•••••••• L••Nov 2, 2023 · RIA to affiliated broker-dealer or bank
- T••••• C•••• C••••••••• to L•• F•••••••• L••Nov 2, 2023 · RIA to affiliated broker-dealer or bank
- A••••• N••••• D••••• to T••••••• A•••••• N••••••• L••Aug 29, 2022 · RIA to affiliated broker-dealer or bank
- R••••• E••••• M•••••• to T••••••• A•••••• N••••••• L••Apr 28, 2022 · RIA to affiliated broker-dealer or bank
- M••••• B• P•••••• to M••••• S••••••Feb 5, 2021 · RIA to wirehouse
- M••• A••••• J•••• to R•••• I••••••••• A••••••• L••Sep 3, 2020 · RIA to affiliated broker-dealer or bank
- A••••• A••• W••••••• to V•••• F•••••••• A•••••••• I•••Dec 31, 2017 · Other
- M••••• B• P•••••• to R••••• W• B•••• • C•• I•••••••••Sep 23, 2016 · Other
- E•••• C• A••••• to A••••••••• F•••••••• S•••••••• L••Sep 3, 2013 · Other
Joined, latest
- J••• W•••••• W•••••••• from T•• M••••• G••••• L••May 4, 2026 · RIA to RIA
- A••••• A••• W••••••• from V•••• F•••••••• A•••••••• I•••Jul 22, 2021 · Affiliated broker-dealer or bank to independent RIA
- J••••••• R•••••• S••••••• from S•••••• N••••••• • C••••••• I•••••••••May 3, 2021 · Affiliated broker-dealer or bank to independent RIA
- A••••• N••••• D••••• from E•••••••• A•••••••• L••Jan 14, 2021 · Affiliated broker-dealer or bank to independent RIA
- M••••• B• P•••••• from R••••• W• B•••• • C•• I•••••••••Feb 26, 2019 · RIA to RIA
- A••••• A••• W••••••• from M•• F•••••••• S•••••••• I•••May 16, 2017 · Other
- M••••• B• P•••••• from E••••• J••••May 14, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• G•••••• E••••• · President, Chief Compliance Officercontrolsince 09/1984 · owns 75% or more
- B••••• C••••• E•••••• · Secretarysince 08/2020 · owns less than 5%
Related persons
Schedule D 7.A
- B•••• F•••••••• S•••••••• I•••real estaten
- B•••• S••••••••• I•••broker-dealerreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Rockford, Il · principal | 4 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,355 to 1,273Oct 30, 2025 to Apr 1, 2026
- Advisory employees · 7 to 5Oct 30, 2025 to Apr 1, 2026
- BD registered reps · 2 to 1Oct 30, 2025 to Apr 1, 2026
- Charity clients · 1 to 2Oct 30, 2025 to Apr 1, 2026
- HNW clients · 137 to 130Oct 30, 2025 to Apr 1, 2026
- Individual clients · 289 to 267Oct 30, 2025 to Apr 1, 2026
- Employees · 7 to 5Oct 30, 2025 to Apr 1, 2026
- State-registered IARs · 2 to 1Oct 30, 2025 to Apr 1, 2026
- Discretionary RAUM · $395M to $438MOct 30, 2025 to Apr 1, 2026
- HNW RAUM · $275M to $312MOct 30, 2025 to Apr 1, 2026
- Individual RAUM · $121M to $126MOct 30, 2025 to Apr 1, 2026
- Non-discretionary RAUM · $945,816 to $992,143Oct 30, 2025 to Apr 1, 2026
- RAUM · $396M to $439MOct 30, 2025 to Apr 1, 2026
- Accounts · 1,764 to 1,355May 13, 2024 to Mar 31, 2025
- Advisory employees · 6 to 7May 13, 2024 to Mar 31, 2025
- HNW clients · 159 to 137May 13, 2024 to Mar 31, 2025
- Individual clients · 475 to 289May 13, 2024 to Mar 31, 2025
- Assets in custody · 64286547.0 to unsetMay 13, 2024 to Mar 31, 2025
- Custody of client assets · true to falseMay 13, 2024 to Mar 31, 2025
- Employees · 9 to 7May 13, 2024 to Mar 31, 2025
- Financial planning clients · 26-50 to 26-50May 13, 2024 to Mar 31, 2025
- Discretionary RAUM · $422M to $395MMay 13, 2024 to Mar 31, 2025
- HNW RAUM · $279M to $275MMay 13, 2024 to Mar 31, 2025
- Individual RAUM · $150M to $121MMay 13, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $8.5M to $945,816May 13, 2024 to Mar 31, 2025
- RAUM · $430M to $396MMay 13, 2024 to Mar 31, 2025
- Accounts · 2,091 to 1,764Jun 28, 2023 to Mar 28, 2024
- Advisory employees · 8 to 6Jun 28, 2023 to Mar 28, 2024
- BD registered reps · 4 to 2Jun 28, 2023 to Mar 28, 2024
- Charity clients · unset to 1.0Jun 28, 2023 to Mar 28, 2024
- HNW clients · 161 to 159Jun 28, 2023 to Mar 28, 2024
- Individual clients · 559 to 475Jun 28, 2023 to Mar 28, 2024
- Assets in custody · $49.2M to $64.3MJun 28, 2023 to Mar 28, 2024
- Employees · 12 to 9Jun 28, 2023 to Mar 28, 2024
- Financial planning clients · 1-10 to 26-50Jun 28, 2023 to Mar 28, 2024
- State-registered IARs · 4 to 2Jun 28, 2023 to Mar 28, 2024
- Other offices · 1 to 0Jun 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $443M to $422MJun 28, 2023 to Mar 28, 2024
- HNW RAUM · $274M to $279MJun 28, 2023 to Mar 28, 2024
- Individual RAUM · $176M to $150MJun 28, 2023 to Mar 28, 2024
Signals
5 dated events
- J••••••• R•••••• S••••••• left B•••• F•••••••• A•••••••• I••• for R••••• W• B•••• • C•• I••••••••• (registered 2025-01-08)Jan 8, 2025 · a•••••• firm change · fact
- A••••• A••• W••••••• left B•••• F•••••••• A•••••••• I••• for A••••••• F•••••••• A•••••••• L•• (registered 2023-11-06)Nov 2, 2023 · a•••••• firm change · fact
- T••••• C•••• C••••••••• left B•••• F•••••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2023-11-02)Nov 2, 2023 · a•••••• firm change · fact
- A••••• N••••• D••••• left B•••• F•••••••• A•••••••• I••• for T••••••• A•••••• N••••••• L•• (registered 2022-09-28)Aug 29, 2022 · a•••••• firm change · fact
- R••••• E••••• M•••••• left B•••• F•••••••• A•••••••• I••• for T••••••• A•••••• N••••••• L•• (registered 2022-05-24)Apr 28, 2022 · a•••••• firm change · fact
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
- 815-332-4020reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 815-332-4020reportedpublic record, Form ADV, Jun 25, 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
- $87.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026