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
P••••••• F•••••••• G•••• L••
Latest filing Mar 17, 2026
First filing on the tape Mar 5, 2012 · 43 filings
SEC status approved since Apr 19, 2010
RAUM
$673M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
99%
$665M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$168M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$673M as of Mar 17, 2026
Mar 5, 2012$139M then
HNW client RAUM$579M as of Mar 17, 2026
Mar 17, 2018$223M then
State-registered IARs (5.B.3)4 as of Mar 17, 2026
Mar 5, 20120 then
Employees (5.A)7 as of Mar 17, 2026
Feb 25, 20135 then
Private funds: no history
RAUM +18% over the last fiscal year+17% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 17, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $168MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 98derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $552,727derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $342M, 223 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)
- 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$579M86%
- Individuals$86.8M13%
- Pension and profit-sharing plans$5.0M0.7%
- Charitable organizations$1.1M0.2%
- Corporations and businesses$1.0M0.2%
- Individual clients
- 194reported
- HNW clients
- 196reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 1,217reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $342M for 223 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• J• S••••Certified Financial Planner, Chartered Financial Analyst | Western Springs, Il | Feb 1, 2001 | 26 y | 0 |
| D••••• B•••• F•••••••••Certified Financial Planner | Western Springs, Il | Aug 3, 2015 | 18 y | 2 |
| V•••••• H•••••••••Certified Financial Planner | Western Springs, Il | Oct 11, 2022 | 21 y | 3 |
| S••• P•••••• M••••Certified Financial Planner | Western Springs, Il | Apr 15, 2024 | 19 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
- L••••• J•••• H••• to D••••••• W•••••• L••May 12, 2022 · RIA to a state-registered adviser
- L••• L••••• B•••• to O••• F•••••••• S•••••••• L••Feb 2, 2016 · Other
Joined, latest
- S••• P•••••• M•••• from S••••• W••••• A•••••••• I•••Apr 15, 2024 · Other
- V•••••• H••••••••• from W•••• F•••• A•••••••Oct 11, 2022 · Wirehouse to independent RIA
- D••••• B•••• F••••••••• from A••••• W••••• M••••••••• R••••••••• L••Aug 3, 2015 · Other
- L••• L••••• B•••• from O••••••• S••••••••• I•••Aug 10, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••••• D•••••• B•••• · Managing Membercontrolsince 01/2023 · owns less than 5%
- H••••••••• V•••••• · Managing Membercontrolsince 01/2024 · owns less than 5%
- F••••••••• D•••••• B•••• · Managing Membercontrolsince 07/2021 · owns 75% or more of A••••••••• L••
- H••••••••• V•••••• · Managing Membercontrolsince 12/2023 · owns 75% or more of T••••••••• A•••••• L••
- S••••••••• G•••• J••••• · Chief Compliance Officersince 08/2024 · owns less than 5%
Entity owners
- A••••••••• L•• · Ownerdirect · owns 50% to 75%
- T••••••••• A•••••• L•• · Ownerdirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Western Springs, Il · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Naperville, IL1 employees
What changed
consecutive filings, newest first
- Accounts · 1,138 to 1,217Mar 3, 2025 to Mar 17, 2026
- HNW clients · 165 to 196Mar 3, 2025 to Mar 17, 2026
- Individual clients · 208 to 194Mar 3, 2025 to Mar 17, 2026
- Assets in custody · $283M to $342MMar 3, 2025 to Mar 17, 2026
- Discretionary RAUM · $546M to $640MMar 3, 2025 to Mar 17, 2026
- HNW RAUM · $469M to $579MMar 3, 2025 to Mar 17, 2026
- Individual RAUM · $96.3M to $86.8MMar 3, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $24.8M to $32.5MMar 3, 2025 to Mar 17, 2026
- Pension RAUM · $4.0M to $5.0MMar 3, 2025 to Mar 17, 2026
- RAUM · $571M to $673MMar 3, 2025 to Mar 17, 2026
- Accounts · 1,026 to 1,138Sep 10, 2024 to Mar 3, 2025
- Advisory employees · 3 to 4Sep 10, 2024 to Mar 3, 2025
- HNW clients · 152 to 165Sep 10, 2024 to Mar 3, 2025
- Individual clients · 185 to 208Sep 10, 2024 to Mar 3, 2025
- Assets in custody · $224M to $283MSep 10, 2024 to Mar 3, 2025
- Employees · 6 to 7Sep 10, 2024 to Mar 3, 2025
- Financial planning clients · 101-250 to 101-250Sep 10, 2024 to Mar 3, 2025
- State-registered IARs · 3 to 4Sep 10, 2024 to Mar 3, 2025
- Discretionary RAUM · $476M to $546MSep 10, 2024 to Mar 3, 2025
- HNW RAUM · $413M to $469MSep 10, 2024 to Mar 3, 2025
- Individual RAUM · $81.2M to $96.3MSep 10, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $23.4M to $24.8MSep 10, 2024 to Mar 3, 2025
- Pension RAUM · $3.4M to $4.0MSep 10, 2024 to Mar 3, 2025
- RAUM · $500M to $571MSep 10, 2024 to Mar 3, 2025
- Accounts · 992 to 1,026Sep 7, 2023 to Mar 20, 2024
- HNW clients · 136 to 152Sep 7, 2023 to Mar 20, 2024
- Individual clients · 203 to 185Sep 7, 2023 to Mar 20, 2024
- Pension plan clients · 3 to 2Sep 7, 2023 to Mar 20, 2024
- Assets in custody · $225M to $224MSep 7, 2023 to Mar 20, 2024
- Employees · 7 to 6Sep 7, 2023 to Mar 20, 2024
- Discretionary RAUM · $398M to $476MSep 7, 2023 to Mar 20, 2024
- HNW RAUM · $336M to $413MSep 7, 2023 to Mar 20, 2024
- Individual RAUM · $81.2M to $81.2MSep 7, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $23.2M to $23.4MSep 7, 2023 to Mar 20, 2024
- Pension RAUM · $3.1M to $3.4MSep 7, 2023 to Mar 20, 2024
- RAUM · $422M to $500MSep 7, 2023 to Mar 20, 2024
- Advisory activities · 4 to 5Jul 27, 2023 to Sep 7, 2023
- Other offices · 0 to 1Mar 22, 2023 to Jul 27, 2023
- Accounts · 955 to 992Aug 22, 2022 to Mar 22, 2023
- Advisory employees · 4 to 3Aug 22, 2022 to Mar 22, 2023
Signals
5 dated events
- J J•••• S•••• (Managing Member) no longer on Schedule A of P••••••• F•••••••• G•••• L•• (listed 2023-09-07, absent 2024-03-20)Mar 20, 2024 · Control person left · inference
- V•••••• H••••••••• (Managing Member) appeared on Schedule A of P••••••• F•••••••• G•••• L••Mar 20, 2024 · Control person joined · fact
- L••••• J•••• H••• left P••••••• F•••••••• G•••• L•• for D••••••• W•••••• L•• (registered 2022-11-15)May 12, 2022 · Advisor changed firm · fact
- A••••• L•••• U••••••••• (Managing Member) no longer on Schedule A of P••••••• F•••••••• G•••• L•• (listed 2018-09-25, absent 2019-01-16)Jan 16, 2019 · Control person left · inference
- B•••• D••••• F••••••••• (Managing Member) appeared on Schedule A of P••••••• F•••••••• G•••• L••Jan 16, 2019 · Control person joined · 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 email
- karen@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- dan@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jeanne@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jim@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 708-246-6262reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 708-246-6262reportedpublic record, Form ADV, Mar 17, 2026
- Team page
- mypinnaclefinancial.com/team-member-01/vince-harambasic-iiireportedpublished by the firm, firm site, Sep 15, 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
- $168Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026