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
T•• N•••••• G••••• I•••
Latest filing Sep 2, 2026
First filing on the tape Mar 19, 2012 · 21 filings
SEC status approved since Nov 16, 2006
RAUM
$331M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$331M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$110M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$331M as of Mar 16, 2026
Mar 19, 2012$107M then
HNW client RAUM$287M as of Mar 16, 2026
Mar 27, 2018$136M then
State-registered IARs (5.B.3)3 as of Mar 16, 2026
Mar 19, 20120 then
Employees (5.A)3 as of Mar 16, 2026
Feb 26, 20132 then
Private funds: no history
RAUM +23% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Sep 2, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $443,738derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $88.3M, 103 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
- 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 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$287M87%
- Individuals$44.1M13%
- Individual clients
- 122reported
- HNW clients
- 65reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 746reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $88.3M for 103 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• C•••••• G•••••• | Lincolnwood, Il | Jun 16, 1998 | 33 y | 0 |
| J•••••• T••••• L•••• | Lincolnwood, Il | Mar 29, 2002 | 32 y | 0 |
| A•••• R• G•••••• | Lincolnwood, Il | Jun 17, 2015 | 12 y | 0 |
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
- G••••••• A••••• R• · Registered Investment Advisercontrolsince 06/2015 · owns 5% to 10%
- G••••••• S•••••• C•••••• · Presidentcontrolsince 09/1993 · owns 75% or more
- L••••• J••••••• T••••• · Chief Compliance Officercontrolsince 11/2006 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Lincolnwood, Il · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMar 16, 2026 to Sep 2, 2026
- Related adviser · false to unsetMar 16, 2026 to Sep 2, 2026
- Related bank · false to unsetMar 16, 2026 to Sep 2, 2026
- Related broker-dealer · false to unsetMar 16, 2026 to Sep 2, 2026
- Related insurance company · false to unsetMar 16, 2026 to Sep 2, 2026
- Succession · false to unsetMar 16, 2026 to Sep 2, 2026
- Accounts · 742 to 746Mar 17, 2025 to Mar 16, 2026
- HNW clients · 54 to 65Mar 17, 2025 to Mar 16, 2026
- Individual clients · 146 to 122Mar 17, 2025 to Mar 16, 2026
- Assets in custody · $14.5M to $88.3MMar 17, 2025 to Mar 16, 2026
- Discretionary RAUM · $269M to $331MMar 17, 2025 to Mar 16, 2026
- HNW RAUM · $223M to $287MMar 17, 2025 to Mar 16, 2026
- Individual RAUM · $45.6M to $44.1MMar 17, 2025 to Mar 16, 2026
- RAUM · $269M to $331MMar 17, 2025 to Mar 16, 2026
- Accounts · 704 to 742Mar 15, 2024 to Mar 17, 2025
- HNW clients · 58 to 54Mar 15, 2024 to Mar 17, 2025
- Individual clients · 145 to 146Mar 15, 2024 to Mar 17, 2025
- Assets in custody · $10.7M to $14.5MMar 15, 2024 to Mar 17, 2025
- Financial planning clients · unset to Mar 15, 2024 to Mar 17, 2025
- Discretionary RAUM · $231M to $269MMar 15, 2024 to Mar 17, 2025
- HNW RAUM · $186M to $223MMar 15, 2024 to Mar 17, 2025
- Individual RAUM · $45.3M to $45.6MMar 15, 2024 to Mar 17, 2025
- RAUM · $231M to $269MMar 15, 2024 to Mar 17, 2025
- Accounts · 661 to 704Mar 3, 2023 to Mar 15, 2024
- HNW clients · 53 to 58Mar 3, 2023 to Mar 15, 2024
- Individual clients · 150 to 145Mar 3, 2023 to Mar 15, 2024
- Assets in custody · $6.6M to $10.7MMar 3, 2023 to Mar 15, 2024
- Discretionary RAUM · $222M to $231MMar 3, 2023 to Mar 15, 2024
- HNW RAUM · $177M to $186MMar 3, 2023 to Mar 15, 2024
- Individual RAUM · $45.4M to $45.3MMar 3, 2023 to Mar 15, 2024
- RAUM · $222M to $231MMar 3, 2023 to Mar 15, 2024
- Accounts · 627 to 661Mar 18, 2022 to Mar 3, 2023
- HNW clients · 58 to 53Mar 18, 2022 to Mar 3, 2023
- Individual clients · 136 to 150Mar 18, 2022 to Mar 3, 2023
- Assets in custody · $6.4M to $6.6MMar 18, 2022 to Mar 3, 2023
- Discretionary RAUM · $249M to $222MMar 18, 2022 to Mar 3, 2023
- HNW RAUM · $207M to $177MMar 18, 2022 to Mar 3, 2023
- Individual RAUM · $41.5M to $45.4MMar 18, 2022 to Mar 3, 2023
- RAUM · $249M to $222MMar 18, 2022 to Mar 3, 2023
- Accounts · 610 to 627Mar 16, 2021 to Mar 18, 2022
Signals
1 dated events
- R. Akiva Goodman (Registered Investment Adviser) appeared on Schedule A of T•• N•••••• G••••• I•••Mar 16, 2021 · 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 phone
- 847-677-6378reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- THEN••••••GROUP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 847-677-6378reportedpublic record, Form ADV, Sep 2, 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
- $110Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026