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

I••••••• I••••••••• L•••••

Former SEC-registered adviserMoline, IllinoisCRD 119818SEC 801-67328IAPD
Latest filing Mar 8, 2019
First filing on the tape Mar 13, 2012 · 17 filings
RAUM
$276M
reported, Item 5.F
Discretionary
76%
of RAUM
Private clients
98%
$272M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$276M as of Mar 8, 2019
Mar 13, 2012$361M then
HNW client RAUM$254M as of Mar 8, 2019
Mar 11, 2018$244M then
State-registered IARs (5.B.3)4 as of Mar 8, 2019
Mar 13, 20120 then
Employees (5.A)10 as of Mar 8, 2019
Mar 6, 20138 then
Private funds: no history
RAUM -5.2% over the last fiscal year+13% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 8, 2019; every figure names its basis
RAUM per advisor
$69.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
28derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.5MderivedHNW RAUM over HNW clients
Average account
$2.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
76%derivedof RAUM
Institutional
1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
1.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-5.2%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+40%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
Custody
$68.0M, 72 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$254M92%
  • Individuals$17.7M6.4%
  • Charitable organizations$4.5M1.6%
Individual clients
39reported
HNW clients
73reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
114reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$68.0M for 72 clientsreported
Compensation
% of AUM, 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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• T•••••••• J•••• · Principal, Chief Investment Officercontrol
      since 01/2018 · owns 5% to 10%
    • C••••••• A••••••• C••••• · Principal, Chief Compliance Officercontrol
      since 03/2014 · owns 10% to 25%
    • J••••••• T•••• G•••••• W•••••• · Principalcontrol
      since 01/2015 · owns 10% to 25%
    • T••••••• P••••••• E••••• · Managing Member, Principalcontrol
      since 08/2001 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 82 to 114
      Jun 11, 2018 to Mar 8, 2019
    • Individual clients · 7 to 39
      Jun 11, 2018 to Mar 8, 2019
    • Assets in custody · unset to 67989097.0
      Jun 11, 2018 to Mar 8, 2019
    • Custody of client assets · false to true
      Jun 11, 2018 to Mar 8, 2019
    • Employees · 9 to 10
      Jun 11, 2018 to Mar 8, 2019
    • Discretionary RAUM · $210M to $210M
      Jun 11, 2018 to Mar 8, 2019
    • HNW RAUM · $244M to $254M
      Jun 11, 2018 to Mar 8, 2019
    • Individual RAUM · $41.7M to $17.7M
      Jun 11, 2018 to Mar 8, 2019
    • Non-discretionary RAUM · $80.9M to $66.0M
      Jun 11, 2018 to Mar 8, 2019
    • RAUM · $291M to $276M
      Jun 11, 2018 to Mar 8, 2019
    • Accounts · 83 to 82
      Mar 2, 2017 to Mar 11, 2018
    • Advisory activities · 5 to 4
      Mar 2, 2017 to Mar 11, 2018
    • HNW clients · unset to 73.0
      Mar 2, 2017 to Mar 11, 2018
    • Individual clients · unset to 7.0
      Mar 2, 2017 to Mar 11, 2018
    • State-registered IARs · 3 to 4
      Mar 2, 2017 to Mar 11, 2018
    • Other offices · unset to 2.0
      Mar 2, 2017 to Mar 11, 2018
    • Discretionary RAUM · $126M to $210M
      Mar 2, 2017 to Mar 11, 2018
    • HNW RAUM · unset to 243863921.0
      Mar 2, 2017 to Mar 11, 2018
    • Individual RAUM · unset to 41690008.0
      Mar 2, 2017 to Mar 11, 2018
    • Non-discretionary RAUM · $77.4M to $80.9M
      Mar 2, 2017 to Mar 11, 2018
    • RAUM · $203M to $291M
      Mar 2, 2017 to Mar 11, 2018
    • Discretionary RAUM · $123M to $126M
      Feb 28, 2017 to Mar 2, 2017
    • Non-discretionary RAUM · $80.5M to $77.4M
      Feb 28, 2017 to Mar 2, 2017
    • RAUM · $204M to $203M
      Feb 28, 2017 to Mar 2, 2017
    • Accounts · 78 to 83
      Jan 4, 2017 to Feb 28, 2017
    • Employees · 10 to 9
      Jan 4, 2017 to Feb 28, 2017
    • Discretionary RAUM · $121M to $123M
      Jan 4, 2017 to Feb 28, 2017
    • Non-discretionary RAUM · $68.1M to $80.5M
      Jan 4, 2017 to Feb 28, 2017
    • RAUM · $190M to $204M
      Jan 4, 2017 to Feb 28, 2017
    • Accounts · 68 to 78
      Apr 23, 2015 to Mar 21, 2016
    • Advisory employees · 5 to 4
      Apr 23, 2015 to Mar 21, 2016
    • Employees · 9 to 10
      Apr 23, 2015 to Mar 21, 2016
    • State-registered IARs · 5 to 3
      Apr 23, 2015 to Mar 21, 2016
    • Discretionary RAUM · $98.9M to $121M
      Apr 23, 2015 to Mar 21, 2016
    • Non-discretionary RAUM · $69.5M to $68.1M
      Apr 23, 2015 to Mar 21, 2016
    • RAUM · $168M to $190M
      Apr 23, 2015 to Mar 21, 2016
    • Accounts · 65 to 68
      Mar 5, 2014 to Mar 30, 2015
    • Advisory activities · 7 to 5
      Mar 5, 2014 to Mar 30, 2015
    • Financial planning clients · 26-50 to 0
      Mar 5, 2014 to Mar 30, 2015
    • State-registered IARs · 6 to 5
      Mar 5, 2014 to Mar 30, 2015
    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