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
R••••••• F•••••••• G••••• L•••
Latest filing Mar 28, 2026
First filing on the tape Mar 28, 2012 · 16 filings
SEC status approved since May 9, 2006
RAUM
$637M
reported, Item 5.F
Discretionary
75%
of RAUM
Private clients
98%
$624M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$637M as of Mar 28, 2026
Mar 28, 2012$126M then
HNW client RAUM$624M as of Mar 28, 2026
Mar 30, 2018$188M then
State-registered IARs (5.B.3)2 as of Mar 28, 2026
Mar 28, 20120 then
Employees (5.A)8 as of Mar 28, 2026
Mar 28, 20137 then
Private funds: no history
RAUM +17% over the last fiscal year+21% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 28, 2026; every figure names its basis
- RAUM per advisor
- $319MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $682,449derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 75%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- is an insurance broker or agent (6.A.6)
- 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$624M98%
- Pension and profit-sharing plans$13.9M2.2%
- Individual clients
- n/areported
- HNW clients
- 265reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 934reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $637M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months2 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- P•••• M•••••• M•••• to C•••••• L••Jul 9, 2026 · RIA to RIA
- B•••• A•••••• P•••• to C•••••• L••Jul 9, 2026 · RIA to RIA
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C•••••• L••Jul 9, 2026 · Wilmette, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• P••••• M•••••• · President And Chief Compliance Officercontrolsince 11/1996 · owns 75% or more
- P••••• B••••• A•••••• · Co-Ownersince 01/2021 · 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 |
|---|---|---|---|---|---|
| Wilmette, Il · principal | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 892 to 934Mar 28, 2025 to Mar 28, 2026
- HNW clients · 210 to 265Mar 28, 2025 to Mar 28, 2026
- Individual clients · 12.0 to unsetMar 28, 2025 to Mar 28, 2026
- Pension plan clients · 5 to 6Mar 28, 2025 to Mar 28, 2026
- Discretionary RAUM · $402M to $481MMar 28, 2025 to Mar 28, 2026
- HNW RAUM · $523M to $624MMar 28, 2025 to Mar 28, 2026
- Individual RAUM · 7100000.0 to unsetMar 28, 2025 to Mar 28, 2026
- Non-discretionary RAUM · $141M to $157MMar 28, 2025 to Mar 28, 2026
- Pension RAUM · $12.9M to $13.9MMar 28, 2025 to Mar 28, 2026
- RAUM · $543M to $637MMar 28, 2025 to Mar 28, 2026
- Wrap assets (manager) · $543M to $637MMar 28, 2025 to Mar 28, 2026
- Accounts · 828 to 892Mar 27, 2024 to Mar 28, 2025
- HNW clients · 202 to 210Mar 27, 2024 to Mar 28, 2025
- Individual clients · 8 to 12Mar 27, 2024 to Mar 28, 2025
- Pension plan clients · 10 to 5Mar 27, 2024 to Mar 28, 2025
- Financial planning clients · 101-250 to 101-250Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $330M to $402MMar 27, 2024 to Mar 28, 2025
- HNW RAUM · $443M to $523MMar 27, 2024 to Mar 28, 2025
- Individual RAUM · $7.0M to $7.1MMar 27, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $135M to $141MMar 27, 2024 to Mar 28, 2025
- Pension RAUM · $14.5M to $12.9MMar 27, 2024 to Mar 28, 2025
- RAUM · $464M to $543MMar 27, 2024 to Mar 28, 2025
- Wrap assets (manager) · $464M to $543MMar 27, 2024 to Mar 28, 2025
- Accounts · 777 to 828Mar 27, 2023 to Mar 27, 2024
- HNW clients · 215 to 202Mar 27, 2023 to Mar 27, 2024
- Individual clients · 10 to 8Mar 27, 2023 to Mar 27, 2024
- Pension plan clients · 8 to 10Mar 27, 2023 to Mar 27, 2024
- Discretionary RAUM · $240M to $330MMar 27, 2023 to Mar 27, 2024
- HNW RAUM · $346M to $443MMar 27, 2023 to Mar 27, 2024
- Individual RAUM · $5.3M to $7.0MMar 27, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $123M to $135MMar 27, 2023 to Mar 27, 2024
- Pension RAUM · $12.1M to $14.5MMar 27, 2023 to Mar 27, 2024
- RAUM · $364M to $464MMar 27, 2023 to Mar 27, 2024
- Wrap assets (manager) · $364M to $464MMar 27, 2023 to Mar 27, 2024
- Accounts · 757 to 777Mar 30, 2022 to Mar 27, 2023
- HNW clients · 208 to 215Mar 30, 2022 to Mar 27, 2023
- Employees · 9 to 8Mar 30, 2022 to Mar 27, 2023
- Discretionary RAUM · $223M to $240MMar 30, 2022 to Mar 27, 2023
- HNW RAUM · $352M to $346MMar 30, 2022 to Mar 27, 2023
- Individual RAUM · $5.5M to $5.3MMar 30, 2022 to Mar 27, 2023
Signals
6 dated events
- R••••••• F•••••••• G••••• L••• no longer on the SEC adviser roster (last listed 2026-07-01, RAUM $637.4M)Aug 3, 2026 · Left the SEC roster · derived
- P•••• M•••••• M•••• left R••••••• F•••••••• G••••• L••• for C•••••• L•• (registered 2026-07-09)Jul 9, 2026 · Advisor changed firm · fact
- B•••• A•••••• P•••• left R••••••• F•••••••• G••••• L••• for C•••••• L•• (registered 2026-07-09)Jul 9, 2026 · Advisor changed firm · fact
- 2 advisors left R••••••• F•••••••• G••••• L••• (Wilmette, IL) for C•••••• L•• on the same dayJul 9, 2026 · Team lift-out · derived
- R••••••• F•••••••• G••••• L••• reported RAUM $464.1M, up 28% from $363.8M (2023-03-27 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- R••••••• F•••••••• G••••• L••• reported RAUM $336.0M, up 47% from $228.2M (2020-06-29 to 2021-03-30)Mar 30, 2021 · 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