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

B•••• • A••••••••• I•••

Former SEC-registered adviserChicago, IllinoisCRD 120754SEC 801-110324IAPD
Latest filing Apr 18, 2019
First filing on the tape Mar 30, 2017 · 6 filings
RAUM
$180M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$180M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$180M as of Mar 29, 2019
Mar 30, 2018$178M then
HNW client RAUM$68.4M as of Mar 29, 2019
Mar 30, 2018$66.5M then
State-registered IARs (5.B.3)3 as of Mar 29, 2019
Mar 30, 20183 then
Employees (5.A)8 as of Mar 29, 2019
Mar 30, 20188 then
Private funds: no history
RAUM +1.6% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Apr 18, 2019; every figure names its basis
RAUM per advisor
$60.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
171derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$212,235derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+1.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+33%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 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
  • Individuals$112M62%
  • High-net-worth individuals$68.4M38%
Individual clients
460reported
HNW clients
52reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
850reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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••••• W••••••• J••••• · President / Chief Compliance Officercontrol
      since 12/1995 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 663 to 850
      Aug 17, 2018 to Mar 29, 2019
    • HNW clients · 53 to 52
      Aug 17, 2018 to Mar 29, 2019
    • Individual clients · 332 to 460
      Aug 17, 2018 to Mar 29, 2019
    • Discretionary RAUM · $178M to $180M
      Aug 17, 2018 to Mar 29, 2019
    • HNW RAUM · $66.5M to $68.4M
      Aug 17, 2018 to Mar 29, 2019
    • Individual RAUM · $111M to $112M
      Aug 17, 2018 to Mar 29, 2019
    • RAUM · $178M to $180M
      Aug 17, 2018 to Mar 29, 2019
    • Accounts · 470 to 663
      Jul 18, 2017 to Mar 30, 2018
    • Advisory activities · 3 to 2
      Jul 18, 2017 to Mar 30, 2018
    • HNW clients · unset to 53.0
      Jul 18, 2017 to Mar 30, 2018
    • Individual clients · unset to 332.0
      Jul 18, 2017 to Mar 30, 2018
    • Other offices · unset to 0.0
      Jul 18, 2017 to Mar 30, 2018
    • Discretionary RAUM · $121M to $178M
      Jul 18, 2017 to Mar 30, 2018
    • HNW RAUM · unset to 66500000.0
      Jul 18, 2017 to Mar 30, 2018
    • Individual RAUM · unset to 111000000.0
      Jul 18, 2017 to Mar 30, 2018
    • RAUM · $121M to $178M
      Jul 18, 2017 to Mar 30, 2018
    • Wrap assets (manager) · unset to 0.0
      Jul 18, 2017 to Mar 30, 2018
    • Wrap assets (sponsor) · unset to 0.0
      Jul 18, 2017 to Mar 30, 2018
    Signals
    1 dated events
    • B•••• • A••••••••• I••• filed its initial SEC registration (Form ADV)
      Mar 30, 2017 · First SEC registration · fact
    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