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
S••••• I••••••••• A•••••••• I•••
Latest filing Feb 4, 2026
First filing on the tape Feb 5, 2022 · 11 filings
SEC status approved since Mar 10, 2022
RAUM
$163M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
93%
$151M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$54.2M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$163M as of Feb 4, 2026
Jan 23, 2023$116M then
HNW client RAUM$92.0M as of Feb 4, 2026
Jan 23, 2023$63.2M then
State-registered IARs (5.B.3)1 as of Feb 4, 2026
Jan 23, 20233 then
Employees (5.A)3 as of Feb 4, 2026
Jan 23, 20234 then
Private funds: no history
RAUM +13% over the last fiscal year+12% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Feb 4, 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
- RAUM per advisor
- $54.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $370,219derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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$92.0M60%
- Individuals$59.2M38%
- Pension and profit-sharing plans$2.6M1.7%
- Corporations and businesses$260,5330.2%
- Charitable organizations$87,0550.1%
- Individual clients
- 210reported
- HNW clients
- 67reported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 439reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $3.5M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••• D••••• C•••••• | Homewood, Il | Feb 24, 2006 | 30 y | 0 |
| M•••••• D••• C•••••• | Homewood, Il | Jun 16, 2022 | 13 y | 0 |
| M•••••• J••• D••••• | Homewood, Il | Jan 22, 2026 | 16 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
- C••••••• L•••• D••••• · President And Ccocontrolsince 12/2003 · owns 75% or more
Related persons
Schedule D 7.A
- L••• C••••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Homewood, Il · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Palos Heights, IL1 employees
What changed
consecutive filings, newest first
- Accounts · 442 to 439Jan 25, 2025 to Feb 4, 2026
- Advisory employees · 2 to 3Jan 25, 2025 to Feb 4, 2026
- BD registered reps · 2 to 3Jan 25, 2025 to Feb 4, 2026
- HNW clients · 62 to 67Jan 25, 2025 to Feb 4, 2026
- Individual clients · 224 to 210Jan 25, 2025 to Feb 4, 2026
- Employees · 5 to 3Jan 25, 2025 to Feb 4, 2026
- Insurance-licensed employees · 1 to 0Jan 25, 2025 to Feb 4, 2026
- Financial planning clients · 1-10 to 0Jan 25, 2025 to Feb 4, 2026
- State-registered IARs · 2 to 1Jan 25, 2025 to Feb 4, 2026
- Discretionary RAUM · $134M to $152MJan 25, 2025 to Feb 4, 2026
- HNW RAUM · $83.5M to $92.0MJan 25, 2025 to Feb 4, 2026
- Individual RAUM · $58.4M to $59.2MJan 25, 2025 to Feb 4, 2026
- Non-discretionary RAUM · $9.6M to $10.5MJan 25, 2025 to Feb 4, 2026
- Pension RAUM · $1.8M to $2.6MJan 25, 2025 to Feb 4, 2026
- RAUM · $144M to $163MJan 25, 2025 to Feb 4, 2026
- Advisory employees · 3 to 2Oct 21, 2024 to Jan 25, 2025
- BD registered reps · 3 to 2Oct 21, 2024 to Jan 25, 2025
- HNW clients · 52 to 62Oct 21, 2024 to Jan 25, 2025
- Individual clients · 240 to 224Oct 21, 2024 to Jan 25, 2025
- Pension plan clients · 6 to 10Oct 21, 2024 to Jan 25, 2025
- Employees · 6 to 5Oct 21, 2024 to Jan 25, 2025
- Financial planning clients · 1-10 to 1-10Oct 21, 2024 to Jan 25, 2025
- State-registered IARs · 3 to 2Oct 21, 2024 to Jan 25, 2025
- Discretionary RAUM · $123M to $134MOct 21, 2024 to Jan 25, 2025
- HNW RAUM · $70.4M to $83.5MOct 21, 2024 to Jan 25, 2025
- Individual RAUM · $59.2M to $58.4MOct 21, 2024 to Jan 25, 2025
- Non-discretionary RAUM · $8.7M to $9.6MOct 21, 2024 to Jan 25, 2025
- Pension RAUM · $1.4M to $1.8MOct 21, 2024 to Jan 25, 2025
- RAUM · $131M to $144MOct 21, 2024 to Jan 25, 2025
- Wrap assets (manager) · $3.0M to $3.5MOct 21, 2024 to Jan 25, 2025
- Wrap assets (manager) · unset to 2975115.0Jan 22, 2024 to Mar 20, 2024
- Wrap assets (sponsor) · unset to 0.0Jan 22, 2024 to Mar 20, 2024
- Accounts · 448 to 442Aug 14, 2023 to Jan 22, 2024
- Advisory employees · 2 to 3Aug 14, 2023 to Jan 22, 2024
- Individual clients · 244 to 240Aug 14, 2023 to Jan 22, 2024
- Pension plan clients · 8 to 6Aug 14, 2023 to Jan 22, 2024
- Employees · 4 to 6Aug 14, 2023 to Jan 22, 2024
- Insurance-licensed employees · 2 to 1Aug 14, 2023 to Jan 22, 2024
- Discretionary RAUM · $109M to $123MAug 14, 2023 to Jan 22, 2024
- HNW RAUM · $63.2M to $70.4MAug 14, 2023 to Jan 22, 2024
Signals
1 dated events
- S••••• I••••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Feb 5, 2022 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 708-799-4976reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 708-799-7477reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-799-6017reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S•••••ADVISERS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 708-799-7477reportedpublic record, Form ADV, Feb 4, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $54.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026