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
I••••••••• C••••••••• S•••••••• L••
Latest filing Feb 6, 2026
First filing on the tape Dec 21, 2011 · 28 filings
SEC status approved since Aug 29, 2002
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
n/a
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
28 filings and snapshots on the tape
RAUM$0 as of Feb 6, 2026
Mar 20, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Feb 6, 2026
Mar 26, 20120 then
Employees (5.A)3 as of Feb 6, 2026
Mar 27, 20136 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Feb 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $0derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 3derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 6reported
- Pension plan clients
- 30reported
- Charitable clients
- 1reported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• C••••••••Chartered Financial Analyst | Lombard, Il | Jun 25, 2024 | 20 y | 0 |
| J•••• L•• T••••• | Shawnee, Ks | Jul 16, 2024 | 27 y | 4 |
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
- J•••• L•• T••••• from E•••••• A••••••• G••••• L••Jul 16, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• E••• · Partnercontrolsince 01/2021 · owns 50% to 75%
- U•••• J••••• M• · Chief Compliance Officer/Partnercontrolsince 01/2021 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Feb 6, 2026financial planning (Item 5.G.1): yes on the filing of 2025-11-18, no on the filing of 2026-02-06peers: other advisers, under $100M (671)
What changed
consecutive filings, newest first
- Charity clients · 0 to 1Nov 18, 2025 to Feb 6, 2026
- HNW clients · 0 to 6Nov 18, 2025 to Feb 6, 2026
- Pension plan clients · 24 to 30Nov 18, 2025 to Feb 6, 2026
- Financial planning clients · 51-100 to 0Nov 18, 2025 to Feb 6, 2026
- HQ city · OAK BROOK to LOMBARDMar 20, 2025 to Aug 25, 2025
- Financial planning clients · 0 to 51-100Oct 3, 2024 to Mar 20, 2025
- Accounts · unset to 0.0Aug 12, 2024 to Oct 3, 2024
- Advisory employees · 0 to 3Aug 12, 2024 to Oct 3, 2024
- Advisory activities · 1 to 3Aug 12, 2024 to Oct 3, 2024
- State-registered IARs · 0 to 3Aug 12, 2024 to Oct 3, 2024
- Discretionary RAUM · unset to 0.0Aug 12, 2024 to Oct 3, 2024
- Non-discretionary RAUM · unset to 0.0Aug 12, 2024 to Oct 3, 2024
- RAUM · unset to 0.0Aug 12, 2024 to Oct 3, 2024
- Employees · 6 to 3Mar 8, 2023 to Mar 26, 2024
- Pension plan clients · 14 to 24Jul 17, 2019 to Mar 20, 2020
- Charity clients · unset to 0.0Nov 3, 2017 to Mar 23, 2018
- Corporate clients · unset to 0.0Nov 3, 2017 to Mar 23, 2018
- HNW clients · unset to 0.0Nov 3, 2017 to Mar 23, 2018
- Individual clients · unset to 0.0Nov 3, 2017 to Mar 23, 2018
- Pension plan clients · unset to 14.0Nov 3, 2017 to Mar 23, 2018
- Pooled vehicle clients · unset to 0.0Nov 3, 2017 to Mar 23, 2018
- Other offices · unset to 0.0Mar 17, 2017 to Nov 3, 2017
- Advisory employees · unset to 0.0Mar 26, 2012 to Mar 27, 2013
- Employees · unset to 6.0Mar 26, 2012 to Mar 27, 2013
Signals
2 dated events
- Jean Sandra Wendling (Founding Partner) no longer on Schedule A of I••••••••• C••••••••• S•••••••• L•• (listed 2021-08-17, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Scott Gregory Gosney (Senior Partner) no longer on Schedule A of I••••••••• C••••••••• S•••••••• L•• (listed 2021-08-17, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 630-928-1052reportedpublic record, Form ADV, Feb 6, 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
- No RAUM reportedderiveda 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