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••••• A• M•••• • A••••••••• L•••

Former SEC-registered adviserCRD 122134SEC 801-68141IAPD
Latest filing Mar 8, 2016
First filing on the tape Dec 21, 2011 · 10 filings
RAUM
$181M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$181M as of Mar 8, 2016
Jan 28, 2012$113M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 8, 2016
Jan 28, 20120 then
Employees (5.A)1 as of Mar 8, 2016
Jan 30, 20131 then
Private funds: no history
RAUM -0.7% over the last fiscal year+10% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 8, 2016; every figure names its basis
RAUM per advisor
$181MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$171,465derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-0.7%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 feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,056reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M••••• R•••••• A•••••• · Chief Compliance Officer/Presidentcontrol
        since 06/1985 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Hoffman Estates, IL
      What changed
      consecutive filings, newest first
      • Accounts · 1,460 to 1,056
        Feb 12, 2015 to Mar 8, 2016
      • Discretionary RAUM · $165M to $169M
        Feb 12, 2015 to Mar 8, 2016
      • Non-discretionary RAUM · $17.4M to $11.8M
        Feb 12, 2015 to Mar 8, 2016
      • RAUM · $182M to $181M
        Feb 12, 2015 to Mar 8, 2016
      • Accounts · 1,171 to 1,460
        Jan 8, 2015 to Feb 12, 2015
      • Discretionary RAUM · $132M to $165M
        Jan 8, 2015 to Feb 12, 2015
      • Non-discretionary RAUM · $25.1M to $17.4M
        Jan 8, 2015 to Feb 12, 2015
      • RAUM · $157M to $182M
        Jan 8, 2015 to Feb 12, 2015
      • Accounts · 884 to 1,171
        Jan 30, 2013 to Jan 29, 2014
      • Discretionary RAUM · $108M to $132M
        Jan 30, 2013 to Jan 29, 2014
      • Non-discretionary RAUM · $25.8M to $25.1M
        Jan 30, 2013 to Jan 29, 2014
      • RAUM · $134M to $157M
        Jan 30, 2013 to Jan 29, 2014
      • Accounts · 823 to 884
        Jan 2, 2013 to Jan 30, 2013
      • Business name · R••••• A• M•••• • A••••••••• L•• to R••••• A• M•••• • A••••••••• L•••
        Jan 2, 2013 to Jan 30, 2013
      • Legal name · R••••• A• M•••• • A••••••••• L•• to R••••• A• M•••• • A••••••••• L•••
        Jan 2, 2013 to Jan 30, 2013
      • Discretionary RAUM · $79.4M to $108M
        Jan 2, 2013 to Jan 30, 2013
      • Non-discretionary RAUM · $33.6M to $25.8M
        Jan 2, 2013 to Jan 30, 2013
      • RAUM · $113M to $134M
        Jan 2, 2013 to Jan 30, 2013
      • Succession · true to false
        Jan 2, 2013 to Jan 30, 2013
      • Advisory employees · unset to 1.0
        Jan 28, 2012 to Jan 2, 2013
      • Employees · unset to 1.0
        Jan 28, 2012 to Jan 2, 2013
      • State-registered IARs · 0 to 1
        Jan 28, 2012 to Jan 2, 2013
      • Organization form · Limited Liability Company to Corporation
        Jan 28, 2012 to Jan 2, 2013
      • Succession · false to true
        Jan 28, 2012 to Jan 2, 2013
      • Accounts · 856 to 823
        Dec 21, 2011 to Jan 28, 2012
      • Discretionary RAUM · $77.1M to $79.4M
        Dec 21, 2011 to Jan 28, 2012
      • Non-discretionary RAUM · $32.4M to $33.6M
        Dec 21, 2011 to Jan 28, 2012
      • RAUM · $109M to $113M
        Dec 21, 2011 to Jan 28, 2012
      Signals
      1 dated events
      • R••••• A• M•••• • A••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jan 2, 2013 · Succession (Item 4) · 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