DFX Intelligence
RIA Intelligence
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Latest filing Mar 17, 2026
First filing on the tape Mar 23, 2012 · 17 filings
SEC status approved since Aug 19, 2002
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$0 as of Mar 17, 2026
Mar 26, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2026
Mar 23, 20120 then
Employees (5.A)5 as of Mar 17, 2026
Feb 27, 20136 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0offices 2 to 3
Practice profile
derived from the filing of Mar 17, 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
- unknownderivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- 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
- 0reported
- Pension plan clients
- 107reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- 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
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••••• G••••• L•••••• · Chief Compliance Officercontrolsince 08/2021 · owns less than 5%
- G•••••••• Y••••• · Executive Vice President And Director Of Operationscontrolsince 06/2002 · owns less than 5%
- R••••••••• C••••• M•••••• · President And Managercontrolsince 06/2002 · owns less than 5%
- R••••••••• C••••• M•••••• · Shareholdercontrolsince 01/2004 · owns 75% or more of P•••••••• P••• H•••••••• I•••
Entity owners
- P•••••••• P••• H•••••••• I••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 6 to 5Mar 26, 2025 to Mar 17, 2026
- Pension plan clients · 117 to 107Mar 26, 2025 to Mar 17, 2026
- Employees · 6 to 5Mar 26, 2025 to Mar 17, 2026
- Other offices · 2 to 3Mar 26, 2025 to Mar 17, 2026
- Accounts · unset to 0.0Mar 19, 2024 to Mar 26, 2025
- Advisory employees · 5 to 6Mar 19, 2024 to Mar 26, 2025
- Pension plan clients · 122 to 117Mar 19, 2024 to Mar 26, 2025
- Employees · 5 to 6Mar 19, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 19, 2024 to Mar 26, 2025
- HQ city · unset to Mar 19, 2024 to Mar 26, 2025
- HQ state · unset to Mar 19, 2024 to Mar 26, 2025
- Other offices · 3 to 2Mar 19, 2024 to Mar 26, 2025
- Discretionary RAUM · unset to 0.0Mar 19, 2024 to Mar 26, 2025
- Non-discretionary RAUM · unset to 0.0Mar 19, 2024 to Mar 26, 2025
- RAUM · unset to 0.0Mar 19, 2024 to Mar 26, 2025
- Pension plan clients · 124 to 122Mar 2, 2023 to Mar 19, 2024
- Pension plan clients · 128 to 124Mar 4, 2022 to Mar 2, 2023
- Pension plan clients · 136 to 128Mar 18, 2020 to Mar 22, 2021
- Pension plan clients · 131 to 136Mar 26, 2019 to Mar 18, 2020
- Other offices · 2 to 3Mar 26, 2019 to Mar 18, 2020
- Pension plan clients · 135 to 131Feb 27, 2018 to Mar 26, 2019
- Charity clients · unset to 0.0Mar 13, 2017 to Feb 27, 2018
- Corporate clients · unset to 0.0Mar 13, 2017 to Feb 27, 2018
- HNW clients · unset to 0.0Mar 13, 2017 to Feb 27, 2018
- Individual clients · unset to 0.0Mar 13, 2017 to Feb 27, 2018
- Pension plan clients · unset to 135.0Mar 13, 2017 to Feb 27, 2018
- Pooled vehicle clients · unset to 0.0Mar 13, 2017 to Feb 27, 2018
- Other offices · unset to 2.0Mar 13, 2017 to Feb 27, 2018
- Pension RAUM · unset to 0.0Mar 13, 2017 to Feb 27, 2018
- Advisory employees · 4 to 5Mar 9, 2015 to Mar 25, 2016
- Employees · 6 to 5Mar 9, 2015 to Mar 25, 2016
- HQ city · NORTHBROOK to unsetFeb 27, 2013 to Aug 5, 2013
- HQ state · IL to unsetFeb 27, 2013 to Aug 5, 2013
- Advisory employees · unset to 4.0Mar 23, 2012 to Feb 27, 2013
- Employees · unset to 6.0Mar 23, 2012 to Feb 27, 2013
Signals
1 dated events
- L•••••• G•••• E•••••• (Chief Compliance Officer) appeared on Schedule A of P•••••••• P•••• L••Aug 26, 2021 · Control person joined · 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
- Website
- P••••••••P•••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 847-525-8472reportedpublic record, Form ADV, Mar 17, 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