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

G•• F•••••••• A•••••••• I•••

Former SEC-registered adviserLake Forest, IllinoisCRD 123031SEC 801-70834IAPD
Latest filing Aug 18, 2020
First filing on the tape Jan 30, 2012 · 23 filings
RAUM
$183M
reported, Item 5.F
Discretionary
39%
of RAUM
Private clients
98%
$178M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$183M as of Mar 12, 2020
Jan 30, 2012$103M then
HNW client RAUM$124M as of Mar 12, 2020
Mar 2, 2018$115M then
State-registered IARs (5.B.3)2 as of Mar 12, 2020
Jan 30, 20120 then
Employees (5.A)3 as of Mar 12, 2020
Mar 27, 20135 then
Private funds: no history
RAUM +13% over the last fiscal year+9.2% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Aug 18, 2020; every figure names its basis
RAUM per advisor
$183MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
229derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$371,999derivedRAUM over accounts (5.F.2.f)
Discretionary
39%derivedof RAUM
Institutional
2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+17%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$124M68%
  • Individuals$54.0M30%
  • Charitable organizations$4.2M2.3%
Individual clients
180reported
HNW clients
49reported
Pension plan clients
0reported
Charitable clients
2reported
Accounts
491reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M••••••• S••••• R••••••• · Presidentcontrol
    since 06/2010 · 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
  • Advisory employees · 2 to 1
    Jun 4, 2020 to Aug 18, 2020
  • Employees · 3 to 2
    Jun 4, 2020 to Aug 18, 2020
  • State-registered IARs · 2 to 1
    Jun 4, 2020 to Aug 18, 2020
  • Accounts · 455 to 491
    Sep 23, 2019 to Mar 12, 2020
  • HNW clients · 47 to 49
    Sep 23, 2019 to Mar 12, 2020
  • Individual clients · 149 to 180
    Sep 23, 2019 to Mar 12, 2020
  • Employees · 4 to 3
    Sep 23, 2019 to Mar 12, 2020
  • Discretionary RAUM · $68.3M to $70.8M
    Sep 23, 2019 to Mar 12, 2020
  • HNW RAUM · $107M to $124M
    Sep 23, 2019 to Mar 12, 2020
  • Individual RAUM · $50.9M to $54.0M
    Sep 23, 2019 to Mar 12, 2020
  • Non-discretionary RAUM · $93.7M to $112M
    Sep 23, 2019 to Mar 12, 2020
  • RAUM · $162M to $183M
    Sep 23, 2019 to Mar 12, 2020
  • BD registered reps · 3 to 2
    Jan 25, 2019 to Sep 23, 2019
  • Employees · 5 to 4
    Jan 25, 2019 to Sep 23, 2019
  • Accounts · 493 to 455
    Mar 2, 2018 to Jan 25, 2019
  • HNW clients · 46 to 47
    Mar 2, 2018 to Jan 25, 2019
  • Individual clients · 140 to 149
    Mar 2, 2018 to Jan 25, 2019
  • Pension plan clients · 2 to 0
    Mar 2, 2018 to Jan 25, 2019
  • Discretionary RAUM · $102M to $68.3M
    Mar 2, 2018 to Jan 25, 2019
  • HNW RAUM · $115M to $107M
    Mar 2, 2018 to Jan 25, 2019
  • Individual RAUM · $47.4M to $50.9M
    Mar 2, 2018 to Jan 25, 2019
  • Non-discretionary RAUM · $68.8M to $93.7M
    Mar 2, 2018 to Jan 25, 2019
  • Pension RAUM · $4.1M to $0
    Mar 2, 2018 to Jan 25, 2019
  • RAUM · $171M to $162M
    Mar 2, 2018 to Jan 25, 2019
  • Accounts · 498 to 493
    Dec 22, 2017 to Mar 2, 2018
  • Advisory activities · 3 to 4
    Dec 22, 2017 to Mar 2, 2018
  • Corporate clients · 1 to 0
    Dec 22, 2017 to Mar 2, 2018
  • HNW clients · 38 to 46
    Dec 22, 2017 to Mar 2, 2018
  • Individual clients · 133 to 140
    Dec 22, 2017 to Mar 2, 2018
  • Pension plan clients · 0 to 2
    Dec 22, 2017 to Mar 2, 2018
  • Insurance-licensed employees · 3 to 2
    Dec 22, 2017 to Mar 2, 2018
  • Discretionary RAUM · $79.0M to $102M
    Dec 22, 2017 to Mar 2, 2018
  • HNW RAUM · $112M to $115M
    Dec 22, 2017 to Mar 2, 2018
  • Individual RAUM · $53.4M to $47.4M
    Dec 22, 2017 to Mar 2, 2018
  • Non-discretionary RAUM · $91.2M to $68.8M
    Dec 22, 2017 to Mar 2, 2018
  • Pension RAUM · $0 to $4.1M
    Dec 22, 2017 to Mar 2, 2018
  • RAUM · $170M to $171M
    Dec 22, 2017 to Mar 2, 2018
  • Accounts · 368 to 498
    May 24, 2017 to Dec 22, 2017
  • Advisory employees · 3 to 2
    May 24, 2017 to Dec 22, 2017
  • Charity clients · unset to 2.0
    May 24, 2017 to Dec 22, 2017
Signals
No event on the tape.
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