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
C•••••• C•••••• M••••••••• A•••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Apr 30, 2012 · 7 filings
SEC status approved since Jun 12, 2024
RAUM
$135M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$132M individuals and HNW
Advisors
20
registered through the firm on IAPD
RAUM per advisor
$6.8M
derived; firm RAUM over IAPD count
Employees
20
19 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$135M as of Mar 25, 2026
Apr 30, 2012$16.3M then
HNW client RAUM$51.9M as of Mar 25, 2026
Mar 27, 2025$80.3M then
State-registered IARs (5.B.3)19 as of Mar 25, 2026
Mar 27, 202515 then
Employees (5.A)20 as of Mar 25, 2026
Mar 27, 202518 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 15 to 19
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $6.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $960,537derivedHNW RAUM over HNW clients
- Average account
- $218,798derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 5.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +27%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- compensates non-employees for client referrals (8.G.2)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$80.5M60%
- High-net-worth individuals$51.9M38%
- Corporations and businesses$2.8M2.1%
- Individual clients
- 562reported
- HNW clients
- 54reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 618reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=13.0derived
Advisors registered through the firm
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• K•••••• O••••••••• | Lisle, Il | Apr 12, 2005 | 21 y | 1 |
| J•••• L••••• C•••••• | Lisle, Il | Sep 4, 2014 | 33 y | 1 |
| W•••••• C••• F••••••• | Chicago, Il | Jan 25, 2017 | 32 y | 0 |
| B••••••• R• P••••••• | Stevens Point, Wi | Jun 22, 2020 | 15 y | 2 |
| S••• B•••••••• | Lisle, Il | Jul 23, 2020 | 39 y | 4 |
| D•••• B•••••• L••••••• | Newport Beach, Ca | Jul 23, 2020 | 44 y | 5 |
| J••••• M•••••• S•••• | Laguna Niguel, Ca | Oct 27, 2020 | 13 y | 3 |
| E••• C•••••••• S••••••••Chartered Financial Consultant | Lisle, Il | Feb 15, 2022 | 43 y | 5 |
| S•••••• S•••••••• | Irvine, Ca | Sep 13, 2022 | 17 y | 6 |
| C•••• T••••••• H••••• | Dana Point, Ca | Mar 14, 2023 | 14 y | 2 |
| J•••• D•••• D••••• | Or;And Park, Il | Jul 12, 2023 | 38 y | 5 |
| R••••• R•••••• M•••••• | Lisle, Il | May 1, 2024 | 41 y | 1 |
| M•••••• D••••••• | Lisle, Il | Jan 1, 2025 | 14 y | 3 |
| J•••• B•••••• L••••••• | Lisle, Il | Jun 4, 2025 | 45 y | 2 |
| J•••• B•••• V•••••• | Los Angeles, Ca | Dec 22, 2025 | 24 y | 8 |
| G••• A•••• C•••• | Hagerstown, Md | Jun 16, 2026 | 30 y | 5 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- J•••• B•••• V•••••• to M••••••••• C••••••• L••Jan 30, 2025 · RIA to RIA
- E••• M• F•••• to C•••••• C•••••• P•••••••Jan 2, 2024 · Other
- L••••• M••••• B••••• to A••••••• T•••• I••••••••• S••••••• A•••••••• I•••Jan 27, 2023 · Other
- J•••• R••••• B••••• to A••••••• T•••• I••••••••• S•••••••• I•••Aug 14, 2020 · Other
- K•••••• R•••••• S••••••• to A••••••• T•••• I••••••••• S•••••••• I•••Aug 27, 2018 · Other
- J•••• T•••• W••• to A••••••• T•••• I••••••••• S•••••••• I•••Sep 1, 2017 · Other
- C••••• B•••• M••••••• to S•• I••••••••• I•••Nov 12, 2013 · Other
- M•••••• D•••• S••••• to S•••••• L••••• • A••••••••• I•••Oct 17, 2012 · Other
- T••••• J•••• K••••• to L•••••• S•• I••••••••• A•••••••• L•••••Nov 15, 2011 · Other
- B•••• G••• V••••••• to L•••••• S•• I••••••••• A•••••••• L•••••Nov 17, 2008 · Other
Joined, latest
- G••• A•••• C•••• from S••• F•••••••• L••Jun 16, 2026 · Other
- J•••• B•••• V•••••• from M••••••••• C••••••• L••Dec 22, 2025 · RIA to RIA
- J•••• B•••••• L••••••• from W•••• F•••• A•••••••Jun 4, 2025 · Wirehouse to independent RIA
- M•••••• D••••••• from D•••• I••••••••• M••••••••• L••Jan 1, 2025 · RIA to RIA
- R••••• R•••••• M•••••• from C•••• C•••••• S••••••••• L•••May 1, 2024 · Other
- R•••• E••••• H•••• from A•••• S••••••••• I••Nov 16, 2023 · Other
- J•••• D•••• D••••• from A••••••• T•••• I••••••••• S••••••• A•••••••• I•••Jul 12, 2023 · Other
- E••• M• F•••• from A••••••• T•••• I••••••••• S••••••• A•••••••• I•••Jul 10, 2023 · Other
- C•••• T••••••• H••••• from O••••••••• • C•• I•••Mar 14, 2023 · Other
- S•••••• S•••••••• from D•••• I••••••••• M••••••••• L••Sep 13, 2022 · Other
- E••• C•••••••• S•••••••• from A••••••• F•••••••• A•••••••• I•••Feb 15, 2022 · Other
- J•••• B•••• V•••••• from D•••• I••••••••• M••••••••• L••Jan 7, 2022 · Other
- J••••• M•••••• S•••• from W••••••• C••••••• I•••Oct 27, 2020 · Other
- K••••••••• C•••••• K•••••• from W••••••• C••••••• I•••Oct 13, 2020 · Other
- D•••• B•••••• L••••••• from W••••••• C••••••• I•••Jul 23, 2020 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from D•••• I••••••••• M••••••••• L••Dec 31, 2021 · Los Angeles, Ca
- 2 joined from W••••••• C••••••• I•••Apr 28, 2020 · Irvine, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• M••••••• R••••• · Presidentcontrolsince 10/2002 · owns 10% to 25%
- K••••••• K••••••••• C•••••• · Vice Presidentcontrolsince 10/2022 · owns 10% to 25%
- O••••••••• D•••••• P•••••• · Chief Compliance Officercontrolsince 10/2011 · owns 10% to 25%
- G••••• M••••••• R••••• · Shareholder-Officer Of Holding Company And Advisorycontrolsince 09/2022 · owns 25% to 50% of L•• H•••••••• I•••
- G••••• M••••••• R••••• · Shareholdercontrolsince 10/2023 · owns 25% to 50% of C•••••• C•••••• I••••••••• G••••• I••
- K••••••• K••••••••• C•••••• · Shareholdercontrolsince 10/2023 · owns 25% to 50% of C•••••• C•••••• I••••••••• G••••• I••
- K••••••• K••••••••• C•••••• · Officer Of Holding Company And Advisorycontrolsince 09/2022 · owns F of L•• H•••••••• I•••
- O••••••••• D•••••• P•••••• · Shareholdercontrolsince 10/2023 · owns 25% to 50% of C•••••• C•••••• I••••••••• G••••• I••
- O••••••••• D•••••• P•••••• · Officer Of Holding Company And Advisorycontrolsince 09/2022 · owns F of L•• H•••••••• I•••
- O••••••••• R••••• K•••••• · Shareholdercontrolsince 10/2022 · owns 25% to 50% of L•• H•••••••• I•••
Entity owners
- C•••••• C•••••• I••••••••• G••••• I•• · Holding Companydirect · owns 50% to 75%
- L•• H•••••••• I••• · Holding Companydirect · owns 25% to 50%
Related persons
Schedule D 7.A
- A••••••• T•••• I•••••••• G••••• I•••real estatey
- A••••••• T•••• I••••••••• S••••••• A•••••••• I•••investment adviseryRAUM $5.5M
- A••••••• T•••• I••••••••• S•••••••• I•••broker-dealerinvestment adviserreal estaten
- A•••• S••••••••• I••investment advisernRAUM $59.7M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lisle, Il · principal | 20 | 2 | 0 | ||
| C••••••, Il | 2 | 0 | 0 | ||
| Irvine, Ca | 2 | 0 | 0 | ||
| Los Angeles, Ca | 2 | 1 | 0 | ||
| Los Angelos, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- C••••••, IL6 employees
- Los Angeles, CA2 employees
- San Clemente, CA1 employees
- Stevens Point, WI1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 25, 2026HNW share of RAUM moved from 66.0% to 38.0% between the annual amendments of 2025-03-27 and 2026-03-25peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 560 to 618Mar 27, 2025 to Mar 25, 2026
- Advisory employees · 16 to 19Mar 27, 2025 to Mar 25, 2026
- Corporate clients · 3 to 4Mar 27, 2025 to Mar 25, 2026
- HNW clients · 168 to 54Mar 27, 2025 to Mar 25, 2026
- Individual clients · 389 to 562Mar 27, 2025 to Mar 25, 2026
- Employees · 18 to 20Mar 27, 2025 to Mar 25, 2026
- Insurance-licensed employees · 15 to 7Mar 27, 2025 to Mar 25, 2026
- State-registered IARs · 15 to 19Mar 27, 2025 to Mar 25, 2026
- Discretionary RAUM · $113M to $135MMar 27, 2025 to Mar 25, 2026
- HNW RAUM · $80.3M to $51.9MMar 27, 2025 to Mar 25, 2026
- Individual RAUM · $41.7M to $80.5MMar 27, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $9.6M to $0Mar 27, 2025 to Mar 25, 2026
- RAUM · $122M to $135MMar 27, 2025 to Mar 25, 2026
- Accounts · 529 to 560Aug 20, 2024 to Mar 27, 2025
- Advisory employees · 15 to 16Aug 20, 2024 to Mar 27, 2025
- Corporate clients · unset to 3.0Aug 20, 2024 to Mar 27, 2025
- Individual clients · 361 to 389Aug 20, 2024 to Mar 27, 2025
- Employees · 17 to 18Aug 20, 2024 to Mar 27, 2025
- Financial planning clients · 1-10 to 1-10Aug 20, 2024 to Mar 27, 2025
- State-registered IARs · 16 to 15Aug 20, 2024 to Mar 27, 2025
- Other offices · 4 to 3Aug 20, 2024 to Mar 27, 2025
- Discretionary RAUM · $106M to $113MAug 20, 2024 to Mar 27, 2025
- HNW RAUM · $60.2M to $80.3MAug 20, 2024 to Mar 27, 2025
- Individual RAUM · $50.0M to $41.7MAug 20, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $4.1M to $9.6MAug 20, 2024 to Mar 27, 2025
- RAUM · $110M to $122MAug 20, 2024 to Mar 27, 2025
- Accounts · 70 to 529May 1, 2012 to May 8, 2024
- Advisory employees · unset to 15.0May 1, 2012 to May 8, 2024
- Advisory activities · 1 to 4May 1, 2012 to May 8, 2024
- BD registered reps · unset to 13.0May 1, 2012 to May 8, 2024
- HNW clients · unset to 168.0May 1, 2012 to May 8, 2024
- Individual clients · unset to 361.0May 1, 2012 to May 8, 2024
- Employees · unset to 17.0May 1, 2012 to May 8, 2024
- Insurance-licensed employees · 1 to 15May 1, 2012 to May 8, 2024
- Financial planning clients · 0 to 1-10May 1, 2012 to May 8, 2024
- State-registered IARs · unset to 16.0May 1, 2012 to May 8, 2024
- Other offices · unset to 4.0May 1, 2012 to May 8, 2024
- Discretionary RAUM · $16.3M to $106MMay 1, 2012 to May 8, 2024
- HNW RAUM · unset to 60237002.0May 1, 2012 to May 8, 2024
- Individual RAUM · unset to 50000990.0May 1, 2012 to May 8, 2024
Signals
6 dated events
- J•••• B•••• V•••••• left C•••••• C•••••• M••••••••• A•••••••• L•• for M••••••••• C••••••• L•• (registered 2025-01-14)Jan 30, 2025 · Advisor changed firm · fact
- Kennedy Robyn O'Halloran (Shareholder) appeared on Schedule A of C•••••• C•••••• M••••••••• A•••••••• L••May 8, 2024 · Control person joined · fact
- Charles Kristopher Kessler (Officer Of Holding Company And Advisory) appeared on Schedule A of C•••••• C•••••• M••••••••• A•••••••• L••May 8, 2024 · Control person joined · fact
- C•••••• C•••••• M••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)May 8, 2024 · First SEC registration · fact
- E••• M• F•••• left C•••••• C•••••• M••••••••• A•••••••• L•• for C•••••• C•••••• P••••••• (registered 2025-05-13)Jan 2, 2024 · Advisor changed firm · fact
- L••••• M••••• B••••• left C•••••• C•••••• M••••••••• A•••••••• L•• for A••••••• T•••• I••••••••• S••••••• A•••••••• I••• (registered 2020-03-25)Jan 27, 2023 · Advisor changed firm · 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
- 630-241-1122reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 630-241-1122reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- chicagomanagement.com/contactreportedpublished 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
- $6.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026