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.
Former SEC-registered adviser
Landmark Capital Inc.
Latest filing Mar 26, 2024
First filing on the tape Jan 17, 2012 · 18 filings
RAUM
$1.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.7M as of Mar 26, 2024
Jan 17, 2012$39.9M then
HNW client RAUM$1.7M as of Mar 26, 2024
Feb 14, 2018$104M then
State-registered IARs (5.B.3)2 as of Mar 26, 2024
Jan 17, 20120 then
Employees (5.A)4 as of Mar 26, 2024
Feb 14, 20185 then
Private funds: no history
RAUM -99% over the last fiscal year-80% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 26, 2024; every figure names its basis
- RAUM per advisor
- $849,278derivedRAUM 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
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -99%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, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 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)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.7M100%
- Individual clients
- 0reported
- HNW clients
- n/areported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
- Thomas Christopher Reynolds to LPL Financial LLCApr 22, 2024 · RIA to affiliated broker-dealer or bank
- Kathleen Ann Gfrorer to LPL Financial LLCApr 22, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for LPL Financial LLCApr 22, 2024 · Oak Brook, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ann Kathleen Gfrorer · Vice Presidentcontrolsince 01/1997 · owns less than 5%
- Christopher Thomas Reynolds · President/Chief Compliance Officercontrolsince 01/1997 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Oak Brook, Il · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 313 to 1Feb 27, 2023 to Mar 26, 2024
- BD registered reps · 4 to 2Feb 27, 2023 to Mar 26, 2024
- Corporate clients · unset to 0.0Feb 27, 2023 to Mar 26, 2024
- HNW clients · 53.0 to unsetFeb 27, 2023 to Mar 26, 2024
- Individual clients · 86 to 0Feb 27, 2023 to Mar 26, 2024
- Pension plan clients · unset to 0.0Feb 27, 2023 to Mar 26, 2024
- Insurance-licensed employees · 0 to 2Feb 27, 2023 to Mar 26, 2024
- Financial planning clients · 51-100 to 1-10Feb 27, 2023 to Mar 26, 2024
- Discretionary RAUM · $254M to $1.7MFeb 27, 2023 to Mar 26, 2024
- HNW RAUM · $211M to $1.7MFeb 27, 2023 to Mar 26, 2024
- Individual RAUM · $29.8M to $0Feb 27, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $142,746 to $0Feb 27, 2023 to Mar 26, 2024
- Pension RAUM · $6.2M to $0Feb 27, 2023 to Mar 26, 2024
- RAUM · $254M to $1.7MFeb 27, 2023 to Mar 26, 2024
- Accounts · 298 to 313Mar 1, 2022 to Feb 27, 2023
- Advisory employees · 3 to 2Mar 1, 2022 to Feb 27, 2023
- BD registered reps · 5 to 4Mar 1, 2022 to Feb 27, 2023
- Individual clients · 77 to 86Mar 1, 2022 to Feb 27, 2023
- Employees · 5 to 4Mar 1, 2022 to Feb 27, 2023
- State-registered IARs · 3 to 2Mar 1, 2022 to Feb 27, 2023
- Discretionary RAUM · $269M to $254MMar 1, 2022 to Feb 27, 2023
- HNW RAUM · $227M to $211MMar 1, 2022 to Feb 27, 2023
- Individual RAUM · $27.4M to $29.8MMar 1, 2022 to Feb 27, 2023
- Non-discretionary RAUM · $171,200 to $142,746Mar 1, 2022 to Feb 27, 2023
- Pension RAUM · $7.7M to $6.2MMar 1, 2022 to Feb 27, 2023
- RAUM · $269M to $254MMar 1, 2022 to Feb 27, 2023
- Accounts · 264 to 298Feb 18, 2021 to Mar 1, 2022
- Corporate clients · 0.0 to unsetFeb 18, 2021 to Mar 1, 2022
- HNW clients · 49 to 53Feb 18, 2021 to Mar 1, 2022
- Individual clients · 72 to 77Feb 18, 2021 to Mar 1, 2022
- Discretionary RAUM · $213M to $269MFeb 18, 2021 to Mar 1, 2022
- HNW RAUM · $176M to $227MFeb 18, 2021 to Mar 1, 2022
- Individual RAUM · $24.3M to $27.4MFeb 18, 2021 to Mar 1, 2022
- Non-discretionary RAUM · $150,759 to $171,200Feb 18, 2021 to Mar 1, 2022
- Pension RAUM · $6.2M to $7.7MFeb 18, 2021 to Mar 1, 2022
- RAUM · $213M to $269MFeb 18, 2021 to Mar 1, 2022
- Accounts · 234 to 264Jun 22, 2020 to Feb 18, 2021
- Corporate clients · unset to 0.0Jun 22, 2020 to Feb 18, 2021
- HNW clients · 55 to 49Jun 22, 2020 to Feb 18, 2021
- Individual clients · 57 to 72Jun 22, 2020 to Feb 18, 2021
Signals
5 dated events
- Kathleen Ann Gfrorer left Landmark Capital Inc. for Lpl Financial Llc (registered 2023-03-24)Apr 22, 2024 · Advisor changed firm · fact
- Thomas Christopher Reynolds left Landmark Capital Inc. for Lpl Financial Llc (registered 2023-03-24)Apr 22, 2024 · Advisor changed firm · fact
- 2 advisors left Landmark Capital Inc. (Oak Brook, IL) for LPL Financial LLC on the same dayApr 22, 2024 · Team lift-out · derived
- Landmark Capital Inc. reported RAUM $1.7M, down 99% from $254.4M (2023-02-27 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- Landmark Capital Inc. filed its initial SEC registration (Form ADV)May 19, 2017 · First SEC registration · 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