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

D• F•••••••• C••••••••• L••

Former SEC-registered adviserDowners Grove, IllinoisCRD 123600SEC 801-79401IAPD
Latest filing Mar 22, 2018
First filing on the tape Dec 16, 2011 · 19 filings
RAUM
$270M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$270M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$270M as of Mar 16, 2018
Mar 13, 2015$126M then
HNW client RAUM: $233M
State-registered IARs (5.B.3)5 as of Mar 16, 2018
Mar 13, 20155 then
Employees (5.A)9 as of Mar 16, 2018
Mar 13, 20157 then
Private funds: no history
RAUM +29% over the last fiscal year+29% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 22, 2018; every figure names its basis
RAUM per advisor
$54.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
37derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
1.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+29%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
Custody
$40.8M, 84 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$233M86%
  • Individuals$37.0M14%
Individual clients
76reported
HNW clients
108reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
184reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$40.8M for 84 clientsreported
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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • D•••••• D•••••• D•••• · Managing Membercontrol
      since 08/1997 · owns 75% or more
    • G••••••••• A•••• J•••••• · Financial Counselor
      since 01/2015 · owns 10% to 25%
    • M•••••• M••••••• N••• · Chief Compliance Officer
      since 07/2010 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Chicago, IL4 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Other offices · 1 to 2
      Mar 16, 2018 to Mar 22, 2018
    • Accounts · 178 to 184
      Dec 14, 2017 to Mar 16, 2018
    • HNW clients · unset to 108.0
      Dec 14, 2017 to Mar 16, 2018
    • Individual clients · unset to 76.0
      Dec 14, 2017 to Mar 16, 2018
    • Assets in custody · $31.2M to $40.8M
      Dec 14, 2017 to Mar 16, 2018
    • Other offices · 2 to 1
      Dec 14, 2017 to Mar 16, 2018
    • Discretionary RAUM · $258M to $270M
      Dec 14, 2017 to Mar 16, 2018
    • HNW RAUM · unset to 233000000.0
      Dec 14, 2017 to Mar 16, 2018
    • Individual RAUM · unset to 37000000.0
      Dec 14, 2017 to Mar 16, 2018
    • RAUM · $258M to $270M
      Dec 14, 2017 to Mar 16, 2018
    • Accounts · 159 to 178
      Apr 18, 2017 to Dec 14, 2017
    • Other offices · unset to 2.0
      Apr 18, 2017 to Dec 14, 2017
    • Discretionary RAUM · $210M to $258M
      Apr 18, 2017 to Dec 14, 2017
    • RAUM · $210M to $258M
      Apr 18, 2017 to Dec 14, 2017
    • Accounts · 142 to 159
      Oct 6, 2016 to Mar 23, 2017
    • Advisory employees · 4 to 5
      Oct 6, 2016 to Mar 23, 2017
    • Assets in custody · $19.0M to $31.2M
      Oct 6, 2016 to Mar 23, 2017
    • Discretionary RAUM · $174M to $210M
      Oct 6, 2016 to Mar 23, 2017
    • RAUM · $174M to $210M
      Oct 6, 2016 to Mar 23, 2017
    • Accounts · 130 to 142
      Mar 23, 2016 to Oct 6, 2016
    • Discretionary RAUM · $144M to $174M
      Mar 23, 2016 to Oct 6, 2016
    • RAUM · $144M to $174M
      Mar 23, 2016 to Oct 6, 2016
    • Accounts · 123 to 130
      Dec 3, 2015 to Mar 23, 2016
    • Assets in custody · unset to 19000000.0
      Dec 3, 2015 to Mar 23, 2016
    • Custody of client assets · false to true
      Dec 3, 2015 to Mar 23, 2016
    • Employees · 8 to 9
      Dec 3, 2015 to Mar 23, 2016
    • Discretionary RAUM · $140M to $144M
      Dec 3, 2015 to Mar 23, 2016
    • RAUM · $140M to $144M
      Dec 3, 2015 to Mar 23, 2016
    • Accounts · 113 to 123
      Jul 31, 2015 to Nov 20, 2015
    • Advisory employees · 3 to 4
      Jul 31, 2015 to Nov 20, 2015
    • Employees · 7 to 8
      Jul 31, 2015 to Nov 20, 2015
    • State-registered IARs · 4 to 5
      Jul 31, 2015 to Nov 20, 2015
    • Discretionary RAUM · $135M to $140M
      Jul 31, 2015 to Nov 20, 2015
    • RAUM · $135M to $140M
      Jul 31, 2015 to Nov 20, 2015
    • Advisory employees · 4 to 3
      Jul 2, 2015 to Jul 31, 2015
    • State-registered IARs · 5 to 4
      Jul 2, 2015 to Jul 31, 2015
    • Discretionary RAUM · $132M to $135M
      Jul 2, 2015 to Jul 31, 2015
    • RAUM · $132M to $135M
      Jul 2, 2015 to Jul 31, 2015
    • Accounts · 110 to 113
      Mar 13, 2015 to Jul 2, 2015
    • Discretionary RAUM · $126M to $132M
      Mar 13, 2015 to Jul 2, 2015
    Signals
    1 dated events
    • D• F•••••••• C••••••••• L•• filed its initial SEC registration (Form ADV)
      Mar 14, 2014 · 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