DFX Intelligence

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G•••••• C•••••• M••••••••• I••

Former SEC-registered adviserFormer SEC adviserwebsite

Former SEC-registered adviser, reporting $39.0M of regulatory assets across 3 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2012-05-14 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $39.0M
Advisors: 3
Net advisor flow, 12 months: 0
Private clients: 0.0%

See where advisers went See teams that moved

Advisors (3)Where the RAUM sits

As of 2012-05-14 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 123658 · SEC 801-71023 · 4 filingsShow

CRD 123658SEC 801-71023First filing on the tape Nov 30, 2011, latest May 14, 2012IAPD

RAUM

$39.0M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$13.0M

derived; firm RAUM over IAPD count

Employees

n/a

n/a advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

reported on Schedule D

History

4 filings and snapshots on the tape

Filed figures over time · the tape starts Nov 30, 2011

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$39.0M as of May 14, 2012

Nov 30, 2011$39.0M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of May 14, 2012

Nov 30, 20110 then

Employees (5.A): no history

Private funds: no history

Practice profile

derived from the filing of May 14, 2012; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $13.0MderivedRAUM 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: $156,627derivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: 3.0derived1 office 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: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 249reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

3 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
A••••• S•••••Certified Financial Planner	Naperville, Il	Jan 13, 2011	25 y	0
I•••••• R•••• G••••••Chartered Financial Consultant	Naperville, Il	Nov 4, 2014	32 y	1
I•••• G••••••	Naperville, Il	May 3, 2016	25 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

G••••••• I••••••• R•••• · Chief Compliance Officer, Presidentcontrol
since 02/1994 · owns 75% or more

Entity owners

I•••••• G•••••• · Manager
direct · owns less than 5%

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
Naperville, Il	3	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Organization form · Corporation to Limited Liability Company
Feb 14, 2012 to May 14, 2012
Succession · false to true
Feb 14, 2012 to May 14, 2012
Accounts · 235 to 249
Nov 30, 2011 to Jan 19, 2012
Insurance-licensed employees · unset to 0.0
Nov 30, 2011 to Jan 19, 2012

Signals

1 dated events

••• Locked
May 14, 2012 · Succession (Item 4) · 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: ••• Lockedreportedpublic record, Form ADV, Jan 30, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $13.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026