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

B•••••• S•••• S•••••••• L••

Former SEC-registered adviserNaperville, IllinoisCRD 124786SEC 801-63345IAPD
Latest filing Mar 7, 2019
First filing on the tape Nov 18, 2011 · 19 filings
RAUM
$908M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
28
4 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$908M as of Mar 7, 2019
Feb 28, 2012$1.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 7, 2019
Feb 28, 20120 then
Employees (5.A)28 as of Mar 7, 2019
Mar 12, 201324 then
Private funds: no history
RAUM -6.8% over the last fiscal year-5.1% a year over threeIARs 8 to 3
Practice profile
derived from the filing of Mar 7, 2019; every figure names its basis
RAUM per advisor
$303MderivedRAUM 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
$41.3MderivedRAUM 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
9.3derivedItem 5.A over advisors
Advisors per office
1.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-6.8%derivedbetween the last two annual amendments
Advisor growth, one year
-63%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, educational seminars, otherreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
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
22reported
Financial planning clients
n/areported
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
  • F•••• D•••••• D••••• · Vp - Advisory Services, Chief Compliance Officercontrol
    since 04/2015 · owns less than 5%
  • S••••••••• K•••• R•••••• · Presidentcontrol
    since 05/2018 · owns less than 5%
Entity owners
  • A••••• C•••••••• F•••••• C••••• U•••• · Sole Member Of LLC
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Albany, NY1 employees
  • Westminster, CO1 employees
What changed
consecutive filings, newest first
  • Accounts · 21 to 22
    Mar 16, 2018 to Mar 7, 2019
  • BD registered reps · 11 to 10
    Mar 16, 2018 to Mar 7, 2019
  • Employees · 31 to 28
    Mar 16, 2018 to Mar 7, 2019
  • State-registered IARs · 8 to 3
    Mar 16, 2018 to Mar 7, 2019
  • Non-discretionary RAUM · $975M to $908M
    Mar 16, 2018 to Mar 7, 2019
  • RAUM · $975M to $908M
    Mar 16, 2018 to Mar 7, 2019
  • Accounts · 23 to 21
    Sep 15, 2017 to Mar 16, 2018
  • Advisory employees · 5 to 4
    Sep 15, 2017 to Mar 16, 2018
  • BD registered reps · 10 to 11
    Sep 15, 2017 to Mar 16, 2018
  • State-registered IARs · 14 to 8
    Sep 15, 2017 to Mar 16, 2018
  • Other offices · unset to 2.0
    Sep 15, 2017 to Mar 16, 2018
  • Non-discretionary RAUM · $1.2B to $975M
    Sep 15, 2017 to Mar 16, 2018
  • RAUM · $1.2B to $975M
    Sep 15, 2017 to Mar 16, 2018
  • BD registered reps · 11 to 10
    Dec 27, 2016 to Mar 17, 2017
  • Employees · 29 to 31
    Dec 27, 2016 to Mar 17, 2017
  • State-registered IARs · 13 to 14
    Dec 27, 2016 to Mar 17, 2017
  • Non-discretionary RAUM · $1.1B to $1.2B
    Dec 27, 2016 to Mar 17, 2017
  • RAUM · $1.1B to $1.2B
    Dec 27, 2016 to Mar 17, 2017
  • HQ city · WARRENVILLE to NAPERVILLE
    Feb 26, 2016 to Jun 28, 2016
  • Advisory activities · 2 to 3
    Oct 15, 2015 to Feb 26, 2016
  • BD registered reps · 10 to 11
    Oct 15, 2015 to Feb 26, 2016
  • State-registered IARs · 11 to 13
    Oct 15, 2015 to Feb 26, 2016
  • Non-discretionary RAUM · $5.7B to $1.1B
    Oct 15, 2015 to Feb 26, 2016
  • RAUM · $5.7B to $1.1B
    Oct 15, 2015 to Feb 26, 2016
  • Accounts · 24 to 23
    Mar 31, 2014 to Mar 27, 2015
  • Employees · 31 to 29
    Mar 31, 2014 to Mar 27, 2015
  • State-registered IARs · 15 to 11
    Mar 31, 2014 to Mar 27, 2015
  • Non-discretionary RAUM · $5.8B to $5.7B
    Mar 31, 2014 to Mar 27, 2015
  • RAUM · $5.8B to $5.7B
    Mar 31, 2014 to Mar 27, 2015
  • Accounts · 23 to 24
    Apr 30, 2013 to Mar 31, 2014
  • BD registered reps · 8 to 10
    Apr 30, 2013 to Mar 31, 2014
  • Employees · 24 to 31
    Apr 30, 2013 to Mar 31, 2014
  • Non-discretionary RAUM · $2.3B to $5.8B
    Apr 30, 2013 to Mar 31, 2014
  • RAUM · $2.3B to $5.8B
    Apr 30, 2013 to Mar 31, 2014
  • Accounts · 22 to 23
    Mar 12, 2013 to Apr 30, 2013
  • Non-discretionary RAUM · $1.6B to $2.3B
    Mar 12, 2013 to Apr 30, 2013
  • RAUM · $1.6B to $2.3B
    Mar 12, 2013 to Apr 30, 2013
  • Accounts · 23 to 22
    Sep 25, 2012 to Mar 12, 2013
  • Advisory employees · unset to 5.0
    Sep 25, 2012 to Mar 12, 2013
  • BD registered reps · unset to 8.0
    Sep 25, 2012 to Mar 12, 2013
Signals
1 dated events
  • R•••••• K••• S•••••••• (President) appeared on Schedule A of B•••••• S•••• S•••••••• L••
    Mar 7, 2019 · Control person joined · 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