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

H••••••• W•• A•••••••• L•••••

Former SEC-registered adviserRockford, IllinoisCRD 124816SEC 801-61739IAPD
Latest filing Feb 9, 2021
First filing on the tape Jan 25, 2012 · 29 filings
RAUM
$368M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$320M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$368M as of Feb 8, 2021
Jan 25, 2012$114M then
HNW client RAUM$290M as of Feb 8, 2021
Mar 19, 2018$199M then
State-registered IARs (5.B.3)5 as of Feb 8, 2021
Jan 25, 20120 then
Employees (5.A)6 as of Feb 8, 2021
Feb 19, 20133 then
Private funds: no history
RAUM +24% over the last fiscal year+9.9% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Feb 9, 2021; every figure names its basis
RAUM per advisor
$73.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
33derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$735,511derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
5.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+24%derivedbetween the last two annual amendments
Advisor growth, one year
+25%derivedItem 5.B.3 between annual amendments
Client growth, one year
+12%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$220M, 104 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$290M79%
  • Individuals$30.5M8.3%
  • Charitable organizations$20.6M5.6%
  • Corporations and businesses$17.9M4.8%
  • Banks and thrifts$9.6M2.6%
Individual clients
84reported
HNW clients
81reported
Pension plan clients
n/areported
Charitable clients
20reported
Accounts
501reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$220M for 104 clientsreported
Compensation
% of AUMreported
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
Joined, latest
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
    • O••••••• G•••• F•••• · President, Ceocontrol
      since 02/2003 · owns less than 5%
    • O••••••• J•••• G•••••• · Chief Compliance Officercontrol
      since 10/2004 · owns less than 5%
    • O••••••• R••••••• A••••• · Trusteecontrol
      since 02/2003 · owns F of T•• J•• F••••• T••••
    • O••••••• G•••• F•••• · Co-Trustee/President/Managing Membercontrol
      since 12/2004 · owns 50% to 75% of G••• F. O•••••• R•••••••• Trust, Dtd 12/28/2004
    • O••••••• J•••• G•••••• · Co-Trustee/Ccocontrol
      since 12/2004 · owns 50% to 75% of G••• F• O•••••• R•••••••• T•••• D•• 1•••••••••
    • K•••••• C••••• M• · Member
      since 01/2020 · owns 5% to 10%
    • K•••••• T•••••• C• · Member
      since 01/2020 · owns 5% to 10%
    • M•••••••• P••••••• C••• · Portfolio Manager
      since 01/2020 · owns 5% to 10%
    • O••••••• M••••••• G•••••• · Portfolio Manager
      since 11/2016 · owns 10% to 25%
    • W••••• E•••• M•••••• · Portfolio Manager
      since 05/2011 · owns 10% to 25%
    Entity owners
    • G••• F• O•••••• R•••••••• T•••• D•• 1••••••••• · Member
      direct · owns 50% to 75%
    • T•• J•• F••••• T•••• · Member
      direct · owns 5% to 10%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 467 to 501
      Nov 9, 2020 to Feb 8, 2021
    • Charity clients · 14 to 20
      Nov 9, 2020 to Feb 8, 2021
    • HNW clients · 61 to 81
      Nov 9, 2020 to Feb 8, 2021
    • Individual clients · 86 to 84
      Nov 9, 2020 to Feb 8, 2021
    • Assets in custody · $38.7M to $220M
      Nov 9, 2020 to Feb 8, 2021
    • Financial planning clients · 51-100 to 101-250
      Nov 9, 2020 to Feb 8, 2021
    • State-registered IARs · 4 to 5
      Nov 9, 2020 to Feb 8, 2021
    • Discretionary RAUM · $298M to $368M
      Nov 9, 2020 to Feb 8, 2021
    • HNW RAUM · $238M to $290M
      Nov 9, 2020 to Feb 8, 2021
    • Individual RAUM · $33.5M to $30.5M
      Nov 9, 2020 to Feb 8, 2021
    • RAUM · $298M to $368M
      Nov 9, 2020 to Feb 8, 2021
    • Advisory employees · 4 to 5
      Jun 10, 2020 to Jul 29, 2020
    • Accounts · 423 to 467
      Nov 25, 2019 to Mar 19, 2020
    • Charity clients · 11 to 14
      Nov 25, 2019 to Mar 19, 2020
    • Corporate clients · 6 to 8
      Nov 25, 2019 to Mar 19, 2020
    • HNW clients · 52 to 61
      Nov 25, 2019 to Mar 19, 2020
    • Individual clients · 87 to 86
      Nov 25, 2019 to Mar 19, 2020
    • Assets in custody · $31.0M to $38.7M
      Nov 25, 2019 to Mar 19, 2020
    • Employees · 5 to 6
      Nov 25, 2019 to Mar 19, 2020
    • Discretionary RAUM · $243M to $298M
      Nov 25, 2019 to Mar 19, 2020
    • HNW RAUM · $191M to $238M
      Nov 25, 2019 to Mar 19, 2020
    • Individual RAUM · $29.3M to $33.5M
      Nov 25, 2019 to Mar 19, 2020
    • RAUM · $243M to $298M
      Nov 25, 2019 to Mar 19, 2020
    • Accounts · 370 to 423
      Mar 19, 2018 to Mar 16, 2019
    • Charity clients · 6 to 11
      Mar 19, 2018 to Mar 16, 2019
    • HNW clients · 45 to 52
      Mar 19, 2018 to Mar 16, 2019
    • Individual clients · 79 to 87
      Mar 19, 2018 to Mar 16, 2019
    • Assets in custody · $43.8M to $31.0M
      Mar 19, 2018 to Mar 16, 2019
    • Financial planning clients · 0 to 51-100
      Mar 19, 2018 to Mar 16, 2019
    • Discretionary RAUM · $277M to $243M
      Mar 19, 2018 to Mar 16, 2019
    • HNW RAUM · $199M to $191M
      Mar 19, 2018 to Mar 16, 2019
    • Individual RAUM · $31.3M to $29.3M
      Mar 19, 2018 to Mar 16, 2019
    • RAUM · $277M to $243M
      Mar 19, 2018 to Mar 16, 2019
    • Accounts · 343 to 370
      May 31, 2017 to Mar 19, 2018
    • Advisory employees · 3 to 4
      May 31, 2017 to Mar 19, 2018
    • Charity clients · unset to 6.0
      May 31, 2017 to Mar 19, 2018
    • Corporate clients · unset to 6.0
      May 31, 2017 to Mar 19, 2018
    • HNW clients · unset to 45.0
      May 31, 2017 to Mar 19, 2018
    • Individual clients · unset to 79.0
      May 31, 2017 to Mar 19, 2018
    • Assets in custody · unset to 43771714.0
      May 31, 2017 to Mar 19, 2018
    Signals
    4 dated events
    • M C•••• K••••• (Trustee) appeared on Schedule A of H••••••• W•• A•••••••• L•••••
      Mar 16, 2019 · Control person joined · fact
    • Charles T••••• K••••• (Co-Trustee) no longer on Schedule A of H••••••• W•• A•••••••• L••••• (listed 2018-03-19, absent 2019-03-16)
      Mar 16, 2019 · Control person left · inference
    • C•••• Marlene K••••• (Co-Trustee) no longer on Schedule A of H••••••• W•• A•••••••• L••••• (listed 2018-03-19, absent 2019-03-16)
      Mar 16, 2019 · Control person left · inference
    • H••••••• W•• A•••••••• L••••• reported RAUM $277.3M, up 60% from $173.2M (2017-05-31 to 2018-03-19)
      Mar 19, 2018 · RAUM change · derived
    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