DFX Intelligence

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Former SEC-registered adviser

F•••••••• M••••••••• A••••••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 125038SEC 801-61750IAPD

Latest filing Mar 24, 2016

First filing on the tape Mar 30, 2012 · 15 filings

RAUM

$1.5B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

7 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

reported on Schedule D

History

15 filings and snapshots on the tape

RAUM$1.5B as of Mar 24, 2016

Mar 30, 2012$1.5B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 24, 2016

Mar 30, 20120 then

Employees (5.A)17 as of Mar 24, 2016

Mar 28, 201317 then

Private funds: no history

RAUM -13% over the last fiscal year+0.6% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 24, 2016; every figure names its basis

RAUM per advisor: unknownderivedRAUM 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: $61.3MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: -13%derivedbetween 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 individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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)
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

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: 24reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
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

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H•••••• L•• · Managing Director, Portfolio Mgr.,Member, Class C Sharescontrol
since 06/2007 · owns 10% to 25%
M••••••• C••••••• L••• · Managing Director, Chief Compliance Officercontrol
since 07/2005 · owns less than 5%
M••••• D••••• J••• · Managing Director, Coo, Member, Class B Sharescontrol
since 12/2002 · owns 10% to 25%
S•••••• L••••• J••••• · Managing Director, Portfolio Mgr., Member, Class B Sharescontrol
since 12/2002 · owns 10% to 25%
V••••••• K••••••• A•• · Sr Managing Dir., Cio, Manager Member, Class A Sharescontrol
since 12/2002 · owns 50% to 75%
W•••• E•••• J••••• · Managing Director, Business Development & Client Servicecontrol
since 03/2013 · owns less than 5%
H••••••• A•••••• S••••• · Managing Director, Research Analyst, Member, Class C Shares
since 06/2007 · 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 · 26 to 24
Oct 7, 2015 to Mar 24, 2016
Employees · 18 to 17
Oct 7, 2015 to Mar 24, 2016
Discretionary RAUM · $1.6B to $1.5B
Oct 7, 2015 to Mar 24, 2016
RAUM · $1.6B to $1.5B
Oct 7, 2015 to Mar 24, 2016
Accounts · 24 to 26
May 18, 2015 to Oct 6, 2015
Advisory activities · 2 to 3
May 18, 2015 to Oct 6, 2015
Discretionary RAUM · $1.7B to $1.6B
May 18, 2015 to Oct 6, 2015
RAUM · $1.7B to $1.6B
May 18, 2015 to Oct 6, 2015
Accounts · 25 to 24
Sep 22, 2014 to Mar 26, 2015
Advisory employees · 6 to 7
Sep 22, 2014 to Mar 26, 2015
Employees · 16 to 18
Sep 22, 2014 to Mar 26, 2015
Discretionary RAUM · $1.7B to $1.7B
Sep 22, 2014 to Mar 26, 2015
RAUM · $1.7B to $1.7B
Sep 22, 2014 to Mar 26, 2015
Employees · 17 to 16
Aug 2, 2013 to Mar 28, 2014
Discretionary RAUM · $1.4B to $1.7B
Aug 2, 2013 to Mar 28, 2014
RAUM · $1.4B to $1.7B
Aug 2, 2013 to Mar 28, 2014
Accounts · 35 to 25
Jul 9, 2012 to Mar 28, 2013
Advisory employees · unset to 6.0
Jul 9, 2012 to Mar 28, 2013
Advisory activities · 3 to 2
Jul 9, 2012 to Mar 28, 2013
Employees · unset to 17.0
Jul 9, 2012 to Mar 28, 2013
Discretionary RAUM · $1.5B to $1.4B
Jul 9, 2012 to Mar 28, 2013
RAUM · $1.5B to $1.4B
Jul 9, 2012 to Mar 28, 2013

Signals

No event on the tape.

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