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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SEC-registered adviser
F•••••••• S•••••••• A••••••• G••••
Legal name F•••••••• S•••••••• A••••••• G••••• I•••
Latest filing Mar 25, 2026
First filing on the tape Jan 27, 2012 · 23 filings
SEC status approved since Jun 6, 2003
RAUM
$935M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
96%
$900M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$117M
derived; firm RAUM over IAPD count
Employees
10
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$935M as of Mar 25, 2026
Jan 27, 2012$170M then
HNW client RAUM$900M as of Mar 25, 2026
Mar 31, 2018$308M then
State-registered IARs (5.B.3)9 as of Mar 25, 2026
Mar 26, 20137 then
Employees (5.A)10 as of Mar 25, 2026
Mar 26, 20138 then
Private funds: no history
RAUM +6.3% over the last fiscal year+13% a year over threeIARs 8 to 9
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $2.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, publicationsreportedItem 5.G
- Custody
- $900M, 350 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$900M96%
- Corporations and businesses$35.0M3.7%
- Individual clients
- 0reported
- HNW clients
- 350reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 360reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $900M for 350 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• J•••• M•••••••Certified Financial Planner | Chicago, Il | Mar 28, 2003 | 23 y | 0 |
| S••• A• J••••••Chartered Financial Analyst | Chicago, Il | Mar 1, 2006 | 23 y | 0 |
| M••• C••••••••• S•••• | Chicago, Il | Mar 1, 2006 | 23 y | 0 |
| D•••••• W•••• B•••••••••Chartered Financial Analyst | Chicago, Il | Feb 18, 2009 | 30 y | 1 |
| M•••• M•••• B••••••Certified Financial Planner | Chicago, Il | Jan 2, 2013 | 26 y | 1 |
| C••• J••••• R•••••••Chartered Financial Analyst | Chicago, Il | Aug 30, 2016 | 20 y | 1 |
| D•••• A••• J•••••••Personal Financial Specialist | Chicago, Il | Dec 13, 2019 | 27 y | 4 |
| J•••• M•••••• V•••••Certified Financial Planner | Chicago, Il | Nov 5, 2025 | 30 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- E••••• W••••• G••• to B••••••••• S•••••••• W•••••• L••Aug 3, 2018 · RIA to RIA
- A••• R•••••• P•••• to B•••••••• R••••• • F•••••••• I•••Nov 4, 2015 · Other
- B•••• H••• W••••• to S•••••• I••••••••• M•••••••••Feb 4, 2008 · Other
Joined, latest
- J•••• M•••••• V••••• from H•••••••• A•••••••• L••Nov 5, 2025 · Affiliated broker-dealer or bank to independent RIA
- D•••• A••• J••••••• from H•••••••• A•••••••• L••Dec 13, 2019 · Affiliated broker-dealer or bank to independent RIA
- C••• J••••• R••••••• from E••••• F•••••••• G••••Aug 30, 2016 · Other
- E••••• W••••• G••• from M••••• S••••••Sep 12, 2013 · Other
- A••• R•••••• P•••• from A• R••••• T••••• F•••••••• A••••••• S•••••••• L•••Jan 4, 2013 · Other
- M•••• M•••• B•••••• from A• R••••• T••••• F•••••••• A••••••• S•••••••• L•••Jan 2, 2013 · Other
- D•••••• W•••• B••••••••• from I••••••••• C••••••• L••Feb 18, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••• S•••• A• · Principal, Co-Foundercontrolsince 01/2003 · owns 25% to 50%
- M•••••••• S••••• J•••• · Principal, Co-Foundercontrolsince 01/2003 · owns 25% to 50%
- S••••• M•••• C••••••••• · Principal, Co-Founder, Chief Compliance Officercontrolsince 01/2003 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Chicago, Il · principal | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 350 to 360Dec 1, 2025 to Mar 25, 2026
- HNW clients · 340 to 350Dec 1, 2025 to Mar 25, 2026
- Assets in custody · $850M to $900MDec 1, 2025 to Mar 25, 2026
- Discretionary RAUM · $850M to $900MDec 1, 2025 to Mar 25, 2026
- HNW RAUM · $850M to $900MDec 1, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $30.0M to $35.0MDec 1, 2025 to Mar 25, 2026
- RAUM · $880M to $935MDec 1, 2025 to Mar 25, 2026
- Advisory employees · 8 to 9Mar 11, 2025 to Dec 1, 2025
- State-registered IARs · 8 to 9Mar 11, 2025 to Dec 1, 2025
- Assets in custody · $700M to $850MMay 15, 2024 to Mar 11, 2025
- Financial planning clients · 51-100 to 51-100May 15, 2024 to Mar 11, 2025
- Discretionary RAUM · $700M to $850MMay 15, 2024 to Mar 11, 2025
- HNW RAUM · $700M to $850MMay 15, 2024 to Mar 11, 2025
- RAUM · $730M to $880MMay 15, 2024 to Mar 11, 2025
- Accounts · 343 to 350Mar 17, 2024 to Mar 30, 2024
- Charity clients · unset to 0.0Mar 17, 2024 to Mar 30, 2024
- Corporate clients · unset to 10.0Mar 17, 2024 to Mar 30, 2024
- HNW clients · 343 to 340Mar 17, 2024 to Mar 30, 2024
- Individual clients · unset to 0.0Mar 17, 2024 to Mar 30, 2024
- Pension plan clients · unset to 0.0Mar 17, 2024 to Mar 30, 2024
- Pooled vehicle clients · unset to 0.0Mar 17, 2024 to Mar 30, 2024
- Discretionary RAUM · $680M to $700MMar 17, 2024 to Mar 30, 2024
- Individual RAUM · unset to 0.0Mar 17, 2024 to Mar 30, 2024
- Non-discretionary RAUM · $20.0M to $30.0MMar 17, 2024 to Mar 30, 2024
- Pension RAUM · unset to 0.0Mar 17, 2024 to Mar 30, 2024
- Pooled vehicle RAUM · unset to 0.0Mar 17, 2024 to Mar 30, 2024
- RAUM · $700M to $730MMar 17, 2024 to Mar 30, 2024
- Accounts · 335 to 343Feb 21, 2023 to Mar 17, 2024
- HNW clients · 335 to 343Feb 21, 2023 to Mar 17, 2024
- Assets in custody · $650M to $700MFeb 21, 2023 to Mar 17, 2024
- Discretionary RAUM · $640M to $680MFeb 21, 2023 to Mar 17, 2024
- HNW RAUM · $650M to $700MFeb 21, 2023 to Mar 17, 2024
- Non-discretionary RAUM · $10.0M to $20.0MFeb 21, 2023 to Mar 17, 2024
- RAUM · $650M to $700MFeb 21, 2023 to Mar 17, 2024
- Accounts · 340 to 335Feb 17, 2022 to Feb 21, 2023
- HNW clients · 340 to 335Feb 17, 2022 to Feb 21, 2023
- Assets in custody · $646M to $650MFeb 17, 2022 to Feb 21, 2023
- Discretionary RAUM · $695M to $640MFeb 17, 2022 to Feb 21, 2023
- HNW RAUM · $695M to $650MFeb 17, 2022 to Feb 21, 2023
- Non-discretionary RAUM · $0 to $10.0MFeb 17, 2022 to Feb 21, 2023
Signals
1 dated events
- F•••••••• S•••••••• A••••••• G•••• reported RAUM $597.0M, up 99% from $300.0M (2019-06-17 to 2020-02-04)Feb 4, 2020 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 773-714-1542reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 773-714-1550reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 773-714-1540reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- fsadvisorygroup.com/contactreportedpublished by the firm, firm site, Sep 17, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $117Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026