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
A•••• C•••••• M••••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Feb 1, 2012 · 34 filings
SEC status approved since Jan 31, 2006
RAUM
$863M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.2%
$1.4M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$173M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$863M as of Mar 18, 2026
Mar 29, 2012$333M then
HNW client RAUM$1.4M as of Mar 18, 2026
Mar 29, 2018$916,868 then
State-registered IARs (5.B.3)5 as of Mar 18, 2026
Mar 22, 20134 then
Employees (5.A)8 as of Mar 18, 2026
Mar 22, 20137 then
Private funds1 as of Mar 18, 2026
Mar 25, 20162 then
RAUM -14% over the last fiscal year-3.6% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- $173MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $232,897derivedHNW RAUM over HNW clients
- Average account
- $41.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 93%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +20%derived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $60.7M, 1 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$688M80%
- Pension and profit-sharing plans$112M13%
- Pooled investment vehicles$60.7M7.0%
- High-net-worth individuals$1.4M0.2%
- Individual clients
- 0reported
- HNW clients
- 6reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 21reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $154M managedreported
- Custody of client assets
- $60.7M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.07 institutional_share=0.93 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• B•••• | Chicago, Il | Mar 7, 2003 | 25 y | 0 |
| A••• G•••••Chartered Financial Analyst | Chicago, Il | Jan 22, 2007 | 20 y | 0 |
| S•••••• H•••• | Chicago, Il | Dec 5, 2014 | 12 y | 0 |
| R•• G•••• G•••••••• | Chicago, Il | Jan 15, 2015 | 12 y | 0 |
| M•••••• S•••••• B••••• | Chicago, Il | Jun 1, 2026 | 21 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• I••••••••• E••••• F•••• L• | Hedge Fund | $43.5M | 5 | Mar 25, 2016 |
| A•••• I••••••••• S•••• C•• E••••• F•••• L• | Hedge Fund | $41,327 | 0 | Mar 25, 2016 |
Owners and control persons
Schedule A and B, latest filing
- B••••• R•••••• · Chief Executive Officer/Chief Investment Officercontrolsince 08/2002 · owns less than 5%
- B••••• R•••••• · Sole Membercontrolsince 05/2014 · owns 75% or more of A•••• H•••••••• L••
- B••••• R•••••• · Trusteecontrolsince 12/2012 · owns 75% or more of T•• P•••••••• T••••
- B•••••• M••••••• S•••••• · Member/Director Of Marketing & Investor Relationssince 09/2005 · owns less than 5%
- G•••••• A••• · Member/Chief Operating Officersince 01/2010 · owns less than 5%
- G••••••••• R•• G•••• · Member/Deputy Chief Investment Officer/Director Of Researchsince 05/2014 · owns less than 5%
- H••••• S•••••• · Member/Director Of Finance/Chief Compliance Officersince 04/2014 · owns less than 5%
- T•••• H••• K••• · Member/Director Of Itsince 05/2014 · owns less than 5%
Entity owners
- A•••• H•••••••• L•• · Limited Liability Companydirect · owns 50% to 75%
- T•• P•••••••• T•••• · Member/Trustdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- A•••• G••••• F••••• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 5 to 4May 21, 2025 to Mar 18, 2026
- HNW clients · 5 to 6May 21, 2025 to Mar 18, 2026
- Pooled vehicle clients · 1 to 2May 21, 2025 to Mar 18, 2026
- Assets in custody · $45.3M to $60.7MMay 21, 2025 to Mar 18, 2026
- Employees · 9 to 8May 21, 2025 to Mar 18, 2026
- Discretionary RAUM · $1000M to $863MMay 21, 2025 to Mar 18, 2026
- HNW RAUM · $1.1M to $1.4MMay 21, 2025 to Mar 18, 2026
- Pension RAUM · $49.4M to $112MMay 21, 2025 to Mar 18, 2026
- Pooled vehicle RAUM · $45.3M to $60.7MMay 21, 2025 to Mar 18, 2026
- RAUM · $1000M to $863MMay 21, 2025 to Mar 18, 2026
- Wrap assets (manager) · $0 to $154MMay 21, 2025 to Mar 18, 2026
- Financial planning clients · unset to Mar 19, 2025 to May 21, 2025
- Accounts · 48 to 21Oct 8, 2024 to Mar 19, 2025
- Charity clients · unset to 0.0Oct 8, 2024 to Mar 19, 2025
- Corporate clients · unset to 0.0Oct 8, 2024 to Mar 19, 2025
- Individual clients · unset to 0.0Oct 8, 2024 to Mar 19, 2025
- Pooled vehicle clients · 2 to 1Oct 8, 2024 to Mar 19, 2025
- Assets in custody · $43.6M to $45.3MOct 8, 2024 to Mar 19, 2025
- Private funds · 2 to 1Oct 8, 2024 to Mar 19, 2025
- Discretionary RAUM · $1000M to $1000MOct 8, 2024 to Mar 19, 2025
- HNW RAUM · $1.0M to $1.1MOct 8, 2024 to Mar 19, 2025
- Individual RAUM · unset to 0.0Oct 8, 2024 to Mar 19, 2025
- Pension RAUM · $47.8M to $49.4MOct 8, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $43.6M to $45.3MOct 8, 2024 to Mar 19, 2025
- RAUM · $1000M to $1000MOct 8, 2024 to Mar 19, 2025
- Accounts · 49 to 48Jul 26, 2023 to Mar 7, 2024
- Advisory employees · 7 to 5Jul 26, 2023 to Mar 7, 2024
- Charity clients · 1.0 to unsetJul 26, 2023 to Mar 7, 2024
- Pension plan clients · 3.0 to unsetJul 26, 2023 to Mar 7, 2024
- Assets in custody · $88.9M to $43.6MJul 26, 2023 to Mar 7, 2024
- Employees · 13 to 9Jul 26, 2023 to Mar 7, 2024
- State-registered IARs · 6 to 5Jul 26, 2023 to Mar 7, 2024
- Discretionary RAUM · $962M to $1000MJul 26, 2023 to Mar 7, 2024
- HNW RAUM · $881,567 to $1.0MJul 26, 2023 to Mar 7, 2024
- Pension RAUM · $44.9M to $47.8MJul 26, 2023 to Mar 7, 2024
- Pooled vehicle RAUM · $88.9M to $43.6MJul 26, 2023 to Mar 7, 2024
- RAUM · $962M to $1000MJul 26, 2023 to Mar 7, 2024
- Accounts · 56 to 49Mar 30, 2022 to Mar 31, 2023
- Advisory employees · 8 to 7Mar 30, 2022 to Mar 31, 2023
- HNW clients · 6 to 5Mar 30, 2022 to Mar 31, 2023
Signals
3 dated events
- A•••• C•••••• M••••••••• L•• reported RAUM $962.0M, down 34% from $1.5B (2022-03-30 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- A•••• C•••••• M••••••••• L•• reported RAUM $1.3B, down 30% from $1.9B (2020-07-07 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- A•••• C•••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jun 25, 2014 · 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
- A••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-263-7600reportedpublic record, Form ADV, Mar 18, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $173Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026