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

I••••• I•••••••••

Former SEC-registered adviserChicago, IllinoisCRD 126876SEC 801-78719IAPD
Legal name I••••• I••••••••• M••••••••• L••
Latest filing Mar 22, 2021
First filing on the tape Mar 12, 2012 · 28 filings
RAUM
$85.1M
reported, Item 5.F
Discretionary
100%
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$85.1M as of Mar 3, 2021
Mar 12, 2012$115M then
HNW client RAUM: $2.5M
State-registered IARs (5.B.3)0 as of Mar 3, 2021
Feb 21, 20141 then
Employees (5.A)3 as of Mar 3, 2021
Feb 21, 20143 then
Private funds: no history
RAUM -6.3% over the last fiscal year-4.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 22, 2021; 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
$14.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
96%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
-6.3%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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$81.9M99%
  • Corporations and businesses$602,1630.7%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
  • K••••••• G••••• A••• · Managing Director|Chief Compliance Officercontrol
    since 09/2020 · owns less than 5%
  • K••••••• G••••• A••• · Ownercontrol
    since 09/2020 · owns 75% or more of Inview Investment Company
  • M•••••• R•••••• A• · Director
    since 09/2020 · owns less than 5%
Entity owners
  • I••••• I••••••••• C•••••• · Owner
    direct · owns 75% or more
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
  • Advisory activities · 2 to 1
    Mar 3, 2021 to Mar 22, 2021
  • HNW RAUM · 2517929.0 to unset
    Mar 3, 2021 to Mar 22, 2021
  • Accounts · 3 to 6
    Mar 27, 2020 to Mar 3, 2021
  • Advisory activities · 1 to 2
    Mar 27, 2020 to Mar 3, 2021
  • Discretionary RAUM · $90.8M to $85.1M
    Mar 27, 2020 to Mar 3, 2021
  • HNW RAUM · unset to 2517929.0
    Mar 27, 2020 to Mar 3, 2021
  • RAUM · $90.8M to $85.1M
    Mar 27, 2020 to Mar 3, 2021
  • Related adviser · true to false
    Mar 27, 2020 to Mar 3, 2021
  • Discretionary RAUM · $85.9M to $90.8M
    Aug 9, 2019 to Mar 27, 2020
  • RAUM · $85.9M to $90.8M
    Aug 9, 2019 to Mar 27, 2020
  • Discretionary RAUM · $72.7M to $85.9M
    Mar 24, 2019 to Aug 9, 2019
  • RAUM · $72.7M to $85.9M
    Mar 24, 2019 to Aug 9, 2019
  • Advisory activities · 2 to 1
    Mar 19, 2018 to Mar 24, 2019
  • Discretionary RAUM · $98.8M to $72.7M
    Mar 19, 2018 to Mar 24, 2019
  • RAUM · $98.8M to $72.7M
    Mar 19, 2018 to Mar 24, 2019
  • Other offices · unset to 0.0
    Mar 31, 2017 to Mar 19, 2018
  • Discretionary RAUM · $80.6M to $98.8M
    Mar 31, 2017 to Mar 19, 2018
  • RAUM · $80.6M to $98.8M
    Mar 31, 2017 to Mar 19, 2018
  • Accounts · 7 to 3
    Mar 21, 2016 to Mar 31, 2017
  • Advisory employees · 1 to 2
    Mar 21, 2016 to Mar 31, 2017
  • Discretionary RAUM · $79.7M to $80.6M
    Mar 21, 2016 to Mar 31, 2017
  • Non-discretionary RAUM · $1.7M to $0
    Mar 21, 2016 to Mar 31, 2017
  • RAUM · $81.3M to $80.6M
    Mar 21, 2016 to Mar 31, 2017
  • Accounts · 5 to 7
    Nov 2, 2015 to Mar 21, 2016
  • Advisory employees · 2 to 1
    Nov 2, 2015 to Mar 21, 2016
  • Business name · INVIEW INVESTMENT MANAGEMENT, LLC to INVIEW INVESTMENTS
    Nov 2, 2015 to Mar 21, 2016
  • Discretionary RAUM · $87.0M to $79.7M
    Nov 2, 2015 to Mar 21, 2016
  • Non-discretionary RAUM · $1.9M to $1.7M
    Nov 2, 2015 to Mar 21, 2016
  • RAUM · $88.9M to $81.3M
    Nov 2, 2015 to Mar 21, 2016
  • Related adviser · false to true
    Nov 2, 2015 to Mar 21, 2016
  • Insurance-licensed employees · 1 to 0
    Feb 21, 2014 to Feb 20, 2015
  • State-registered IARs · 1 to 0
    Feb 21, 2014 to Feb 20, 2015
  • Discretionary RAUM · $85.1M to $87.0M
    Feb 21, 2014 to Feb 20, 2015
  • Non-discretionary RAUM · $0 to $1.9M
    Feb 21, 2014 to Feb 20, 2015
  • RAUM · $85.1M to $88.9M
    Feb 21, 2014 to Feb 20, 2015
  • Accounts · 4 to 5
    Jan 27, 2014 to Feb 21, 2014
  • Employees · 2 to 3
    Jan 27, 2014 to Feb 21, 2014
  • Insurance-licensed employees · 0 to 1
    Jan 27, 2014 to Feb 21, 2014
  • State-registered IARs · 0 to 1
    Jan 27, 2014 to Feb 21, 2014
  • Discretionary RAUM · $77.4M to $85.1M
    Jan 27, 2014 to Feb 21, 2014
Signals
1 dated events
  • Inview Investment Management, Llc filed its initial SEC registration (Form ADV)
    Oct 17, 2013 · First SEC registration · 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