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

T•••• P•••••••• M••••••••• L••

Former SEC-registered adviserWilmette, IllinoisCRD 127596SEC 801-63802IAPD
Latest filing Feb 7, 2014
First filing on the tape Mar 16, 2012 · 6 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$121M as of Mar 12, 2013
Mar 16, 2012$95.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 12, 2013
Mar 16, 20120 then
Employees (5.A): 3
Private funds: no history
RAUM -100% over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of Feb 7, 2014; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+26%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, hourlyreportedItem 5.E
Advisory activities
portfolio management for individuals, 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
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
0reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
  • T•••••• M•••• F•••• · Chief Compliance Officer, Presidentcontrol
    since 07/2003 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Wilmette, Il · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory activities · 5 to 2
    Jan 21, 2014 to Feb 6, 2014
  • Accounts · 161 to 0
    Dec 18, 2013 to Jan 21, 2014
  • Advisory employees · 2 to 1
    Dec 18, 2013 to Jan 21, 2014
  • Employees · 3 to 1
    Dec 18, 2013 to Jan 21, 2014
  • State-registered IARs · 2 to 1
    Dec 18, 2013 to Jan 21, 2014
  • Discretionary RAUM · $111M to $0
    Dec 18, 2013 to Jan 21, 2014
  • Non-discretionary RAUM · $9.9M to $0
    Dec 18, 2013 to Jan 21, 2014
  • RAUM · $121M to $0
    Dec 18, 2013 to Jan 21, 2014
  • HQ city · EVANSTON to WILMETTE
    Mar 12, 2013 to Dec 18, 2013
  • Accounts · 147 to 161
    Mar 16, 2012 to Mar 12, 2013
  • Advisory employees · unset to 2.0
    Mar 16, 2012 to Mar 12, 2013
  • Employees · unset to 3.0
    Mar 16, 2012 to Mar 12, 2013
  • State-registered IARs · 0 to 2
    Mar 16, 2012 to Mar 12, 2013
  • Discretionary RAUM · $87.4M to $111M
    Mar 16, 2012 to Mar 12, 2013
  • Non-discretionary RAUM · $8.2M to $9.9M
    Mar 16, 2012 to Mar 12, 2013
  • RAUM · $95.6M to $121M
    Mar 16, 2012 to Mar 12, 2013
Signals
1 dated events
  • M••• F•••• T••••• left T•••• P•••••••• M••••••••• L•• for C•••••• P••••••• I••••••••• G•••• L•• (registered 2014-05-08)
    Oct 7, 2024 · Advisor changed firm · 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