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
4•••••• A•••••••• I•••
Latest filing Apr 9, 2026
First filing on the tape May 7, 2018 · 16 filings
SEC status approved since Jun 11, 2018
RAUM
$275M
reported, Item 5.F
Discretionary
48%
of RAUM
Private clients
76%
$209M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$25.0M
derived; firm RAUM over IAPD count
Employees
13
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$275M as of Apr 9, 2026
Mar 27, 2019$122M then
HNW client RAUM$96.9M as of Apr 9, 2026
Mar 27, 2019$35.8M then
State-registered IARs (5.B.3)11 as of Apr 9, 2026
Mar 27, 20196 then
Employees (5.A)13 as of Apr 9, 2026
Mar 27, 20198 then
Private funds: no history
RAUM +11% over the last fiscal year+17% a year over threeIARs 9 to 11
Practice profile
derived from the filing of Apr 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $25.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $218,129derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 48%derivedof RAUM
- Institutional
- 24%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +22%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.3%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $56.9M, 189 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$112M41%
- High-net-worth individuals$96.9M35%
- Pension and profit-sharing plans$66.6M24%
- Individual clients
- 448reported
- HNW clients
- 60reported
- Pension plan clients
- 59reported
- Charitable clients
- n/areported
- Accounts
- 1,262reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $56.9M for 189 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.76 fund_share=0.0 institutional_share=0.24 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• D•••••• R•••••• | Burr Ridge, Il | Apr 30, 2004 | 29 y | 2 |
| R••• D•••• B•••• | Burr Ridge, Il | Apr 30, 2004 | 31 y | 2 |
| H•••• M•••• D••• | Burr Ridge, Il | Feb 25, 2005 | 32 y | 2 |
| R••• F• K•••••Certified Financial Planner | Burr Ridge, Il | Jul 31, 2017 | 20 y | 3 |
| C••••••••• C•••••• G••••••• | Burr Ridge, Il | Jul 31, 2017 | 12 y | 2 |
| T••••••• M•••••• H•••••Certified Financial Planner | Burr Ridge, Il | Jul 31, 2017 | 30 y | 3 |
| W•••••• J•••• T••••• | Tinley Park, Il | Sep 27, 2021 | 21 y | 4 |
| P•••• J•••• S••••••••• | Fountain Hills, Az | Jan 4, 2022 | 16 y | 2 |
| G•••••• J••••• N•••••Chartered Financial Analyst | Burr Ridge, Il | Jun 29, 2023 | 27 y | 3 |
| M•••••• J••••• M••••• | Burr Ridge, Il | Jun 25, 2025 | 11 y | 0 |
| J•••• M•••••• P••••••••• | Burr Ridge, Il | Jan 7, 2026 | 11 y | 4 |
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
none on the tape
Joined, latest
- J•••• M•••••• P••••••••• from C••••• I••••••••• A••••••• L••Jan 7, 2026 · Affiliated broker-dealer or bank to independent RIA
- G•••••• J••••• N••••• from R••••••••• I••••• M••••••••• I•••Jun 29, 2023 · Other
- P•••• J•••• S••••••••• from R••••••••• I••••• M••••••••• I•••Jan 4, 2022 · Other
- W•••••• J•••• T••••• from R••••••••• I••••• M••••••••• I•••Sep 27, 2021 · Other
- C••••••••• C•••••• G••••••• from I•• W••••• M••••••••• I•••Jul 31, 2017 · Other
- T••••••• M•••••• H••••• from I•• W••••• M••••••••• I•••Jul 31, 2017 · Other
- R••• F• K••••• from I•• W••••• M••••••••• I•••Jul 31, 2017 · Other
- H•••• M•••• D••• from O•••• W•••••• I•••Feb 25, 2005 · Other
- P•••• D•••••• R•••••• from O•••• W•••••• I•••Apr 30, 2004 · Other
- R••• D•••• B•••• from O•••• W•••••• I•••Apr 30, 2004 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R••••••••• I••••• M••••••••• I•••Dec 31, 2024 · Warrenville, Il
- 3 joined from I•• W••••• M••••••••• I•••Aug 1, 2017 · Orland Park, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• P••••• D•••••• · President/Chief Compliance Officercontrolsince 11/2003 · owns 75% or more
Related persons
Schedule D 7.A
- 4•••••• C•••• L••insurancen
- 4•••••• I•••••••• G••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Burr Ridge, Il · principal | 11 | 1 | 0 | ||
| Orland Park, Il | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Orland Park, IL3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Apr 9, 2026discretionary share of RAUM moved from 84.0% to 48.0% between the annual amendments of 2025-03-13 and 2026-04-09peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 1,306 to 1,262Jan 9, 2026 to Mar 30, 2026
- Advisory employees · 9 to 10Jan 9, 2026 to Mar 30, 2026
- HNW clients · 51 to 60Jan 9, 2026 to Mar 30, 2026
- Individual clients · 469 to 448Jan 9, 2026 to Mar 30, 2026
- Pension plan clients · 73 to 59Jan 9, 2026 to Mar 30, 2026
- Assets in custody · $48.3M to $56.9MJan 9, 2026 to Mar 30, 2026
- State-registered IARs · 9 to 11Jan 9, 2026 to Mar 30, 2026
- Discretionary RAUM · $208M to $133MJan 9, 2026 to Mar 30, 2026
- HNW RAUM · $80.2M to $96.9MJan 9, 2026 to Mar 30, 2026
- Individual RAUM · $101M to $112MJan 9, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $39.2M to $143MJan 9, 2026 to Mar 30, 2026
- Pension RAUM · $65.3M to $66.6MJan 9, 2026 to Mar 30, 2026
- RAUM · $247M to $275MJan 9, 2026 to Mar 30, 2026
- Accounts · 1,101 to 1,306May 31, 2024 to Mar 13, 2025
- HNW clients · 47 to 51May 31, 2024 to Mar 13, 2025
- Individual clients · 423 to 469May 31, 2024 to Mar 13, 2025
- Pension plan clients · 72 to 73May 31, 2024 to Mar 13, 2025
- Assets in custody · $69.0M to $48.3MMay 31, 2024 to Mar 13, 2025
- Employees · 12 to 13May 31, 2024 to Mar 13, 2025
- Insurance-licensed employees · 5 to 4May 31, 2024 to Mar 13, 2025
- Financial planning clients · 0 to 0May 31, 2024 to Mar 13, 2025
- Discretionary RAUM · $174M to $208MMay 31, 2024 to Mar 13, 2025
- HNW RAUM · $66.6M to $80.2MMay 31, 2024 to Mar 13, 2025
- Individual RAUM · $85.3M to $101MMay 31, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $39.0M to $39.2MMay 31, 2024 to Mar 13, 2025
- Pension RAUM · $60.7M to $65.3MMay 31, 2024 to Mar 13, 2025
- RAUM · $213M to $247MMay 31, 2024 to Mar 13, 2025
- Accounts · 1,019 to 1,101Mar 29, 2023 to Mar 26, 2024
- Advisory employees · 8 to 9Mar 29, 2023 to Mar 26, 2024
- BD registered reps · 2 to 1Mar 29, 2023 to Mar 26, 2024
- HNW clients · 35 to 47Mar 29, 2023 to Mar 26, 2024
- Individual clients · 407 to 423Mar 29, 2023 to Mar 26, 2024
- Pension plan clients · 74 to 72Mar 29, 2023 to Mar 26, 2024
- Assets in custody · $16.3M to $69.0MMar 29, 2023 to Mar 26, 2024
- Employees · 11 to 12Mar 29, 2023 to Mar 26, 2024
- State-registered IARs · 8 to 9Mar 29, 2023 to Mar 26, 2024
- Discretionary RAUM · $132M to $174MMar 29, 2023 to Mar 26, 2024
- HNW RAUM · $53.7M to $66.6MMar 29, 2023 to Mar 26, 2024
- Individual RAUM · $69.7M to $85.3MMar 29, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $41.5M to $39.0MMar 29, 2023 to Mar 26, 2024
Signals
2 dated events
- 2 advisors left R••••••••• I••••• M••••••••• I••• (Warrenville, IL) for 4•••••• A•••••••• I••• on the same dayDec 31, 2024 · Team lift-out · derived
- 4•••••• A•••••••• I••• filed its initial SEC registration (Form ADV)May 7, 2018 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 708-695-5300reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/4WEALTH-FINANCIAL-GROUP-LLCreportedpublic record, Form ADV, Sep 19, 2026
- Website
- 4WEALTHFG.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 708-695-5300reportedpublic record, Form ADV, Apr 9, 2026
- Contact form
- 4wealthfg.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- 4wealthfg.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $25.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026