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
N•••• S•••• I••••••••• C••••••••• L••
Latest filing Feb 27, 2026
First filing on the tape May 4, 2020 · 16 filings
SEC status approved since Jun 3, 2020
RAUM
$171M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
99%
$169M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$171M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$171M as of Feb 27, 2026
Mar 22, 2021$135M then
HNW client RAUM$0 as of Feb 27, 2026
Mar 22, 2021$0 then
State-registered IARs (5.B.3)1 as of Feb 27, 2026
Mar 22, 20211 then
Employees (5.A)1 as of Feb 27, 2026
Mar 22, 20212 then
Private funds: no history
RAUM +15% over the last fiscal year+9.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $171MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 102derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $568,351derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 1.2%derivedpensions, 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
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $171M, 103 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
- 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$169M99%
- Pension and profit-sharing plans$2.0M1.2%
- Individual clients
- 102reported
- HNW clients
- 0reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 300reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $171M for 103 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• R••••• S••••Certified Financial Planner | Wilmette, Il | Jul 6, 2004 | 38 y | 1 |
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• D••••••• A•• · Administrationcontrolsince 01/2004 · owns 50% to 75%
- S••••• J••••••• R••••• · President & Ccocontrolsince 01/2004 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Feb 27, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 296 to 300Sep 11, 2025 to Feb 27, 2026
- Individual clients · 98 to 102Sep 11, 2025 to Feb 27, 2026
- Assets in custody · $149M to $171MSep 11, 2025 to Feb 27, 2026
- Individual RAUM · $147M to $169MSep 11, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $149M to $171MSep 11, 2025 to Feb 27, 2026
- Pension RAUM · $1.7M to $2.0MSep 11, 2025 to Feb 27, 2026
- RAUM · $149M to $171MSep 11, 2025 to Feb 27, 2026
- Accounts · 348 to 296Feb 23, 2024 to Mar 14, 2025
- Individual clients · 99 to 98Feb 23, 2024 to Mar 14, 2025
- Assets in custody · $141M to $149MFeb 23, 2024 to Mar 14, 2025
- Financial planning clients · 51-100 to 51-100Feb 23, 2024 to Mar 14, 2025
- Individual RAUM · $139M to $147MFeb 23, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $141M to $149MFeb 23, 2024 to Mar 14, 2025
- Pension RAUM · $1.5M to $1.7MFeb 23, 2024 to Mar 14, 2025
- RAUM · $141M to $149MFeb 23, 2024 to Mar 14, 2025
- Accounts · 90 to 348Dec 21, 2023 to Feb 23, 2024
- Individual clients · 89 to 99Dec 21, 2023 to Feb 23, 2024
- Assets in custody · $130M to $141MDec 21, 2023 to Feb 23, 2024
- Individual RAUM · $129M to $139MDec 21, 2023 to Feb 23, 2024
- Non-discretionary RAUM · $130M to $141MDec 21, 2023 to Feb 23, 2024
- Pension RAUM · $1.3M to $1.5MDec 21, 2023 to Feb 23, 2024
- RAUM · $130M to $141MDec 21, 2023 to Feb 23, 2024
- Accounts · 381 to 90Oct 13, 2022 to Mar 6, 2023
- Individual clients · 88 to 89Oct 13, 2022 to Mar 6, 2023
- Assets in custody · $152M to $130MOct 13, 2022 to Mar 6, 2023
- Employees · 2 to 1Oct 13, 2022 to Mar 6, 2023
- Individual RAUM · $151M to $129MOct 13, 2022 to Mar 6, 2023
- Non-discretionary RAUM · $152M to $130MOct 13, 2022 to Mar 6, 2023
- Pension RAUM · $1.5M to $1.3MOct 13, 2022 to Mar 6, 2023
- RAUM · $152M to $130MOct 13, 2022 to Mar 6, 2023
- Accounts · 314 to 381Jan 10, 2022 to Feb 25, 2022
- Advisory activities · 3 to 2Jan 10, 2022 to Feb 25, 2022
- Individual clients · 93 to 88Jan 10, 2022 to Feb 25, 2022
- Pension plan clients · 0 to 1Jan 10, 2022 to Feb 25, 2022
- Assets in custody · $22.9M to $152MJan 10, 2022 to Feb 25, 2022
- Individual RAUM · $135M to $151MJan 10, 2022 to Feb 25, 2022
- Non-discretionary RAUM · $135M to $152MJan 10, 2022 to Feb 25, 2022
- Pension RAUM · $0 to $1.5MJan 10, 2022 to Feb 25, 2022
- RAUM · $135M to $152MJan 10, 2022 to Feb 25, 2022
- Accounts · 78 to 314Jun 30, 2020 to Mar 22, 2021
Signals
2 dated events
- D•••••• S•••• (Administration) appeared on Schedule A of N•••• S•••• I••••••••• C••••••••• L••Sep 15, 2022 · Control person joined · fact
- N•••• S•••• I••••••••• C••••••••• L•• filed its initial SEC registration (Form ADV)May 4, 2020 · 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
- 847-445-4100reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.n••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 847-445-4100reportedpublic record, Form ADV, Feb 27, 2026
- Contact form
- n••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $171Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026