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
G•••••••• R•••••••• I•••
Latest filing Mar 27, 2026
First filing on the tape Mar 30, 2012 · 18 filings
SEC status approved since Oct 21, 2008
RAUM
$864M
reported, Item 5.F
Discretionary
60%
of RAUM
Private clients
2.5%
$21.5M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$216M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$864M as of Mar 27, 2026
Mar 30, 2012$595M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 27, 2026
Mar 30, 20120 then
Employees (5.A)6 as of Mar 27, 2026
Apr 1, 20137 then
Private funds: no history
RAUM +1.6% over the last fiscal year-3.6% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- $216MderivedRAUM 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
- $459,495derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 60%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, otherreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$842M98%
- Individuals$21.5M2.5%
- Individual clients
- 4reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,880reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.02 fund_share=0.98 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• K•••• M••••• | Chicago, Il | Jul 16, 2004 | 27 y | 0 |
| D•••• M•••••• M•••••• | Chicago, Il | Aug 24, 2004 | 22 y | 0 |
| S•••• M•••••• | Chicago, Il | May 22, 2013 | 18 y | 0 |
| B•••••• M••••• | Chicago, Il | Jan 20, 2023 | 15 y | 2 |
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
- B•••••• M••••• from B••• S••••••••• L••Jan 20, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• M••••••• K•••• · President And Chief Compliance Officercontrolsince 07/2004 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,990 to 1,880Mar 27, 2025 to Mar 27, 2026
- Individual clients · 5 to 4Mar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $496M to $516MMar 27, 2025 to Mar 27, 2026
- Individual RAUM · $26.2M to $21.5MMar 27, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $355M to $348MMar 27, 2025 to Mar 27, 2026
- RAUM · $850M to $864MMar 27, 2025 to Mar 27, 2026
- Accounts · 2,554 to 1,990Jun 26, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Jun 26, 2024 to Mar 27, 2025
- Discretionary RAUM · $600M to $496MJun 26, 2024 to Mar 27, 2025
- Individual RAUM · $28.7M to $26.2MJun 26, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $414M to $355MJun 26, 2024 to Mar 27, 2025
- RAUM · $1.0B to $850MJun 26, 2024 to Mar 27, 2025
- Accounts · 2,682 to 2,554Oct 5, 2023 to Mar 29, 2024
- Individual clients · 6 to 5Oct 5, 2023 to Mar 29, 2024
- Discretionary RAUM · $549M to $600MOct 5, 2023 to Mar 29, 2024
- Individual RAUM · $24.3M to $28.7MOct 5, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $416M to $414MOct 5, 2023 to Mar 29, 2024
- RAUM · $965M to $1.0BOct 5, 2023 to Mar 29, 2024
- Accounts · 2,675 to 2,682Mar 30, 2022 to Mar 30, 2023
- Individual clients · unset to 6.0Mar 30, 2022 to Mar 30, 2023
- Employees · 7 to 6Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $626M to $549MMar 30, 2022 to Mar 30, 2023
- Individual RAUM · unset to 24287229.0Mar 30, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $440M to $416MMar 30, 2022 to Mar 30, 2023
- RAUM · $1.1B to $965MMar 30, 2022 to Mar 30, 2023
- Accounts · 2,269 to 2,675Mar 25, 2021 to Mar 30, 2022
- Discretionary RAUM · $482M to $626MMar 25, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $370M to $440MMar 25, 2021 to Mar 30, 2022
- RAUM · $852M to $1.1BMar 25, 2021 to Mar 30, 2022
- Accounts · 2,294 to 2,269Mar 30, 2020 to Mar 25, 2021
- Employees · 6 to 7Mar 30, 2020 to Mar 25, 2021
- Discretionary RAUM · $455M to $482MMar 30, 2020 to Mar 25, 2021
- Non-discretionary RAUM · $321M to $370MMar 30, 2020 to Mar 25, 2021
- RAUM · $776M to $852MMar 30, 2020 to Mar 25, 2021
- Accounts · 2,034 to 2,294Mar 28, 2019 to Mar 30, 2020
- Employees · 7 to 6Mar 28, 2019 to Mar 30, 2020
- Discretionary RAUM · $343M to $455MMar 28, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $328M to $321MMar 28, 2019 to Mar 30, 2020
- RAUM · $672M to $776MMar 28, 2019 to Mar 30, 2020
- Accounts · 2,291 to 2,034Mar 23, 2018 to Mar 28, 2019
Signals
2 dated events
- G•••••••• R•••••••• I••• reported RAUM $1.1B, up 25% from $852.1M (2021-03-25 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- G•••••••• R•••••••• I••• reported RAUM $742.1M, up 31% from $566.0M (2017-03-27 to 2018-03-23)Mar 23, 2018 · RAUM change · derived
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
- Firm profile
- linkedin.com/company/greenrock-researchreportedpublic record, Form ADV, Sep 18, 2026
- Website
- G••••••••R•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312.463.1301reportedpublic record, Form ADV, Mar 27, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $216Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026