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

H•••••• C•••••• M••••••••• L••

Independent wealth managerLake Forest, IllinoisCRD 132113SEC 801-133716websiteIAPD
Latest filing Mar 12, 2026
First filing on the tape May 21, 2025 · 2 filings
SEC status approved since Aug 8, 2025
RAUM
$136M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$131M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$136M
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
2 filings and snapshots on the tape
RAUM$136M as of Mar 12, 2026
May 21, 2025$116M then
HNW client RAUM$131M as of Mar 12, 2026
May 21, 2025$110M then
State-registered IARs (5.B.3)1 as of Mar 12, 2026
May 21, 20251 then
Employees (5.A)1 as of Mar 12, 2026
May 21, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 12, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$136MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
38derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$3.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.5%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
unknownderivedbetween 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$131M96%
  • Other investment advisers$2.8M2.0%
  • Pension and profit-sharing plans$2.0M1.5%
  • Individuals$512,6350.4%
Individual clients
2reported
HNW clients
36reported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
40reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.96 fund_share=0.02 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•••• D•••• P•••••Lake Forest, IlJan 3, 200522 y0
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • P•••••• J••••• D•••• · Managing Member, President, Chief Compliance Officercontrol
        since 08/2004 · 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
      • Accounts · 43 to 40
        May 21, 2025 to Mar 12, 2026
      • HNW clients · 37 to 36
        May 21, 2025 to Mar 12, 2026
      • Individual clients · 4 to 2
        May 21, 2025 to Mar 12, 2026
      • Discretionary RAUM · $116M to $136M
        May 21, 2025 to Mar 12, 2026
      • HNW RAUM · $110M to $131M
        May 21, 2025 to Mar 12, 2026
      • Individual RAUM · $524,452 to $512,635
        May 21, 2025 to Mar 12, 2026
      • Pension RAUM · $1.6M to $2.0M
        May 21, 2025 to Mar 12, 2026
      • RAUM · $116M to $136M
        May 21, 2025 to Mar 12, 2026
      Signals
      No event on the tape.
      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 email
      i•••@h•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
      Website
      H••••••CAPMGMT.COMreportedpublic record, Form ADV, Sep 19, 2026
      Principal office phone
      847-738-0801reportedpublic record, Form ADV, Mar 12, 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
      $136Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026