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

I••••••• P•••••• E••••• F••••••••• G•••• L••

Former SEC-registered adviserChicago, IllinoisCRD 133363SEC 801-69397IAPD
Latest filing Apr 19, 2017
First filing on the tape Mar 15, 2012 · 8 filings
RAUM
$31.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$400,000 as of Mar 28, 2017
Mar 15, 2012$116M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2017
Mar 15, 20120 then
Employees (5.A)0 as of Mar 28, 2017
Mar 28, 20130 then
Private funds: no history
RAUM -57% over the last fiscal year-34% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 19, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$31.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-99%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$31.3M, 1 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 discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$31.3M for 1 clientsreported
Compensation
performancereported
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
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
    • L•••• I••••• C••••• · Chief Investment Officercontrol
      since 05/2004 · owns less than 5%
    • R•••• A•••• · Chief Executive Officercontrol
      since 10/2004 · owns less than 5%
    • R•••• A•••• · Membercontrol
      since 11/1986 · owns 75% or more of R••• Group Ltd.
    • W••••••• S••••••• L••••••• · Chief Compliance Officer And Chief Administrative Officer
      since 10/2004 · owns 10% to 25%
    Entity owners
    • M••••• • M••••• A•••• M••••••••• · Manager
      direct · owns 75% or more
    • R••• G••••• L••• · Member - Common
      indirect · owns 25% to 50% of M••••• & M••••• Asset Management, LLC
    Related persons
    Schedule D 7.A
    • A•••• E•••••• G•• L••
      investment adviserpooled vehicle sponsorn
    • C••• H•••• L••
      investment adviserpooled vehicle sponsorn
    • M• P•••••• E••••• F••••••••• G•••• L••
      investment adviserpooled vehicle sponsorn
    • M•••••••• G•••• L••
      investment adviserpooled vehicle sponsorn
    • M••••• • M••••• A•••• M•••••••••
      investment adviserpooled vehicle sponsoryRAUM $1.7B
    • P•••••• C••••••••• M•••••• • G•••••• L••
      investment adviserpooled vehicle sponsorn
    • S••••• S••• G•••• L••
      investment adviserpooled vehicle sponsorn
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Assets in custody · $47.8M to $31.3M
      Mar 28, 2017 to Apr 19, 2017
    • Discretionary RAUM · $400,000 to $31.3M
      Mar 28, 2017 to Apr 19, 2017
    • RAUM · $400,000 to $31.3M
      Mar 28, 2017 to Apr 19, 2017
    • Discretionary RAUM · $72.4M to $400,000
      Aug 17, 2016 to Mar 28, 2017
    • RAUM · $72.4M to $400,000
      Aug 17, 2016 to Mar 28, 2017
    • Assets in custody · $62.9M to $47.8M
      Mar 25, 2015 to Mar 29, 2016
    • Discretionary RAUM · $88.8M to $72.4M
      Mar 25, 2015 to Mar 29, 2016
    • RAUM · $88.8M to $72.4M
      Mar 25, 2015 to Mar 29, 2016
    • Assets in custody · $108M to $62.9M
      Mar 25, 2014 to Mar 25, 2015
    • Discretionary RAUM · $108M to $88.8M
      Mar 25, 2014 to Mar 25, 2015
    • RAUM · $108M to $88.8M
      Mar 25, 2014 to Mar 25, 2015
    • Assets in custody · $0 to $108M
      Mar 28, 2013 to Mar 25, 2014
    • Discretionary RAUM · $106M to $108M
      Mar 28, 2013 to Mar 25, 2014
    • RAUM · $106M to $108M
      Mar 28, 2013 to Mar 25, 2014
    • Employees · unset to 0.0
      Mar 15, 2012 to Mar 28, 2013
    • Discretionary RAUM · $116M to $106M
      Mar 15, 2012 to Mar 28, 2013
    • RAUM · $116M to $106M
      Mar 15, 2012 to Mar 28, 2013
    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.
    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