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

P•••••• C•••••• M••••••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 134439SEC 801-64079IAPD
Latest filing Mar 26, 2019
First filing on the tape Mar 30, 2012 · 11 filings
RAUM
$419M
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
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$81.3M gross assets
History
11 filings and snapshots on the tape
RAUM$419M as of Mar 26, 2019
Mar 30, 2012$381M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2019
Mar 28, 20130 then
Employees (5.A)6 as of Mar 26, 2019
Mar 28, 201310 then
Private funds1 as of Mar 26, 2019
Mar 30, 20123 then
RAUM -45% over the last fiscal year+55% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2019; 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
$105MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
81%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
-45%derivedbetween 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$81.3M, 3 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$338M81%
  • Pooled investment vehicles$81.3M19%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$81.3M for 3 clientsreported
Compensation
% of AUM, 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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•••••• J•••• A••••••••• M••••••••• ••••••• F•••• L•••no longer reportedHedge Fund$81.6M41Mar 30, 2012
      P•••••• J•••• A••••••••• M••••••••• ••••• F•••• L•••no longer reportedHedge Fund$31.2M58Mar 30, 2012
      J•••• S•••••••• W•••••• F•••Hedge Fund$5.0M1Mar 29, 2021
      P•••••• J•••• A••••••••• M••••••••• F•••• L•••Hedge Fund$5.0M1Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • M••••••• C••••••••• S•••• · Chief Compliance Officercontrol
        since 02/2005 · owns 75% or more
      • M••••••• A•••••• · Partner
        since 08/2007 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • A•••••• M••••••
        pooled vehicle sponsory
      • B•••• M•••••••
        pooled vehicle sponsorn
      • C••••••••• S•••• M••••••
        pooled vehicle sponsory
      • P••••• H•••••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $253M to $81.3M
        Apr 12, 2018 to Mar 26, 2019
      • Discretionary RAUM · $757M to $419M
        Apr 12, 2018 to Mar 26, 2019
      • Pension RAUM · $504M to $338M
        Apr 12, 2018 to Mar 26, 2019
      • Pooled vehicle RAUM · $253M to $81.3M
        Apr 12, 2018 to Mar 26, 2019
      • RAUM · $757M to $419M
        Apr 12, 2018 to Mar 26, 2019
      • Advisory employees · 1 to 3
        Mar 6, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 6, 2017 to Mar 29, 2018
      • Assets in custody · $109M to $253M
        Mar 6, 2017 to Mar 29, 2018
      • Employees · 5 to 6
        Mar 6, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 6, 2017 to Mar 29, 2018
      • Discretionary RAUM · $298M to $757M
        Mar 6, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 504287496.0
        Mar 6, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 252543848.0
        Mar 6, 2017 to Mar 29, 2018
      • RAUM · $298M to $757M
        Mar 6, 2017 to Mar 29, 2018
      • Accounts · 3 to 4
        Mar 30, 2016 to Mar 6, 2017
      • Assets in custody · $113M to $109M
        Mar 30, 2016 to Mar 6, 2017
      • Employees · 4 to 5
        Mar 30, 2016 to Mar 6, 2017
      • Discretionary RAUM · $113M to $298M
        Mar 30, 2016 to Mar 6, 2017
      • RAUM · $113M to $298M
        Mar 30, 2016 to Mar 6, 2017
      • Related bank · false to true
        Mar 30, 2016 to Mar 6, 2017
      • Advisory employees · 3 to 1
        Apr 10, 2015 to Mar 30, 2016
      • Assets in custody · $157M to $113M
        Apr 10, 2015 to Mar 30, 2016
      • Employees · 7 to 4
        Apr 10, 2015 to Mar 30, 2016
      • Discretionary RAUM · $157M to $113M
        Apr 10, 2015 to Mar 30, 2016
      • RAUM · $157M to $113M
        Apr 10, 2015 to Mar 30, 2016
      • Accounts · 5 to 3
        Apr 15, 2014 to Mar 30, 2015
      • Advisory employees · 4 to 3
        Apr 15, 2014 to Mar 30, 2015
      • Assets in custody · $111M to $157M
        Apr 15, 2014 to Mar 30, 2015
      • Employees · 12 to 7
        Apr 15, 2014 to Mar 30, 2015
      • Private funds · 3 to 1
        Apr 15, 2014 to Mar 30, 2015
      • Discretionary RAUM · $818M to $157M
        Apr 15, 2014 to Mar 30, 2015
      • RAUM · $818M to $157M
        Apr 15, 2014 to Mar 30, 2015
      • Accounts · 3 to 5
        Mar 28, 2013 to Mar 17, 2014
      • Advisory employees · 3 to 4
        Mar 28, 2013 to Mar 17, 2014
      • Assets in custody · $40.3M to $111M
        Mar 28, 2013 to Mar 17, 2014
      • Employees · 10 to 12
        Mar 28, 2013 to Mar 17, 2014
      • Discretionary RAUM · $252M to $818M
        Mar 28, 2013 to Mar 17, 2014
      • RAUM · $252M to $818M
        Mar 28, 2013 to Mar 17, 2014
      • Advisory employees · unset to 3.0
        Mar 30, 2012 to Mar 28, 2013
      • Assets in custody · unset to 40298517.0
        Mar 30, 2012 to Mar 28, 2013
      Signals
      2 dated events
      • P•••••• C•••••• M••••••••• L•• reported RAUM $418.8M, down 45% from $756.8M (2018-04-12 to 2019-03-26)
        Mar 26, 2019 · RAUM change · derived
      • P•••••• C•••••• M••••••••• L•• reported RAUM $756.8M, up 154% from $297.6M (2017-03-06 to 2018-03-29)
        Mar 29, 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.
      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