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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
I••••••••• C••••••• L••
Latest filing Jun 30, 2020
First filing on the tape Mar 30, 2012 · 46 filings
RAUM
$2.5B
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
94%
$2.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
18
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$2.5B as of Mar 30, 2020
Mar 30, 2012$617M then
HNW client RAUM$2.3B as of Mar 30, 2020
Mar 29, 2018$1.4B then
State-registered IARs (5.B.3)11 as of Mar 30, 2020
Mar 30, 20120 then
Employees (5.A)18 as of Mar 30, 2020
Mar 28, 20139 then
Private funds: 1
RAUM +26% over the last fiscal year+25% a year over threeIARs 10 to 11
Practice profile
derived from the filing of Jun 30, 2020; every figure names its basis
- RAUM per advisor
- $223MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 85derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $789,725derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 5.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 11.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +21%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.3B94%
- Charitable organizations$144M5.9%
- Corporations and businesses$6.6M0.3%
- Other investment advisers$4.5M0.2%
- Individuals$1.2M0.1%
- Individual clients
- 10reported
- HNW clients
- 924reported
- Pension plan clients
- 0reported
- Charitable clients
- 21reported
- Accounts
- 3,106reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- R••• A••• B•••••••• to A•••• W••••• A•••••••• L••Oct 3, 2016 · Other
- M•••••• C•••••• V•••• to A•••• W••••• A•••••••• L••Oct 3, 2016 · Other
- C••••••••• A•••• R••••• to A•• C•••••• M•••••••••Jun 5, 2014 · Other
- D•••••• W•••• B••••••••• to F•••••••• S•••••••• A••••••• G••••Feb 13, 2009 · Other
Joined, latest
- M•••••• L•• D•••• from S••••• W••••• A•••••••• I•••Aug 10, 2020 · Other
- J•••• R• H•••••• from K••••• A••••••• S•••••••• L••Oct 30, 2018 · Other
- R•••• J•• P••••••• from C•••• H••• A••••••••• L••Aug 10, 2017 · Other
- J•••• L•• B••• from C•••••• S••••• • C••• I•••Apr 13, 2016 · Other
- M•••••• C•••••• V•••• from I•• W••••• M••••••••• I•••May 29, 2014 · Other
- C••••••••• A•••• R••••• from K••••• I••••••••• G••••• L••Jan 11, 2010 · Other
- M••• E• C••• from M••••• S•••••• D• I•••Feb 8, 2006 · Other
- J•••••• S•••• C••• from M••••• S•••••• D• I•••Nov 23, 2005 · Other
- R••• S•••• E•••••• from M••••• S•••••• D• I•••Nov 23, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 12 left for I••••••••• C••••••Oct 14, 2020 · Chicago, Il · Firm absorbed
- 2 left for A•••• W••••• A•••••••• L••Oct 3, 2016 · Chicago, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• J••••••• S• · Chief Financial Officer, Chief Operations Officer, Membercontrolsince 11/2005 · owns 10% to 25%
- E••••••• R•••• S• · Chief Executive Officer, Membercontrolsince 11/2005 · owns 25% to 50%
- P•••••••• R••••• J•• · Managing Directorcontrolsince 06/2017 · owns less than 5%
- S•••••• F••••••• P•••••• · Chief Compliance Officercontrolsince 12/2015 · owns less than 5%
- C•••• M•••• E• · Membersince 11/2005 · owns 10% to 25%
Related persons
Schedule D 7.A
- I••••••••• C•••••• • T•• L••investment adviseryRAUM $116M
Advisers that list I••••••••• C••••••• L•• as a related person
- 151867 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,739 to 3,106Mar 30, 2019 to Mar 30, 2020
- Advisory employees · 11 to 13Mar 30, 2019 to Mar 30, 2020
- HNW clients · 768 to 924Mar 30, 2019 to Mar 30, 2020
- Individual clients · 6 to 10Mar 30, 2019 to Mar 30, 2020
- Pension plan clients · unset to 0.0Mar 30, 2019 to Mar 30, 2020
- Assets in custody · $65.2M to $111MMar 30, 2019 to Mar 30, 2020
- Employees · 16 to 18Mar 30, 2019 to Mar 30, 2020
- State-registered IARs · 10 to 11Mar 30, 2019 to Mar 30, 2020
- Discretionary RAUM · $1.5B to $2.0BMar 30, 2019 to Mar 30, 2020
- HNW RAUM · $1.8B to $2.3BMar 30, 2019 to Mar 30, 2020
- Individual RAUM · $909,952 to $1.2MMar 30, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $405M to $490MMar 30, 2019 to Mar 30, 2020
- Pension RAUM · $3.4M to $0Mar 30, 2019 to Mar 30, 2020
- RAUM · $1.9B to $2.5BMar 30, 2019 to Mar 30, 2020
- Accounts · 2,138 to 2,739Nov 5, 2018 to Mar 30, 2019
- Advisory employees · 10 to 11Nov 5, 2018 to Mar 30, 2019
- Charity clients · 19 to 21Nov 5, 2018 to Mar 30, 2019
- HNW clients · 619 to 768Nov 5, 2018 to Mar 30, 2019
- Individual clients · unset to 6.0Nov 5, 2018 to Mar 30, 2019
- Assets in custody · unset to 65212241.0Nov 5, 2018 to Mar 30, 2019
- State-registered IARs · 7 to 10Nov 5, 2018 to Mar 30, 2019
- Discretionary RAUM · $1.1B to $1.5BNov 5, 2018 to Mar 30, 2019
- HNW RAUM · $1.4B to $1.8BNov 5, 2018 to Mar 30, 2019
- Individual RAUM · $158M to $909,952Nov 5, 2018 to Mar 30, 2019
- Non-discretionary RAUM · $584M to $405MNov 5, 2018 to Mar 30, 2019
- Pension RAUM · $3.5M to $3.4MNov 5, 2018 to Mar 30, 2019
- RAUM · $1.7B to $1.9BNov 5, 2018 to Mar 30, 2019
- Accounts · 1,707 to 2,138Feb 15, 2018 to Mar 29, 2018
- Advisory employees · 6 to 10Feb 15, 2018 to Mar 29, 2018
- Advisory activities · 6 to 5Feb 15, 2018 to Mar 29, 2018
- Charity clients · 18 to 19Feb 15, 2018 to Mar 29, 2018
- HNW clients · 459 to 619Feb 15, 2018 to Mar 29, 2018
- Employees · 14 to 16Feb 15, 2018 to Mar 29, 2018
- Financial planning clients · 101-250 to 251-500Feb 15, 2018 to Mar 29, 2018
- State-registered IARs · 5 to 7Feb 15, 2018 to Mar 29, 2018
- Discretionary RAUM · $750M to $1.1BFeb 15, 2018 to Mar 29, 2018
- HNW RAUM · $1.2B to $1.4BFeb 15, 2018 to Mar 29, 2018
- Individual RAUM · $694,931 to $158MFeb 15, 2018 to Mar 29, 2018
- Non-discretionary RAUM · $517M to $584MFeb 15, 2018 to Mar 29, 2018
- Pension RAUM · $3.1M to $3.5MFeb 15, 2018 to Mar 29, 2018
Signals
2 dated events
- I••••••••• C••••••• L•• reported RAUM $2.5B, up 26% from $1.9B (2019-03-30 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- I••••••••• C••••••• L•• reported RAUM $1.7B, up 31% from $1.3B (2018-02-15 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- I••••••••• C••••••• L•• · Private Equityshared crd · organization
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