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.

Former SEC-registered adviser

Bmo Harris Financial Advisors, Inc

Former SEC-registered adviserChicago, IllinoisCRD 137115SEC 801-64847IAPD
Latest filing Apr 21, 2021
First filing on the tape Feb 17, 2012 · 49 filings
RAUM
$5.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$5.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
35
0 advisory (5.B.1)
Offices
497
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$5.1B as of Mar 31, 2021
Mar 30, 2012$892M then
HNW client RAUM$1.8B as of Mar 31, 2021
Mar 29, 2018$972M then
State-registered IARs (5.B.3)8 as of Mar 31, 2021
Apr 1, 2013241 then
Employees (5.A)35 as of Mar 31, 2021
Apr 1, 2013392 then
Private funds: no history
RAUM +4.8% over the last fiscal year+5.9% a year over threeIARs 182 to 8offices 531 to 497
Practice profile
derived from the filing of Apr 21, 2021; every figure names its basis
RAUM per advisor
$643MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
2,115derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$696,074derivedHNW RAUM over HNW clients
Average account
$301,818derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.4derivedItem 5.A over advisors
Advisors per office
0.0derived498 offices incl. principal (1.F.5)
RAUM growth, one year
+4.8%derivedbetween the last two annual amendments
Advisor growth, one year
-96%derivedItem 5.B.3 between annual amendments
Client growth, one year
-4.4%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
Financial planning clients
12,000reportedItem 5.H
Wrap fee program
$5.1BreportedItem 5.I
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$3.3B64%
  • High-net-worth individuals$1.8B35%
  • Corporations and businesses$23.3M0.5%
  • Pension and profit-sharing plans$12.8M0.2%
  • Charitable organizations$5.6M0.1%
  • State and municipal entities$441,6730.0%
Individual clients
14,295reported
HNW clients
2,622reported
Pension plan clients
38reported
Charitable clients
17reported
Accounts
17,043reported
Financial planning clients
12,000reported
Wrap fee programs
$3.9B sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Jennifer Ann Bures · Director Of Operationscontrol
    since 01/2019 · owns less than 5%
  • Darrel Harris Hackett · Directorcontrol
    since 03/2015 · owns less than 5%
  • Stephen A Johnson · Directorcontrol
    since 09/2014 · owns less than 5%
  • Susan G Oleari · Directorcontrol
    since 06/2016 · owns less than 5%
  • Clare K Pierce · Directorcontrol
    since 06/2018 · owns less than 5%
  • Steven Sia Zandpour · Directorcontrol
    since 07/2019 · owns less than 5%
  • Amanda Jane Demas · Secretary
    since 12/2015 · owns less than 5%
  • Stephanie Ann Lake · Chief Financial Officer, Fin Op
    since 09/2014 · owns less than 5%
  • Darren Charles Mcmillan · Chief Compliance Officer
    since 05/2018 · owns less than 5%
  • Steven John Zakrzewski · Anti-Money Laundering Officer
    since 11/2017 · owns less than 5%
Entity owners
  • Bmo Financial Corp · Shareholder
    direct · owns 75% or more
  • Bank Of Montreal · Shareholder
    indirect · owns 75% or more of Bmo Financial Corp. · public reporting company
Related persons
Schedule D 7.A
Advisers that list Bmo Harris Financial Advisors, Inc as a related person
Offices
Schedule D 1.F, the 25 largest
  • Brookfield, WI4 employees
  • Janesville, WI4 employees
  • Naperville, IL4 employees
  • Scottsdale, AZ2 employees
  • Hinsdale, IL2 employees
  • Wausau, WI2 employees
  • Madison, WI2 employees
  • Cary, IL1 employees
  • Palatine, IL1 employees
  • Evergreen Park, IL1 employees
  • Batavia, IL1 employees
  • Roselle, IL1 employees
  • Gurnee, IL1 employees
  • Huntley, IL1 employees
  • Woodstock, IL1 employees
  • Wheeling, IL1 employees
  • Scottsdale, AZ1 employees
  • Frankfort, IL1 employees
  • New Lenox, IL1 employees
  • Libertyville, IL1 employees
  • Bloomingdale, IL1 employees
  • Hoffman Estates, IL1 employees
  • Barrington, IL1 employees
  • Crystal Lake, IL1 employees
  • Barrington, IL1 employees
What changed
consecutive filings, newest first
  • Accounts · 17,857 to 17,043
    Jun 29, 2020 to Mar 31, 2021
  • Advisory employees · 211 to 0
    Jun 29, 2020 to Mar 31, 2021
  • BD registered reps · 217 to 24
    Jun 29, 2020 to Mar 31, 2021
  • Charity clients · 22 to 17
    Jun 29, 2020 to Mar 31, 2021
  • Corporate clients · 95 to 70
    Jun 29, 2020 to Mar 31, 2021
  • HNW clients · 3,508 to 2,622
    Jun 29, 2020 to Mar 31, 2021
  • Individual clients · 14,179 to 14,295
    Jun 29, 2020 to Mar 31, 2021
  • Pension plan clients · 49 to 38
    Jun 29, 2020 to Mar 31, 2021
  • Employees · 245 to 35
    Jun 29, 2020 to Mar 31, 2021
  • State-registered IARs · 182 to 8
    Jun 29, 2020 to Mar 31, 2021
  • Other offices · 531 to 497
    Jun 29, 2020 to Mar 31, 2021
  • Discretionary RAUM · $4.9B to $5.1B
    Jun 29, 2020 to Mar 31, 2021
  • HNW RAUM · $1.9B to $1.8B
    Jun 29, 2020 to Mar 31, 2021
  • Individual RAUM · $2.9B to $3.3B
    Jun 29, 2020 to Mar 31, 2021
  • Pension RAUM · $14.0M to $12.8M
    Jun 29, 2020 to Mar 31, 2021
  • RAUM · $4.9B to $5.1B
    Jun 29, 2020 to Mar 31, 2021
  • Wrap assets (sponsor) · $3.8B to $3.9B
    Jun 29, 2020 to Mar 31, 2021
  • Accounts · 17,845 to 17,857
    Nov 4, 2019 to Mar 31, 2020
  • Advisory employees · 250 to 211
    Nov 4, 2019 to Mar 31, 2020
  • BD registered reps · 272 to 217
    Nov 4, 2019 to Mar 31, 2020
  • Charity clients · 28 to 22
    Nov 4, 2019 to Mar 31, 2020
  • Corporate clients · 103 to 95
    Nov 4, 2019 to Mar 31, 2020
  • HNW clients · 879 to 3,508
    Nov 4, 2019 to Mar 31, 2020
  • Individual clients · 16,571 to 14,179
    Nov 4, 2019 to Mar 31, 2020
  • Pension plan clients · 81 to 49
    Nov 4, 2019 to Mar 31, 2020
  • Employees · 288 to 245
    Nov 4, 2019 to Mar 31, 2020
  • State-registered IARs · 201 to 182
    Nov 4, 2019 to Mar 31, 2020
  • Other offices · 541 to 531
    Nov 4, 2019 to Mar 31, 2020
  • Discretionary RAUM · $4.1B to $4.9B
    Nov 4, 2019 to Mar 31, 2020
  • HNW RAUM · $770M to $1.9B
    Nov 4, 2019 to Mar 31, 2020
  • Individual RAUM · $3.3B to $2.9B
    Nov 4, 2019 to Mar 31, 2020
  • Pension RAUM · $33.5M to $14.0M
    Nov 4, 2019 to Mar 31, 2020
  • RAUM · $4.1B to $4.9B
    Nov 4, 2019 to Mar 31, 2020
  • Wrap assets (sponsor) · $3.8B to $3.8B
    Nov 4, 2019 to Mar 31, 2020
  • Accounts · 17,003 to 17,845
    Feb 11, 2019 to Mar 29, 2019
  • Advisory employees · 237 to 250
    Feb 11, 2019 to Mar 29, 2019
  • Advisory activities · 6 to 4
    Feb 11, 2019 to Mar 29, 2019
  • BD registered reps · 228 to 272
    Feb 11, 2019 to Mar 29, 2019
  • Charity clients · unset to 28.0
    Feb 11, 2019 to Mar 29, 2019
  • Corporate clients · 99 to 103
    Feb 11, 2019 to Mar 29, 2019
Signals
10 dated events
  • Bmo Harris Financial Advisors, Inc reported 497 offices beyond its principal office, down from 531 (2020-06-29 to 2021-03-31)
    Mar 31, 2021 · Office count change · derived
  • Bmo Harris Financial Advisors, Inc reported 8 state-registered advisory representatives, down from 182 (2020-06-29 to 2021-03-31)
    Mar 31, 2021 · Advisor headcount change · derived
  • Wallace William Jr Harris (President, Ceo, Director) no longer on Schedule A of Bmo Harris Financial Advisors, Inc (listed 2020-06-29, absent 2021-03-31)
    Mar 31, 2021 · Control person left · inference
  • Bmo Harris Financial Advisors, Inc reported 531 offices beyond its principal office, down from 541 (2019-11-04 to 2020-03-31)
    Mar 31, 2020 · Office count change · derived
  • Anthony Tintinalli (Director) no longer on Schedule A of Bmo Harris Financial Advisors, Inc (listed 2019-09-05, absent 2019-09-11)
    Sep 11, 2019 · Control person left · inference
  • Steven Sia Zandpour (Director) appeared on Schedule A of Bmo Harris Financial Advisors, Inc
    Sep 5, 2019 · Control person joined · fact
  • Rebecca Susan Tascona (Director) no longer on Schedule A of Bmo Harris Financial Advisors, Inc (listed 2019-03-29, absent 2019-09-05)
    Sep 5, 2019 · Control person left · inference
  • Clare K Pierce (Director) appeared on Schedule A of Bmo Harris Financial Advisors, Inc
    Feb 11, 2019 · Control person joined · fact
  • Alexandra Dousmanis-Curtis (Chairman) no longer on Schedule A of Bmo Harris Financial Advisors, Inc (listed 2018-10-03, absent 2019-02-11)
    Feb 11, 2019 · Control person left · inference
  • Bmo Harris Financial Advisors, Inc reported RAUM $4.3B, down 65% from $12.2B (2017-09-13 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