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

O•• A•••• M••••••••• L••

Former SEC-registered adviserOak Brook, IllinoisCRD 139790SEC 801-71486IAPD
Latest filing Nov 6, 2020
First filing on the tape Mar 15, 2012 · 16 filings
RAUM
$209M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
56%
$117M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
16 filings and snapshots on the tape
RAUM$209M as of Apr 20, 2020
Mar 15, 2012$92.0M then
HNW client RAUM$88.7M as of Apr 20, 2020
Feb 27, 2018$71.0M then
State-registered IARs (5.B.3)1 as of Apr 20, 2020
Mar 15, 20120 then
Employees (5.A)1 as of Apr 20, 2020
Mar 21, 20133 then
Private funds: no history
RAUM +19% over the last fiscal year+12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Nov 6, 2020; every figure names its basis
RAUM per advisor
$209MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
87derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
44%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
+19%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-36%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$92.1M44%
  • High-net-worth individuals$88.7M42%
  • Individuals$28.2M13%
Individual clients
30reported
HNW clients
57reported
Pension plan clients
49reported
Charitable clients
n/areported
Accounts
136reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S••••• S••••• A•••••• · President/Managing Member, Chief Compliance Officercontrol
    since 01/2006 · owns 25% to 50%
  • B••••• S•••• · Member
    since 01/2006 · owns 25% to 50%
  • S••••••• J•••••• M••••• · Member
    since 01/2006 · owns 25% to 50%
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 · 339 to 136
    Feb 22, 2019 to Apr 20, 2020
  • HNW clients · 27 to 57
    Feb 22, 2019 to Apr 20, 2020
  • Individual clients · 109 to 30
    Feb 22, 2019 to Apr 20, 2020
  • Pension plan clients · 67 to 49
    Feb 22, 2019 to Apr 20, 2020
  • Discretionary RAUM · $173M to $206M
    Feb 22, 2019 to Apr 20, 2020
  • HNW RAUM · $68.9M to $88.7M
    Feb 22, 2019 to Apr 20, 2020
  • Individual RAUM · $40.3M to $28.2M
    Feb 22, 2019 to Apr 20, 2020
  • Non-discretionary RAUM · $3.0M to $2.6M
    Feb 22, 2019 to Apr 20, 2020
  • Pension RAUM · $67.0M to $92.1M
    Feb 22, 2019 to Apr 20, 2020
  • RAUM · $176M to $209M
    Feb 22, 2019 to Apr 20, 2020
  • Accounts · 303 to 339
    Feb 27, 2018 to Feb 22, 2019
  • HNW clients · 28 to 27
    Feb 27, 2018 to Feb 22, 2019
  • Individual clients · 69 to 109
    Feb 27, 2018 to Feb 22, 2019
  • Pension plan clients · 56 to 67
    Feb 27, 2018 to Feb 22, 2019
  • Employees · 3 to 1
    Feb 27, 2018 to Feb 22, 2019
  • Financial planning clients · 0 to 1-10
    Feb 27, 2018 to Feb 22, 2019
  • Discretionary RAUM · $179M to $173M
    Feb 27, 2018 to Feb 22, 2019
  • HNW RAUM · $71.0M to $68.9M
    Feb 27, 2018 to Feb 22, 2019
  • Individual RAUM · $22.9M to $40.3M
    Feb 27, 2018 to Feb 22, 2019
  • Non-discretionary RAUM · $5.6M to $3.0M
    Feb 27, 2018 to Feb 22, 2019
  • Pension RAUM · $91.0M to $67.0M
    Feb 27, 2018 to Feb 22, 2019
  • RAUM · $185M to $176M
    Feb 27, 2018 to Feb 22, 2019
  • Accounts · 316 to 303
    Mar 23, 2017 to Feb 27, 2018
  • HNW clients · unset to 28.0
    Mar 23, 2017 to Feb 27, 2018
  • Individual clients · unset to 69.0
    Mar 23, 2017 to Feb 27, 2018
  • Pension plan clients · unset to 56.0
    Mar 23, 2017 to Feb 27, 2018
  • Other offices · unset to 0.0
    Mar 23, 2017 to Feb 27, 2018
  • Discretionary RAUM · $148M to $179M
    Mar 23, 2017 to Feb 27, 2018
  • HNW RAUM · unset to 71000000.0
    Mar 23, 2017 to Feb 27, 2018
  • Individual RAUM · unset to 22900000.0
    Mar 23, 2017 to Feb 27, 2018
  • Non-discretionary RAUM · $0 to $5.6M
    Mar 23, 2017 to Feb 27, 2018
  • Pension RAUM · unset to 91000000.0
    Mar 23, 2017 to Feb 27, 2018
  • RAUM · $148M to $185M
    Mar 23, 2017 to Feb 27, 2018
  • Accounts · 301 to 316
    Oct 31, 2016 to Mar 23, 2017
  • Discretionary RAUM · $138M to $148M
    Oct 31, 2016 to Mar 23, 2017
  • RAUM · $138M to $148M
    Oct 31, 2016 to Mar 23, 2017
  • Accounts · 305 to 301
    Oct 25, 2016 to Oct 31, 2016
  • Non-discretionary RAUM · $8.1M to $0
    Oct 25, 2016 to Oct 31, 2016
  • RAUM · $146M to $138M
    Oct 25, 2016 to Oct 31, 2016
  • Discretionary RAUM · $146M to $138M
    May 23, 2016 to Oct 25, 2016
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