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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SEC-registered adviser
F••••• A•••• M••••••••• L••
Latest filing Sep 9, 2026
First filing on the tape Mar 23, 2021 · 11 filings
SEC status approved since Apr 23, 2021
RAUM
$231M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$220M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$76.9M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$231M as of Aug 18, 2026
Feb 11, 2022$159M then
HNW client RAUM$197M as of Aug 18, 2026
Feb 11, 2022$125M then
State-registered IARs (5.B.3)3 as of Aug 18, 2026
Feb 11, 20223 then
Employees (5.A)3 as of Aug 18, 2026
Feb 11, 20223 then
Private funds: no history
RAUM +16% over the last fiscal year+15% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Sep 9, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $76.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $492,976derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $2.5M, 4 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
- 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 cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$197M85%
- Individuals$22.7M9.9%
- Pension and profit-sharing plans$11.0M4.8%
- Individual clients
- 51reported
- HNW clients
- 55reported
- Pension plan clients
- 8reported
- Charitable clients
- 0reported
- Accounts
- 468reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.5M for 4 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• S•••••• P••••••••Certified Financial Planner, Personal Financial Specialist | Riverside, Il | Apr 24, 2006 | 20 y | 0 |
| J•••• P•••••••• M••Certified Financial Planner, Personal Financial Specialist | Riverside, Il | Jun 2, 2006 | 20 y | 0 |
| T•••• C••• M•• | Riverside, Il | Jan 2, 2020 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••• J••••• P•••••••• · Managing Member, Chief Compliance Officercontrolsince 01/2006 · owns 50% to 75%
- P••••••••• M•••• S•••••• · Membercontrolsince 01/2006 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Riverside, Il · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Aug 18, 2026 to Sep 9, 2026
- Related adviser · false to unsetAug 18, 2026 to Sep 9, 2026
- Related bank · false to unsetAug 18, 2026 to Sep 9, 2026
- Related broker-dealer · false to unsetAug 18, 2026 to Sep 9, 2026
- Related insurance company · false to unsetAug 18, 2026 to Sep 9, 2026
- Succession · false to unsetAug 18, 2026 to Sep 9, 2026
- Accounts · 456 to 468Jun 30, 2025 to Feb 20, 2026
- Assets in custody · $6.1M to $2.5MJun 30, 2025 to Feb 20, 2026
- Discretionary RAUM · $198M to $231MJun 30, 2025 to Feb 20, 2026
- HNW RAUM · $167M to $197MJun 30, 2025 to Feb 20, 2026
- Individual RAUM · $16.0M to $22.7MJun 30, 2025 to Feb 20, 2026
- Pension RAUM · $14.9M to $11.0MJun 30, 2025 to Feb 20, 2026
- RAUM · $198M to $231MJun 30, 2025 to Feb 20, 2026
- Financial planning clients · 0 to 0Feb 28, 2025 to Jun 30, 2025
- Accounts · 459 to 456Apr 10, 2024 to Feb 28, 2025
- Individual clients · 55 to 51Apr 10, 2024 to Feb 28, 2025
- Pension plan clients · 10 to 8Apr 10, 2024 to Feb 28, 2025
- Assets in custody · $6.8M to $6.1MApr 10, 2024 to Feb 28, 2025
- Discretionary RAUM · $185M to $198MApr 10, 2024 to Feb 28, 2025
- HNW RAUM · $151M to $167MApr 10, 2024 to Feb 28, 2025
- Individual RAUM · $15.0M to $16.0MApr 10, 2024 to Feb 28, 2025
- Pension RAUM · $19.0M to $14.9MApr 10, 2024 to Feb 28, 2025
- RAUM · $185M to $198MApr 10, 2024 to Feb 28, 2025
- HQ city · BERWYN to RIVERSIDEFeb 22, 2024 to Apr 10, 2024
- Accounts · 438 to 459Mar 23, 2023 to Feb 22, 2024
- Advisory activities · 5 to 4Mar 23, 2023 to Feb 22, 2024
- HNW clients · 47 to 55Mar 23, 2023 to Feb 22, 2024
- Individual clients · 60 to 55Mar 23, 2023 to Feb 22, 2024
- Pension plan clients · 9 to 10Mar 23, 2023 to Feb 22, 2024
- Assets in custody · $2.2M to $6.8MMar 23, 2023 to Feb 22, 2024
- Financial planning clients · 1-10 to 0Mar 23, 2023 to Feb 22, 2024
- Discretionary RAUM · $152M to $185MMar 23, 2023 to Feb 22, 2024
- HNW RAUM · $112M to $151MMar 23, 2023 to Feb 22, 2024
- Individual RAUM · $14.6M to $15.0MMar 23, 2023 to Feb 22, 2024
- Pension RAUM · $25.0M to $19.0MMar 23, 2023 to Feb 22, 2024
- RAUM · $152M to $185MMar 23, 2023 to Feb 22, 2024
- Accounts · 416 to 438Feb 11, 2022 to Mar 23, 2023
- HNW clients · 46 to 47Feb 11, 2022 to Mar 23, 2023
- Individual clients · 48 to 60Feb 11, 2022 to Mar 23, 2023
- Pension plan clients · 6 to 9Feb 11, 2022 to Mar 23, 2023
Signals
4 dated events
- T•••• C••• M•• added a TX registration at F••••• A•••• M••••••••• L••Sep 17, 2026 · New state registration · fact
- M••• S•••••• P•••••••• added a TX registration at F••••• A•••• M••••••••• L••Sep 15, 2026 · New state registration · fact
- J•••• P•••••••• M•• added a TX registration at F••••• A•••• M••••••••• L••Sep 15, 2026 · New state registration · fact
- F••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 23, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- F•••••ASSET.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 708-447-7086reportedpublic record, Form ADV, Sep 9, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $76.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026