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
C•••••• C•••••• P•••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Mar 21, 2012 · 18 filings
SEC status approved since Jun 9, 2006
RAUM
$464M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$464M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$464M as of Mar 19, 2026
Mar 21, 2012$312M then
HNW client RAUM$464M as of Mar 19, 2026
Mar 30, 2018$343M then
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 21, 20120 then
Employees (5.A)3 as of Mar 19, 2026
Mar 18, 20134 then
Private funds: no history
RAUM +1.7% over the last fiscal year+7.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- 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
- $15.5MderivedHNW RAUM over HNW clients
- Average account
- $8.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- +1.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$464M100%
- Individual clients
- 1reported
- HNW clients
- 30reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 53reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• A•••••• E•••••••• · Membercontrolsince 05/2006 · owns 25% to 50%
- L••••••••• C•••••• L• · Managing Membercontrolsince 05/2006 · owns 50% to 75%
- L••••••••• W••••••• R• · Chief Compliance Officer/Membercontrolsince 05/2006 · 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.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Mar 19, 2026RAUM per account of $8,762,528 against a peer median of $439,994 (5433 comparable advisers, 100.0th percentile, 5.6 robust deviations)peers: independent wealth managers, $100M to $500M (5,433) · 100% percentile
- unusually large average HNW clientStatic outlier · filing Mar 19, 2026HNW RAUM per HNW client of $15,480,467 against a peer median of $2,402,920 (4942 comparable advisers, 100.0th percentile, 8.8 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 44 to 53Mar 16, 2025 to Mar 19, 2026
- HNW clients · 21 to 30Mar 16, 2025 to Mar 19, 2026
- Individual clients · unset to 1.0Mar 16, 2025 to Mar 19, 2026
- Pension plan clients · unset to 1.0Mar 16, 2025 to Mar 19, 2026
- Discretionary RAUM · $457M to $464MMar 16, 2025 to Mar 19, 2026
- HNW RAUM · $457M to $464MMar 16, 2025 to Mar 19, 2026
- RAUM · $457M to $464MMar 16, 2025 to Mar 19, 2026
- Accounts · 45 to 44Mar 17, 2024 to Mar 16, 2025
- Financial planning clients · 0 to 0Mar 17, 2024 to Mar 16, 2025
- Discretionary RAUM · $439M to $457MMar 17, 2024 to Mar 16, 2025
- HNW RAUM · $439M to $457MMar 17, 2024 to Mar 16, 2025
- RAUM · $439M to $457MMar 17, 2024 to Mar 16, 2025
- Accounts · 39 to 45Mar 20, 2023 to Mar 17, 2024
- HNW clients · 18 to 21Mar 20, 2023 to Mar 17, 2024
- Discretionary RAUM · $376M to $439MMar 20, 2023 to Mar 17, 2024
- HNW RAUM · $376M to $439MMar 20, 2023 to Mar 17, 2024
- RAUM · $376M to $439MMar 20, 2023 to Mar 17, 2024
- Accounts · 20 to 39Mar 28, 2022 to Mar 20, 2023
- HNW clients · 20 to 18Mar 28, 2022 to Mar 20, 2023
- Discretionary RAUM · $385M to $376MMar 28, 2022 to Mar 20, 2023
- HNW RAUM · $385M to $376MMar 28, 2022 to Mar 20, 2023
- RAUM · $385M to $376MMar 28, 2022 to Mar 20, 2023
- Accounts · 30 to 20Nov 22, 2021 to Mar 28, 2022
- HNW clients · 30 to 20Nov 22, 2021 to Mar 28, 2022
- Financial planning clients · 26-50 to 0Nov 22, 2021 to Mar 28, 2022
- Discretionary RAUM · $339M to $385MNov 22, 2021 to Mar 28, 2022
- HNW RAUM · $339M to $385MNov 22, 2021 to Mar 28, 2022
- RAUM · $339M to $385MNov 22, 2021 to Mar 28, 2022
- Accounts · 32 to 30Jun 29, 2020 to Mar 25, 2021
- HNW clients · 32 to 30Jun 29, 2020 to Mar 25, 2021
- Discretionary RAUM · $344M to $339MJun 29, 2020 to Mar 25, 2021
- HNW RAUM · $344M to $339MJun 29, 2020 to Mar 25, 2021
- RAUM · $344M to $339MJun 29, 2020 to Mar 25, 2021
- Accounts · 31 to 32Mar 30, 2019 to Mar 31, 2020
- Advisory activities · 1 to 2Mar 30, 2019 to Mar 31, 2020
- HNW clients · 31 to 32Mar 30, 2019 to Mar 31, 2020
- Discretionary RAUM · $335M to $344MMar 30, 2019 to Mar 31, 2020
- HNW RAUM · $335M to $344MMar 30, 2019 to Mar 31, 2020
- RAUM · $335M to $344MMar 30, 2019 to Mar 31, 2020
- Discretionary RAUM · $343M to $335MMar 30, 2018 to Mar 30, 2019
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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 312-397-9090reportedpublic record, Form ADV, Mar 19, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026