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
H•••••• C••• I••••••••• A•••••••• I•••
Latest filing Feb 17, 2021
First filing on the tape Mar 12, 2012 · 22 filings
RAUM
$443M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$441M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$443M as of Feb 17, 2021
Mar 12, 2012$156M then
HNW client RAUM$412M as of Feb 17, 2021
Feb 2, 2018$311M then
State-registered IARs (5.B.3)3 as of Feb 17, 2021
Mar 12, 20120 then
Employees (5.A)5 as of Feb 17, 2021
Feb 22, 20134 then
Private funds: no history
RAUM +14% over the last fiscal year+9.3% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 17, 2021; every figure names its basis
- RAUM per advisor
- $148MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $760,377derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$412M93%
- Individuals$28.6M6.5%
- Charitable organizations$1.5M0.3%
- Individual clients
- 84reported
- HNW clients
- 135reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 582reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
Left, latest
- P••••• J•••••• C••• to C••••• I••••••••• A••••••• L••Dec 9, 2021 · Other
- M•••••• J•••• W••••••• to M•• C•••••• M••••••••• L••Dec 9, 2021 · RIA to RIA
- J••• L•••••• H•••••• to M•• C•••••• M••••••••• L••Dec 9, 2021 · RIA to RIA
- R•••••• M••••• C•••••• to B•••• • Y•••• I••••••••• A•••••••• I•••Apr 14, 2009 · Other
- G•••• A•••• B•••• to B•••• • Y•••• I••••••••• A•••••••• I•••Apr 14, 2009 · Other
Joined, latest
- M•••••• J•••• W••••••• from C•••••••• G••••• M•••••• I•••Nov 4, 2015 · Other
- G•••• A•••• B•••• from G••••••• F•••••••• P••••••• C•••••••••Oct 17, 2006 · Other
- J••• L•••••• H•••••• from C••••• I••••••••• A••••••• L••Oct 17, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M•• C•••••• M••••••••• L••Dec 9, 2021 · Northbrook, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• P•••••• J•••••• · Vice President, Ccocontrolsince 08/2012 · owns 50% to 75%
- H••••••• J•••• L•••••• · Presidentcontrolsince 09/2006 · owns 50% to 75%
- W•••••••• M••••••• J•••• · Senior Advisorsince 09/2015 · owns less than 5%
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 · 517 to 582Sep 22, 2020 to Feb 17, 2021
- HNW clients · 122 to 135Sep 22, 2020 to Feb 17, 2021
- Individual clients · 83 to 84Sep 22, 2020 to Feb 17, 2021
- Discretionary RAUM · $388M to $443MSep 22, 2020 to Feb 17, 2021
- HNW RAUM · $359M to $412MSep 22, 2020 to Feb 17, 2021
- Individual RAUM · $28.0M to $28.6MSep 22, 2020 to Feb 17, 2021
- Non-discretionary RAUM · $912,620 to $0Sep 22, 2020 to Feb 17, 2021
- RAUM · $389M to $443MSep 22, 2020 to Feb 17, 2021
- Accounts · 479 to 517Mar 4, 2019 to Feb 10, 2020
- HNW clients · 112 to 122Mar 4, 2019 to Feb 10, 2020
- Individual clients · 71 to 83Mar 4, 2019 to Feb 10, 2020
- Discretionary RAUM · $323M to $388MMar 4, 2019 to Feb 10, 2020
- HNW RAUM · $297M to $359MMar 4, 2019 to Feb 10, 2020
- Individual RAUM · $24.8M to $28.0MMar 4, 2019 to Feb 10, 2020
- Non-discretionary RAUM · $0 to $912,620Mar 4, 2019 to Feb 10, 2020
- RAUM · $323M to $389MMar 4, 2019 to Feb 10, 2020
- Discretionary RAUM · $334M to $323MFeb 12, 2019 to Mar 4, 2019
- HNW RAUM · $308M to $297MFeb 12, 2019 to Mar 4, 2019
- RAUM · $334M to $323MFeb 12, 2019 to Mar 4, 2019
- Accounts · 439 to 479Feb 2, 2018 to Feb 12, 2019
- Charity clients · unset to 1.0Feb 2, 2018 to Feb 12, 2019
- HNW clients · 109 to 112Feb 2, 2018 to Feb 12, 2019
- Individual clients · 58 to 71Feb 2, 2018 to Feb 12, 2019
- Discretionary RAUM · $339M to $334MFeb 2, 2018 to Feb 12, 2019
- HNW RAUM · $311M to $308MFeb 2, 2018 to Feb 12, 2019
- Individual RAUM · $27.7M to $24.8MFeb 2, 2018 to Feb 12, 2019
- RAUM · $339M to $334MFeb 2, 2018 to Feb 12, 2019
- Accounts · 407 to 439Feb 6, 2017 to Feb 2, 2018
- HNW clients · unset to 109.0Feb 6, 2017 to Feb 2, 2018
- Individual clients · unset to 58.0Feb 6, 2017 to Feb 2, 2018
- Other offices · unset to 0.0Feb 6, 2017 to Feb 2, 2018
- Discretionary RAUM · $285M to $339MFeb 6, 2017 to Feb 2, 2018
- HNW RAUM · unset to 311152844.0Feb 6, 2017 to Feb 2, 2018
- Individual RAUM · unset to 27741261.0Feb 6, 2017 to Feb 2, 2018
- Non-discretionary RAUM · $1.1M to $0Feb 6, 2017 to Feb 2, 2018
- RAUM · $286M to $339MFeb 6, 2017 to Feb 2, 2018
- Accounts · 331 to 407Apr 4, 2016 to Feb 6, 2017
- Discretionary RAUM · $234M to $285MApr 4, 2016 to Feb 6, 2017
- Non-discretionary RAUM · $25.1M to $1.1MApr 4, 2016 to Feb 6, 2017
- RAUM · $259M to $286MApr 4, 2016 to Feb 6, 2017
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