DFX Intelligence
RIA Intelligence
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SEC-registered adviser
T•••••• B••••
Legal name T•••••• B••••• L••
Latest filing Mar 25, 2026
First filing on the tape Mar 14, 2012 · 14 filings
SEC status approved since Apr 8, 2021
RAUM
$196M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
97%
$191M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$196M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$196M as of Mar 25, 2026
Mar 14, 2012$61.3M then
HNW client RAUM$171M as of Mar 25, 2026
Mar 25, 2022$100M then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Mar 14, 20120 then
Employees (5.A)2 as of Mar 25, 2026
Mar 25, 20222 then
Private funds: no history
RAUM +13% over the last fiscal year+16% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $196MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 128derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $525,603derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $10.3M, 5 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$171M87%
- Individuals$19.7M10%
- Pension and profit-sharing plans$5.0M2.5%
- Individual clients
- 83reported
- HNW clients
- 45reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 373reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $10.3M for 5 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•• W•••••• B••••Certified Financial Planner | Lake Zurich, Il | Feb 15, 2007 | 34 y | 1 |
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
- R•• W•••••• B•••• from A••••••••• F•••••••• S•••••••• L••Feb 15, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• R••• W•••••• · Managing Member / Chief Compliance Officercontrolsince 02/2007 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Rolling Meadows, IL1 employees
What changed
consecutive filings, newest first
- Accounts · 364 to 373May 2, 2025 to Mar 25, 2026
- HNW clients · 41 to 45May 2, 2025 to Mar 25, 2026
- Individual clients · 100 to 83May 2, 2025 to Mar 25, 2026
- Assets in custody · $10.2M to $10.3MMay 2, 2025 to Mar 25, 2026
- Discretionary RAUM · $169M to $191MMay 2, 2025 to Mar 25, 2026
- HNW RAUM · $148M to $171MMay 2, 2025 to Mar 25, 2026
- Individual RAUM · $21.2M to $19.7MMay 2, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $4.6M to $5.0MMay 2, 2025 to Mar 25, 2026
- Pension RAUM · $4.6M to $5.0MMay 2, 2025 to Mar 25, 2026
- RAUM · $173M to $196MMay 2, 2025 to Mar 25, 2026
- Financial planning clients · 1-10 to 1-10Mar 27, 2025 to May 2, 2025
- Accounts · 365 to 364Aug 14, 2024 to Mar 27, 2025
- Advisory activities · 2 to 3Aug 14, 2024 to Mar 27, 2025
- HNW clients · 39 to 41Aug 14, 2024 to Mar 27, 2025
- Individual clients · 93 to 100Aug 14, 2024 to Mar 27, 2025
- Assets in custody · $8.9M to $10.2MAug 14, 2024 to Mar 27, 2025
- Financial planning clients · unset to 1-10Aug 14, 2024 to Mar 27, 2025
- Discretionary RAUM · $146M to $169MAug 14, 2024 to Mar 27, 2025
- HNW RAUM · $124M to $148MAug 14, 2024 to Mar 27, 2025
- Individual RAUM · $21.9M to $21.2MAug 14, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $3.8M to $4.6MAug 14, 2024 to Mar 27, 2025
- Pension RAUM · $3.8M to $4.6MAug 14, 2024 to Mar 27, 2025
- RAUM · $150M to $173MAug 14, 2024 to Mar 27, 2025
- Accounts · 348 to 365Jun 14, 2023 to Mar 26, 2024
- HNW clients · 35 to 39Jun 14, 2023 to Mar 26, 2024
- Individual clients · 87 to 93Jun 14, 2023 to Mar 26, 2024
- Pension plan clients · 2 to 1Jun 14, 2023 to Mar 26, 2024
- Assets in custody · $7.5M to $8.9MJun 14, 2023 to Mar 26, 2024
- Discretionary RAUM · $122M to $146MJun 14, 2023 to Mar 26, 2024
- HNW RAUM · $102M to $124MJun 14, 2023 to Mar 26, 2024
- Individual RAUM · $19.7M to $21.9MJun 14, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $3.9M to $3.8MJun 14, 2023 to Mar 26, 2024
- Pension RAUM · $3.9M to $3.8MJun 14, 2023 to Mar 26, 2024
- RAUM · $126M to $150MJun 14, 2023 to Mar 26, 2024
- HQ city · ROLLING MEADOWS to LAKE ZURICHMar 10, 2023 to Jun 14, 2023
- Other offices · 0 to 1Mar 10, 2023 to Jun 14, 2023
- Accounts · 343 to 348Nov 15, 2022 to Mar 10, 2023
- HNW clients · 32 to 35Nov 15, 2022 to Mar 10, 2023
- Individual clients · 90 to 87Nov 15, 2022 to Mar 10, 2023
- Assets in custody · $6.5M to $7.5MNov 15, 2022 to Mar 10, 2023
Signals
1 dated events
- T•••••• B•••• filed its initial SEC registration (Form ADV)Mar 9, 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
- Principal office phone
- 847-228-1968reportedpublic record, Form ADV, Mar 25, 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
- $196Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026