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
D•••• C•••••• A•••••••• L••
Latest filing Mar 13, 2026
First filing on the tape Mar 11, 2014 · 20 filings
SEC status approved since Apr 1, 2014
RAUM
$695M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$695M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$695M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$695M as of Mar 13, 2026
Feb 4, 2015$145M then
HNW client RAUM$695M as of Mar 13, 2026
Mar 1, 2018$255M then
State-registered IARs (5.B.3)0 as of Mar 13, 2026
Feb 4, 20150 then
Employees (5.A)2 as of Mar 13, 2026
Feb 4, 20151 then
Private funds: no history
RAUM +19% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- 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
- $695MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $22.4MderivedHNW RAUM over HNW clients
- Average account
- $8.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -34%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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$695M100%
- Individual clients
- 0reported
- HNW clients
- 31reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 84reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• J•••• C••• | Lincolnshire, Il | Jan 19, 2007 | 21 y | 2 |
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••••• J•••• C••• from S•••••• I••••••••• M••••••••• L••Jan 19, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• R•••••• J•••• · President And Ccocontrolsince 12/2006 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 2 employees
- Naples, FL1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Mar 13, 2026RAUM per account of $8,277,029 against a peer median of $610,947 (1443 comparable advisers, 99.0th percentile, 5.2 robust deviations)peers: independent wealth managers, $500M to $1B (1,443) · 99% percentile
- unusually large average HNW clientStatic outlier · filing Mar 13, 2026HNW RAUM per HNW client of $22,428,078 against a peer median of $3,134,900 (1404 comparable advisers, 100.0th percentile, 12.7 robust deviations)peers: independent wealth managers, $500M to $1B (1,404) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 100 to 84Mar 17, 2025 to Mar 13, 2026
- HNW clients · 47 to 31Mar 17, 2025 to Mar 13, 2026
- Discretionary RAUM · $585M to $695MMar 17, 2025 to Mar 13, 2026
- HNW RAUM · $585M to $695MMar 17, 2025 to Mar 13, 2026
- RAUM · $585M to $695MMar 17, 2025 to Mar 13, 2026
- Accounts · 109 to 100Oct 14, 2024 to Mar 17, 2025
- Financial planning clients · 0 to 0Oct 14, 2024 to Mar 17, 2025
- Discretionary RAUM · $553M to $585MOct 14, 2024 to Mar 17, 2025
- HNW RAUM · $553M to $585MOct 14, 2024 to Mar 17, 2025
- RAUM · $553M to $585MOct 14, 2024 to Mar 17, 2025
- Accounts · 125 to 109Mar 8, 2023 to Mar 13, 2024
- HNW clients · 49 to 47Mar 8, 2023 to Mar 13, 2024
- Discretionary RAUM · $491M to $553MMar 8, 2023 to Mar 13, 2024
- HNW RAUM · $491M to $553MMar 8, 2023 to Mar 13, 2024
- RAUM · $491M to $553MMar 8, 2023 to Mar 13, 2024
- Accounts · 141 to 125Mar 11, 2022 to Mar 8, 2023
- HNW clients · 63 to 49Mar 11, 2022 to Mar 8, 2023
- Discretionary RAUM · $530M to $491MMar 11, 2022 to Mar 8, 2023
- HNW RAUM · $530M to $491MMar 11, 2022 to Mar 8, 2023
- RAUM · $530M to $491MMar 11, 2022 to Mar 8, 2023
- Accounts · 145 to 141Mar 22, 2021 to Mar 11, 2022
- HNW clients · 62 to 63Mar 22, 2021 to Mar 11, 2022
- Discretionary RAUM · $519M to $530MMar 22, 2021 to Mar 11, 2022
- HNW RAUM · $519M to $530MMar 22, 2021 to Mar 11, 2022
- RAUM · $519M to $530MMar 22, 2021 to Mar 11, 2022
- Accounts · 142 to 145Jun 24, 2020 to Mar 22, 2021
- HNW clients · 66 to 62Jun 24, 2020 to Mar 22, 2021
- Individual clients · 4 to 0Jun 24, 2020 to Mar 22, 2021
- Other offices · 1 to 2Jun 24, 2020 to Mar 22, 2021
- Discretionary RAUM · $290M to $519MJun 24, 2020 to Mar 22, 2021
- HNW RAUM · $295M to $519MJun 24, 2020 to Mar 22, 2021
- Individual RAUM · 79262.0 to unsetJun 24, 2020 to Mar 22, 2021
- Non-discretionary RAUM · $4.4M to $0Jun 24, 2020 to Mar 22, 2021
- RAUM · $295M to $519MJun 24, 2020 to Mar 22, 2021
- Accounts · 145 to 142Feb 20, 2020 to Mar 17, 2020
- HNW clients · 65 to 66Feb 20, 2020 to Mar 17, 2020
- Individual clients · 6 to 4Feb 20, 2020 to Mar 17, 2020
- Discretionary RAUM · $275M to $290MFeb 20, 2020 to Mar 17, 2020
- HNW RAUM · $278M to $295MFeb 20, 2020 to Mar 17, 2020
- Individual RAUM · $113,815 to $79,262Feb 20, 2020 to Mar 17, 2020
Signals
2 dated events
- D•••• C•••••• A•••••••• L•• reported RAUM $519.5M, up 76% from $294.8M (2020-06-24 to 2021-03-22)Mar 22, 2021 · RAUM change · derived
- D•••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 11, 2014 · 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
- 847-970-9090reportedpublic record, Form ADV, Mar 13, 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
- $695Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026