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•••••• W••••• M••••••••• L••
Latest filing Jul 23, 2026
First filing on the tape Mar 30, 2012 · 49 filings
SEC status approved since Apr 25, 2007
RAUM
$5.5B
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
88%
$4.8B individuals and HNW
Advisors
42
registered through the firm on IAPD
RAUM per advisor
$130M
derived; firm RAUM over IAPD count
Employees
51
39 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$5.5B as of Jul 23, 2026
Mar 30, 2012$902M then
HNW client RAUM$4.5B as of Jul 23, 2026
Mar 23, 2018$1.2B then
State-registered IARs (5.B.3)40 as of Jul 23, 2026
Mar 30, 20120 then
Employees (5.A)51 as of Jul 23, 2026
Mar 28, 201314 then
Private funds: no history
RAUM +34% over the last fiscal year+21% a year over threeIARs 36 to 40offices 7 to 6
Practice profile
derived from the filing of Jul 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $130MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 97derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 5.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 6.0derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +26%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$4.5B82%
- Individuals$347M6.3%
- Corporations and businesses$316M5.8%
- Charitable organizations$244M4.5%
- Pension and profit-sharing plans$71.5M1.3%
- Individual clients
- 931reported
- HNW clients
- 3,141reported
- Pension plan clients
- 87reported
- Charitable clients
- 42reported
- Accounts
- 4,308reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.06 related_bd=true related_bank=true bd_reps=21.0 bank_owner=falsederived
Advisors registered through the firm
37 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• D•••• P••• | New York, Ny | May 9, 2014 | 26 y | 2 |
| R•••••• A•••• G•••••••Certified Financial Planner | Naperville, Il | Jul 28, 2015 | 16 y | 1 |
| S•••• A•••• P••••• | Naperville, Il | Jul 28, 2015 | 16 y | 1 |
| S•••• S••••••Certified Financial Planner | Naperville, Il | Sep 12, 2018 | 23 y | 4 |
| M••• R•••••••••Certified Financial Planner | New York, Ny | Nov 20, 2018 | 22 y | 0 |
| C••••••••• J•••• G••••••• | Naperville, Il | Oct 14, 2019 | 20 y | 1 |
| D•••••• S••••••• T••••••Chartered Financial Analyst | Naperville, Il | Dec 9, 2019 | 17 y | 1 |
| P•••• K•••••• | Naperville, Il | Aug 13, 2020 | 25 y | 1 |
| A•••••••• J••• C•••••• | New York, Ny | Mar 4, 2021 | 10 y | 0 |
| E•••••• L••• S••••Certified Financial Planner | Coral Gables, Fl | Sep 8, 2021 | 26 y | 4 |
| C••••••••• M• J•••• | Naperville, Il | Apr 18, 2022 | 20 y | 2 |
| J••••• L••••••• W••••••••• | Naperville, Il | Oct 28, 2022 | 23 y | 5 |
| V••••••• V•••Certified Financial Planner | Coral Gables, Fl | Apr 20, 2023 | 12 y | 1 |
| J•• A••••Chartered Financial Analyst | Chicago, Il | Jun 5, 2023 | 11 y | 1 |
| E••• K•••••• | Naperville, Il | Jun 30, 2023 | 20 y | 4 |
| S•••••••• A•••••••• C••••••• | Coral Gables, Fl | Jul 6, 2023 | 29 y | 8 |
| W•••••• L•••Chartered Financial Analyst | Naperville, Il | Jul 6, 2023 | 11 y | 0 |
| M••• O•••••Chartered Financial Analyst | Naperville, Il | Sep 20, 2023 | 19 y | 3 |
| J••• H••••• C••••••• | Naperville, Il | Sep 29, 2023 | 37 y | 3 |
| P•••••• M•••••••• | Chicago, Il | Dec 1, 2023 | 10 y | 2 |
| S••••• L•••••••••Certified Financial Planner | Chicago, Il | Dec 12, 2023 | 12 y | 3 |
| S•••• J••• C••••• H••••••• | Naperville, Il | Dec 20, 2023 | 15 y | 1 |
| B•••••• K••••••Certified Financial Planner | Naperville, Il | Feb 16, 2024 | 18 y | 2 |
| B•••••• C•••••Certified Financial Planner | Naperville, Il | Jul 17, 2024 | 11 y | 2 |
| M••• J•••• P••••• | Naperville, Il | Aug 9, 2024 | 13 y | 2 |
| C•••••• W••••••••• | Chicago, Il | Apr 3, 2025 | 10 y | 0 |
| A••••• A••••••Chartered Financial Analyst | Naperville, Il | May 13, 2025 | 14 y | 0 |
| W•••••• P•••••• S•••• | Chicago, Il | Jul 16, 2025 | 10 y | 0 |
| T••• M•••••• O•••••Certified Financial Planner | Chicago, Il | Nov 18, 2025 | 23 y | 6 |
| A•••• T••••• S••••••••Certified Financial Planner | Naperville, Il | Dec 12, 2025 | 14 y | 6 |
| S•••••• F•••• R•••• | San F••••••Co, Ca | Jan 6, 2026 | 10 y | 3 |
| G•••••• W•••••••• | New York, Ny | Jan 21, 2026 | 14 y | 2 |
| G•••••• N•••••• G••••• | Coral Gables, Fl | Apr 3, 2026 | 11 y | 0 |
| M•••••• C••••• | Chicago, Il | Jun 2, 2026 | 24 y | 7 |
| M•••••• Q••••••Certified Financial Planner | Chicago, Il | Jun 25, 2026 | 13 y | 1 |
| M•••••• B•••• L••••• | Naperville, Il | Jul 10, 2026 | 18 y | 8 |
| K•••••• S•••• | New York, Ny | Jul 24, 2026 | 31 y | 5 |
Advisor movement
3 left, 8 joined in 12 months
net +5 in 12 months1 left in 90 days3 joined in 90 daysdeparture rate 7.1% of current headcount10 left over 36 months
Left, latest
- N••••••• K••••••••• to M••••• S••••••Aug 5, 2026 · RIA to wirehouse
- S•••• J• C••••• to C••••••Apr 24, 2026 · RIA to RIA
- J•••• M•••• to H•••••••• A•••••••• L••Nov 20, 2025 · RIA to affiliated broker-dealer or bank
- W••••• J••• M••••• to A•••••••• C•••••• L••Sep 8, 2025 · RIA to RIA
- J••••• W•••••• to N••••• F•••••••• G••••• I•••Aug 16, 2024 · RIA to RIA
- L••• E•••••• T•••• R••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••May 29, 2024 · RIA to affiliated broker-dealer or bank
- K••••• K• W••• to S••• P•••••• W••••• G••••• L••Dec 4, 2023 · RIA to RIA
- C•••••••• C•••••••• to S••• P•••••• W••••• G••••• L••Dec 4, 2023 · RIA to RIA
- L•••• H••••• R•••••••• to C••••••••• F•••••••• N••••••Oct 24, 2023 · RIA to affiliated broker-dealer or bank
- S•••••••• L••• F•••••• to J•••••••• I••••••••• A••••••• L••Oct 9, 2023 · RIA to affiliated broker-dealer or bank
- I•• J••••• R••••• to P•••• W••••• M•••••••••Mar 7, 2023 · RIA to RIA
- J••••• N•••• to C•••••••• G••••• M•••••• I•••Oct 28, 2022 · RIA to affiliated broker-dealer or bank
- J•••• F•••••• B••• to T•••••••• C•••••• A•••••••• L••Mar 3, 2022 · RIA to RIA
- E••••• T••••• K•••••• to S••• P•••••• W••••• G••••• L••Nov 22, 2021 · RIA to RIA
- N•••• A••••••• to A••••••••• F•••••••• S•••••••• L••May 10, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- K•••••• S•••• from L•• E••••••••• L••Jul 24, 2026 · Affiliated broker-dealer or bank to independent RIA
- M•••••• B•••• L••••• from A••••••• C•••••• M••••••••• L••Jul 10, 2026 · RIA to RIA
- M•••••• Q•••••• from C•••••• S••••• • C••• I•••Jun 25, 2026 · Affiliated broker-dealer or bank to independent RIA
- M•••••• C••••• from N•••••••• P•••••••• L••Jun 2, 2026 · RIA to RIA
- G•••••• W•••••••• from C•••••• S••••• • C••• I•••Jan 21, 2026 · Affiliated broker-dealer or bank to independent RIA
- S•••••• F•••• R•••• from S•••••••• A••••••• L••Jan 6, 2026 · Affiliated broker-dealer or bank to independent RIA
- A•••• T••••• S•••••••• from C••••••Dec 12, 2025 · RIA to RIA
- T••• M•••••• O••••• from S•••••••• A••••••• L••Nov 18, 2025 · Affiliated broker-dealer or bank to independent RIA
- M••• J•••• P••••• from G•••• V••••• A•••••• G••••• L••Aug 9, 2024 · RIA to RIA
- B•••••• C••••• from C••••••Jul 17, 2024 · RIA to RIA
- J•••• M•••• from M•• C•••••• M••••••••• L••Feb 23, 2024 · RIA to RIA
- B•••••• K•••••• from C•••••••• G••••• M•••••• I•••Feb 16, 2024 · Affiliated broker-dealer or bank to independent RIA
- S•••• J••• C••••• H••••••• from C•••••••• G••••• M•••••• I•••Dec 20, 2023 · Affiliated broker-dealer or bank to independent RIA
- S••••• L••••••••• from M••••• • S••••••••• W••••• M••••••••• L••Dec 12, 2023 · RIA to RIA
- P•••••• M•••••••• from M••••• G••••• A••••••• I•••Dec 1, 2023 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for S••• P•••••• W••••• G••••• L••Dec 4, 2023 · Naperville, Il
- 4 left for C•••••• A••••••• L••Nov 1, 2019 · Naperville, Il
- 2 left for C••• C••••••• L••Sep 25, 2018 · Naperville, Il
- 2 joined from W•••••• F•••••••• A••••••• G•••• L••Nov 24, 2015 · Philadelphia, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• S••• J•••• P•••• · Fou••••, Chairman & Global Co-Ciocontrolsince 10/2004 · owns less than 5%
- D•••••••• D•••••• L•• · Evp, Chief Operating Officer Wealth Managementcontrolsince 04/2021 · owns less than 5%
- H•••••• T•••••• E••••• · Evp, Chief Financial Officercontrolsince 06/2016 · owns less than 5%
- K••••••••• J•••• S•••• · President & Chief Executive Officercontrolsince 04/2016 · owns less than 5%
- O••••• E•••• D••••• · Svp, General Counsel & Secretarycontrolsince 07/2023 · owns less than 5%
- S•••••• J••••••••• E•••••••• · Svp, Chief Compliance Officercontrolsince 11/2015 · owns less than 5%
- W••••••••• J•••••• L••••••• · Svp, Head Of C•••••• Wealth Managementcontrolsince 10/2022 · owns less than 5%
- C•••••• S••• J•••• P•••• · T•••••• And Shareholdercontrolsince 08/1985 · owns 75% or more of J••• P• C••••••• T••••••• U•••• T•• J••• P• C•••••• 1••• T••••
- C•••••• S••• J•••• P•••• · Managercontrolsince 07/2016 · owns F of C•••••• P••••••• L••
- C•••••• S••• J•••• P•••• · Shareholdercontrolsince 12/2020 · owns 50% to 75% of C•••••• A•••• M••••••••• I•••
- K••••••••• J•••• S•••• · Shareholdercontrolsince 12/2020 · owns 25% to 50% of C•••••• A•••• M••••••••• I•••
- K••••••••• J•••• S•••• · Managercontrolsince 07/2016 · owns F of C•••••• P••••••• L••
- T••••••••• W••••••• J• · Managercontrolsince 07/2016 · owns F of C•••••• P••••••• L••
- K••••• W•••••• M•••••••• · Svp, Chief Compliance Officersince 04/2026 · owns less than 5%
Entity owners
- C•••••• I••••••••• L•• · Sole Member/Managerdirect · owns 75% or more
- C•••••• A•••• M••••••••• I••• · Sole Manager/Memberindirect · owns F of C•••••• I••••••••• L••
- C•••••• F••••• P•••••••• I••• · Memberindirect · owns 75% or more of C•••••• P••••••• L••
- C•••••• P••••••• L•• · Memberindirect · owns 75% or more of C•••••• I••••••••• L••
- J••• P• C••••••• T••••••• U•••• T•• J••• P• C•••••• 1••• T•••• · Shareholderindirect · owns 50% to 75% of C•••••• F••••• P•••••••• I•••
Related persons
Schedule D 7.A
- C•••••• A••••••• L••investment adviserpooled vehicle sponsornRAUM $44B
- C•••••• A••••••• M••••• G•••• T•••• G••••• O••••••••• T••••bankn
- C•••investment advisernRAUM $26.8M
- C•••••• A••••••••• S••••••••• E••••••• T••••bankn
- C•••••• A••• Q•••• F••• I• L•bankn
- C•••••• E•• T••••bankn
- C•••••• F•••••••• S••••••• L••broker-dealern
- C•••••• G••••• O••••••••• F••• L•bankn
- C•••••• I••••••••• T••••bankn
- C•••••• P•••••• E••••• L••investment advisern
- C••• F••• I• L•bankn
Advisers that list C•••••• W••••• M••••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Naperville, Il · principal | 37 | 6 | 1 | ||
| Chicago, Il | 13 | 4 | 0 | ||
| New York, Ny | 7 | 3 | 0 | ||
| Coral Gables, Fl | 7 | 1 | 2 | ||
| San F••••••Co, Ca | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL8 employees
- Coral Gables, FL6 employees
- New York, NY5 employees
- , 1 employees
- Milwaukee, WI1 employees
- Portland, OR1 employees
- San F••••••Co, CA1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 23, 2026S•••••• J••••••••• E•••••••• (SVP, CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-03-22 and 2026-07-23peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 23, 2026C•••••• S••• J•••• P•••• (FOU••••, CHAIRMAN & GLOBAL CO-CIO) left Schedule A between the filings of 2024-03-22 and 2026-07-23peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 23, 2026W••••••••• J•••••• L••••••• (SVP, HEAD OF C•••••• WEALTH MANAGEMENT) left Schedule A between the filings of 2024-03-22 and 2026-07-23peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 23, 2026T••••••••• W••••••• J• (MANAGER) left Schedule A between the filings of 2024-03-22 and 2026-07-23peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 3,434 to 4,308Mar 27, 2025 to Mar 26, 2026
- Advisory employees · 36 to 39Mar 27, 2025 to Mar 26, 2026
- BD registered reps · 20 to 21Mar 27, 2025 to Mar 26, 2026
- Charity clients · 41 to 42Mar 27, 2025 to Mar 26, 2026
- Corporate clients · 73 to 91Mar 27, 2025 to Mar 26, 2026
- HNW clients · 2,383 to 3,141Mar 27, 2025 to Mar 26, 2026
- Individual clients · 852 to 931Mar 27, 2025 to Mar 26, 2026
- Pension plan clients · 83 to 87Mar 27, 2025 to Mar 26, 2026
- Employees · 45 to 51Mar 27, 2025 to Mar 26, 2026
- State-registered IARs · 36 to 40Mar 27, 2025 to Mar 26, 2026
- Other offices · 7 to 6Mar 27, 2025 to Mar 26, 2026
- Discretionary RAUM · $3.7B to $4.9BMar 27, 2025 to Mar 26, 2026
- HNW RAUM · $3.3B to $4.5BMar 27, 2025 to Mar 26, 2026
- Individual RAUM · $273M to $347MMar 27, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $394M to $582MMar 27, 2025 to Mar 26, 2026
- Pension RAUM · $67.9M to $71.5MMar 27, 2025 to Mar 26, 2026
- RAUM · $4.1B to $5.5BMar 27, 2025 to Mar 26, 2026
- Accounts · 3,021 to 3,434Mar 22, 2024 to Mar 27, 2025
- Advisory employees · 33 to 36Mar 22, 2024 to Mar 27, 2025
- BD registered reps · 18 to 20Mar 22, 2024 to Mar 27, 2025
- Corporate clients · 54 to 73Mar 22, 2024 to Mar 27, 2025
- HNW clients · 2,134 to 2,383Mar 22, 2024 to Mar 27, 2025
- Individual clients · 710 to 852Mar 22, 2024 to Mar 27, 2025
- Pension plan clients · 82 to 83Mar 22, 2024 to Mar 27, 2025
- Employees · 41 to 45Mar 22, 2024 to Mar 27, 2025
- Financial planning clients · 251-500 to 251-500Mar 22, 2024 to Mar 27, 2025
- State-registered IARs · 33 to 36Mar 22, 2024 to Mar 27, 2025
- Other offices · 8 to 7Mar 22, 2024 to Mar 27, 2025
- Discretionary RAUM · $3.1B to $3.7BMar 22, 2024 to Mar 27, 2025
- HNW RAUM · $2.7B to $3.3BMar 22, 2024 to Mar 27, 2025
- Individual RAUM · $192M to $273MMar 22, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $216M to $394MMar 22, 2024 to Mar 27, 2025
- Pension RAUM · $59.6M to $67.9MMar 22, 2024 to Mar 27, 2025
- RAUM · $3.3B to $4.1BMar 22, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $147M to $216MAug 23, 2023 to Mar 22, 2024
- Pension RAUM · $67.2M to $59.6MAug 23, 2023 to Mar 22, 2024
- RAUM · $3.1B to $3.3BAug 23, 2023 to Mar 22, 2024
- Accounts · 3,128 to 3,021Aug 23, 2023 to Mar 22, 2024
- Advisory employees · 26 to 33Aug 23, 2023 to Mar 22, 2024
- BD registered reps · 15 to 18Aug 23, 2023 to Mar 22, 2024
Signals
32 dated events
- N••••••• K••••••••• left C•••••• W••••• M••••••••• L•• for M••••• S•••••• (registered 2026-08-12)Aug 5, 2026 · a•••••• firm change · fact
- S•••• J• C••••• left C•••••• W••••• M••••••••• L•• for Corient (registered 2026-04-29)Apr 24, 2026 · a•••••• firm change · fact
- C•••••• W••••• M••••••••• L•• reported RAUM $5.5B, up 34% from $4.1B (2025-03-27 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- J•••• M•••• left C•••••• W••••• M••••••••• L•• for H•••••••• A•••••••• L•• (registered 2026-03-02)Nov 20, 2025 · a•••••• firm change · fact
- W••••• J••• M••••• left C•••••• W••••• M••••••••• L•• for A•••••••• C•••••• L•• (registered 2025-09-08)Sep 8, 2025 · a•••••• firm change · fact
- J••••• W•••••• left C•••••• W••••• M••••••••• L•• for N••••• F•••••••• G••••• I••• (registered 2024-10-03)Aug 16, 2024 · a•••••• firm change · fact
- L••• E•••••• T•••• R••••• left C•••••• W••••• M••••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2024-08-12)May 29, 2024 · a•••••• firm change · fact
- K••••• K• W••• left C•••••• W••••• M••••••••• L•• for S••• P•••••• W••••• G••••• L•• (registered 2023-11-30)Dec 4, 2023 · a•••••• firm change · fact
- C•••••••• C•••••••• left C•••••• W••••• M••••••••• L•• for S••• P•••••• W••••• G••••• L•• (registered 2023-11-30)Dec 4, 2023 · a•••••• firm change · fact
- 2 advisors left C•••••• W••••• M••••••••• L•• (Naperville, IL) for S••• P•••••• W••••• G••••• L•• on the same dayDec 4, 2023 · Team lift-out · derived
- L•••• H••••• R•••••••• left C•••••• W••••• M••••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2024-06-28)Oct 24, 2023 · a•••••• firm change · fact
- S•••••••• L••• F•••••• left C•••••• W••••• M••••••••• L•• for J•••••••• I••••••••• A••••••• L•• (registered 2023-10-16)Oct 9, 2023 · a•••••• firm change · fact
- D••••• E••• O•••• (Svp, General Counsel) appeared on Schedule A of C•••••• W••••• M••••••••• L••Aug 23, 2023 · Control person joined · fact
- C••••••••• Jerald Jackson (Svp, General Counsel & Secretary) no longer on Schedule A of C•••••• W••••• M••••••••• L•• (listed 2023-03-30, absent 2023-08-23)Aug 23, 2023 · Control person left · inference
- I•• J••••• R••••• left C•••••• W••••• M••••••••• L•• for P•••• W••••• M••••••••• (registered 2023-03-23)Mar 7, 2023 · a•••••• firm change · fact
- L••••••• J••••• W••••••••• (Svp, Head Of C•••••• Wealth Management) appeared on Schedule A of C•••••• W••••• M••••••••• L••Nov 2, 2022 · Control person joined · fact
- Paul J••••• N•••• (Svp, Head Of C•••••• Wealth Management) no longer on Schedule A of C•••••• W••••• M••••••••• L•• (listed 2022-03-29, absent 2022-11-02)Nov 2, 2022 · Control person left · inference
- J••••• N•••• left C•••••• W••••• M••••••••• L•• for C•••••••• G••••• M•••••• I••• (registered 2023-01-31)Oct 28, 2022 · a•••••• firm change · fact
- C•••••• W••••• M••••••••• L•• reported RAUM $3.4B, up 32% from $2.6B (2021-09-23 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- R••• J•••• M••••• (Svp, Chief Investment Officer Of Wealth Managenent) no longer on Schedule A of C•••••• W••••• M••••••••• L•• (listed 2021-09-23, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- J•••• F•••••• B••• left C•••••• W••••• M••••••••• L•• for T•••••••• C•••••• A•••••••• L•• (registered 2022-09-30)Mar 3, 2022 · a•••••• firm change · fact
- Maurice Derek Olsen (Svp, Chief Of It, Operations & Co-Head Of Risk) no longer on Schedule A of C•••••• W••••• M••••••••• L•• (listed 2021-03-12, absent 2021-05-12)May 12, 2021 · Control person left · inference
- D••••• D••••••• (Evp, Chief Operating Officer) appeared on Schedule A of C•••••• W••••• M••••••••• L••May 12, 2021 · Control person joined · fact
- C•••••• W••••• M••••••••• L•• reported RAUM $2.6B, up 36% from $1.9B (2020-06-29 to 2021-03-12)Mar 12, 2021 · RAUM change · derived
- Paul J••••• N•••• (Svp, Head Of C•••••• Wealth Management) appeared on Schedule A of C•••••• W••••• M••••••••• L••Mar 12, 2021 · Control person joined · fact
- F•••••• J•••• B••• (Evp, President Of Wealth Managment) no longer on Schedule A of C•••••• W••••• M••••••••• L•• (listed 2020-06-29, absent 2021-03-12)Mar 12, 2021 · Control person left · inference
- C•••••• W••••• M••••••••• L•• reported RAUM $1.9B, up 29% from $1.5B (2019-06-28 to 2020-03-17)Mar 17, 2020 · RAUM change · derived
- R••• J•••• M••••• (Svp, Chief Investment Officer Of Wealth Managenent) appeared on Schedule A of C•••••• W••••• M••••••••• L••Mar 17, 2020 · Control person joined · fact
- George M•••••• Kassab (Vp, Chief Investment Officer Of Wealth Management Strategies) no longer on Schedule A of C•••••• W••••• M••••••••• L•• (listed 2019-06-28, absent 2020-03-17)Mar 17, 2020 · Control person left · inference
- C•••••• Laura Nasir (Svp, Chief Administrative Officer) no longer on Schedule A of C•••••• W••••• M••••••••• L•• (listed 2018-06-29, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- C•••••• W••••• M••••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- cwmwealthadvisors@calamos.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-857-7604reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/calamos-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- wm.calamos.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 630.245.7200reportedpublic record, Form ADV, Jul 23, 2026
- Team page
- wm.calamos.com/leadership-teamreportedpublished by the firm, firm site, Sep 15, 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
- $130Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026