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

S••••• P••••••• C•••••• M••••••••• L••

Former SEC-registered adviserNorthbrook, IllinoisCRD 144240SEC 801-68019IAPD
Latest filing Mar 30, 2016
First filing on the tape Nov 16, 2011 · 8 filings
RAUM
$97.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$97.0M as of Mar 30, 2016
Mar 22, 2012$101M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 30, 2016
Mar 22, 20120 then
Employees (5.A)4 as of Mar 30, 2016
Feb 13, 20133 then
Private funds: 1
RAUM -17% over the last fiscal year+0.3% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 30, 2016; every figure names its basis
RAUM per advisor
$24.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$776,000derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, subscriptionreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publications, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
125reported
Financial planning clients
0reported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    T•• O•• F•••• L•no longer reportedHedge Fund$8.3M21Mar 22, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • H••••• R•••••• A••• · Managing Member/Iarcontrol
      since 05/2007 · owns 75% or more
    • K••••••• J••••••• J••• · Chief Compliance Officer (Cco)control
      since 05/2007 · owns 10% to 25%
    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 · 242 to 125
      Mar 14, 2015 to Mar 30, 2016
    • Discretionary RAUM · $117M to $97.0M
      Mar 14, 2015 to Mar 30, 2016
    • RAUM · $117M to $97.0M
      Mar 14, 2015 to Mar 30, 2016
    • Accounts · 245 to 242
      Aug 20, 2014 to Mar 14, 2015
    • Advisory employees · 3 to 4
      Aug 20, 2014 to Mar 14, 2015
    • Employees · 3 to 4
      Aug 20, 2014 to Mar 14, 2015
    • State-registered IARs · 3 to 4
      Aug 20, 2014 to Mar 14, 2015
    • Discretionary RAUM · $105M to $117M
      Aug 20, 2014 to Mar 14, 2015
    • RAUM · $105M to $117M
      Aug 20, 2014 to Mar 14, 2015
    • Advisory activities · 4 to 6
      Mar 13, 2014 to Jul 31, 2014
    • Accounts · 223 to 245
      Feb 13, 2013 to Mar 13, 2014
    • Advisory activities · 3 to 4
      Feb 13, 2013 to Mar 13, 2014
    • Discretionary RAUM · $96.0M to $105M
      Feb 13, 2013 to Mar 13, 2014
    • RAUM · $96.0M to $105M
      Feb 13, 2013 to Mar 13, 2014
    • Accounts · 220 to 223
      Mar 22, 2012 to Feb 13, 2013
    • Advisory employees · unset to 3.0
      Mar 22, 2012 to Feb 13, 2013
    • Assets in custody · 8300000.0 to unset
      Mar 22, 2012 to Feb 13, 2013
    • Custody of client assets · true to false
      Mar 22, 2012 to Feb 13, 2013
    • Employees · unset to 3.0
      Mar 22, 2012 to Feb 13, 2013
    • State-registered IARs · 0 to 3
      Mar 22, 2012 to Feb 13, 2013
    • Private funds · 1 to unset
      Mar 22, 2012 to Feb 13, 2013
    • Discretionary RAUM · $89.0M to $96.0M
      Mar 22, 2012 to Feb 13, 2013
    • Non-discretionary RAUM · $12.0M to $0
      Mar 22, 2012 to Feb 13, 2013
    • RAUM · $101M to $96.0M
      Mar 22, 2012 to Feb 13, 2013
    • Accounts · 210 to 220
      Nov 16, 2011 to Mar 22, 2012
    • Assets in custody · unset to 8300000.0
      Nov 16, 2011 to Mar 22, 2012
    • Custody of client assets · false to true
      Nov 16, 2011 to Mar 22, 2012
    • Insurance-licensed employees · unset to 0.0
      Nov 16, 2011 to Mar 22, 2012
    • Private funds · unset to 1
      Nov 16, 2011 to Mar 22, 2012
    • Discretionary RAUM · $94.6M to $89.0M
      Nov 16, 2011 to Mar 22, 2012
    • Non-discretionary RAUM · $12.5M to $12.0M
      Nov 16, 2011 to Mar 22, 2012
    • RAUM · $107M to $101M
      Nov 16, 2011 to Mar 22, 2012
    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