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
S••••• F•••••• A•••• M••••••••• L••
Wealth manager with institutional or fund businessElmhurst, IllinoisCRD 145026SEC 801-68317websiteIAPD
Legal name S•••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 19, 2012 · 22 filings
SEC status approved since Sep 13, 2007
RAUM
$897M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
21%
$187M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$224M
derived; firm RAUM over IAPD count
Employees
6
4 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$897M as of Mar 27, 2026
Mar 19, 2012$720M then
HNW client RAUM$124M as of Mar 27, 2026
Mar 24, 2018$21.7M then
State-registered IARs (5.B.3)4 as of Mar 27, 2026
Mar 19, 20120 then
Employees (5.A)6 as of Mar 27, 2026
Mar 25, 20133 then
Private funds: no history
RAUM +23% over the last fiscal year+4.5% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $224MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $932,908derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 78%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $891MreportedItem 5.I
- Custody
- $8.6M, 28 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
- State and municipal entities$683M77%
- High-net-worth individuals$124M14%
- Individuals$62.9M7.1%
- Pension and profit-sharing plans$12.2M1.4%
- Charitable organizations$6.2M0.7%
- Individual clients
- 203reported
- HNW clients
- 50reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 961reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $8.6M for 28 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.21 fund_share=0.0 institutional_share=0.78 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• S••••• S••••• | Elmhurst, Il | Jan 18, 2010 | 19 y | 0 |
| J••• J••••• F•••••• | Elmhurst, Il | Mar 9, 2010 | 19 y | 0 |
| J•••• R••••••• W••••••Chartered Financial Analyst | Elmhurst, Il | Sep 3, 2016 | 10 y | 0 |
| E••••• J•••• L••••Chartered Financial Analyst | Elmhurst, Il | Sep 12, 2018 | 30 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• J•••• J••••• · Membercontrolsince 08/2007 · owns 50% to 75%
- S•••••• T•••••• S••••• · Member/Chief Compliance Officercontrolsince 08/2007 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Elmhurst, Il · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 27, 2026institutional share of RAUM of 78% against a peer median of 2% (1482 comparable advisers, 100.0th percentile, 25.9 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 877 to 961Mar 27, 2025 to Mar 27, 2026
- Charity clients · 6 to 7Mar 27, 2025 to Mar 27, 2026
- HNW clients · 42 to 50Mar 27, 2025 to Mar 27, 2026
- Individual clients · 186 to 203Mar 27, 2025 to Mar 27, 2026
- Assets in custody · $9.6M to $8.6MMar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $732M to $897MMar 27, 2025 to Mar 27, 2026
- HNW RAUM · $93.1M to $124MMar 27, 2025 to Mar 27, 2026
- Individual RAUM · $61.8M to $62.9MMar 27, 2025 to Mar 27, 2026
- Pension RAUM · $10.1M to $12.2MMar 27, 2025 to Mar 27, 2026
- RAUM · $732M to $897MMar 27, 2025 to Mar 27, 2026
- Accounts · 813 to 877Mar 29, 2024 to Mar 27, 2025
- HNW clients · 37 to 42Mar 29, 2024 to Mar 27, 2025
- Individual clients · 179 to 186Mar 29, 2024 to Mar 27, 2025
- Assets in custody · $6.7M to $9.6MMar 29, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 27, 2025
- Discretionary RAUM · $952M to $732MMar 29, 2024 to Mar 27, 2025
- HNW RAUM · $79.5M to $93.1MMar 29, 2024 to Mar 27, 2025
- Individual RAUM · $57.7M to $61.8MMar 29, 2024 to Mar 27, 2025
- Pension RAUM · $8.1M to $10.1MMar 29, 2024 to Mar 27, 2025
- RAUM · $952M to $732MMar 29, 2024 to Mar 27, 2025
- Accounts · 745 to 813Mar 30, 2023 to Mar 27, 2024
- Advisory employees · 5 to 4Mar 30, 2023 to Mar 27, 2024
- Charity clients · 8 to 6Mar 30, 2023 to Mar 27, 2024
- HNW clients · 28 to 37Mar 30, 2023 to Mar 27, 2024
- Individual clients · 169 to 179Mar 30, 2023 to Mar 27, 2024
- Assets in custody · $3.5M to $6.7MMar 30, 2023 to Mar 27, 2024
- Employees · 7 to 6Mar 30, 2023 to Mar 27, 2024
- State-registered IARs · 5 to 4Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $786M to $952MMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $58.8M to $79.5MMar 30, 2023 to Mar 27, 2024
- Individual RAUM · $51.2M to $57.7MMar 30, 2023 to Mar 27, 2024
- Pension RAUM · $10.4M to $8.1MMar 30, 2023 to Mar 27, 2024
- RAUM · $786M to $952MMar 30, 2023 to Mar 27, 2024
- Accounts · 667 to 745Nov 3, 2022 to Mar 29, 2023
- Charity clients · 6 to 8Nov 3, 2022 to Mar 29, 2023
- HNW clients · 33 to 28Nov 3, 2022 to Mar 29, 2023
- Individual clients · 147 to 169Nov 3, 2022 to Mar 29, 2023
- Assets in custody · unset to 3497054.0Nov 3, 2022 to Mar 29, 2023
- Custody of client assets · false to trueNov 3, 2022 to Mar 29, 2023
- Discretionary RAUM · $4.1B to $786MNov 3, 2022 to Mar 29, 2023
Signals
3 dated events
- S••••• F•••••• A•••• M••••••••• L•• reported RAUM $786.5M, down 81% from $4.1B (2022-11-03 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- S••••• F•••••• A•••• M••••••••• L•• reported RAUM $3.5B, up 31% from $2.7B (2019-03-28 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- S••••• F•••••• A•••• M••••••••• L•• reported RAUM $2.6B, up 30% from $2.0B (2017-09-01 to 2018-03-24)Mar 24, 2018 · RAUM change · derived
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
- Business email
- i•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 630-941-8560reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- S•••••F••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 630-941-8560reportedpublic record, Form ADV, Mar 27, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $224Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026