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.

Former SEC-registered adviser

Leonetti & Associates, LLC

Former SEC-registered adviserBuffalo Grove, IllinoisCRD 146851SEC 801-69003IAPD
Latest filing Mar 28, 2018
First filing on the tape Mar 28, 2012 · 24 filings
RAUM
$713M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$671M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$713M as of Mar 28, 2018
Mar 28, 2012$472M then
HNW client RAUM: $377M
State-registered IARs (5.B.3)6 as of Mar 28, 2018
Mar 22, 20136 then
Employees (5.A)16 as of Mar 28, 2018
Mar 22, 201315 then
Private funds: no history
RAUM +6.0% over the last fiscal year+4.1% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 28, 2018; every figure names its basis
RAUM per advisor
$119MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
65derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$10.8MderivedHNW RAUM over HNW clients
Average account
$708,378derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
5.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.7derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+6.0%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, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, otherreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$377M53%
  • Individuals$294M41%
  • Pension and profit-sharing plans$37.9M5.3%
  • Corporations and businesses$3.9M0.5%
Individual clients
353reported
HNW clients
35reported
Pension plan clients
18reported
Charitable clients
n/areported
Accounts
1,006reported
Financial planning clients
26-50reported
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
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Lynn Deborah Feldman · President And Board Of Managerscontrol
      since 03/2008 · owns less than 5%
    • Edward Michael Leonetti · Chief Executive Officer And Board Of Managerscontrol
      since 03/2008 · owns less than 5%
    • Steven Robert Pagliuco · Executive Vice President And Treasurercontrol
      since 06/2017 · owns less than 5%
    • Ralph John Obrien · Chief Compliance Officer
      since 03/2008 · owns less than 5%
    Entity owners
    • Wt Acquisition, LLC · Owner
      direct · owns 75% or more
    • Hightower Holding, LLC · Owner
      indirect · owns 75% or more of Wt Acquisition, LLC
    • Thl Equity Fund Vii Investors (Ht), LLC · Owner
      indirect · owns 75% or more of Hightower Holding, LLC
    Related persons
    Schedule D 7.A
    Advisers that list Leonetti & Associates, LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Individual clients · unset to 353.0
      Nov 28, 2017 to Mar 28, 2018
    • Accounts · 1,009 to 1,006
      Nov 28, 2017 to Mar 28, 2018
    • HNW clients · unset to 35.0
      Nov 28, 2017 to Mar 28, 2018
    • Pension plan clients · unset to 18.0
      Nov 28, 2017 to Mar 28, 2018
    • Employees · 15 to 16
      Nov 28, 2017 to Mar 28, 2018
    • Discretionary RAUM · $678M to $713M
      Nov 28, 2017 to Mar 28, 2018
    • HNW RAUM · unset to 376597483.0
      Nov 28, 2017 to Mar 28, 2018
    • Individual RAUM · unset to 294229480.0
      Nov 28, 2017 to Mar 28, 2018
    • Pension RAUM · unset to 37923515.0
      Nov 28, 2017 to Mar 28, 2018
    • RAUM · $678M to $713M
      Nov 28, 2017 to Mar 28, 2018
    • Wrap assets (manager) · 1276352.0 to unset
      Nov 28, 2017 to Mar 28, 2018
    • Wrap assets (sponsor) · 0.0 to unset
      Nov 28, 2017 to Mar 28, 2018
    • Other offices · unset to 0.0
      Sep 29, 2017 to Nov 28, 2017
    • Wrap assets (manager) · unset to 1276352.0
      Sep 29, 2017 to Nov 28, 2017
    • Wrap assets (sponsor) · unset to 0.0
      Sep 29, 2017 to Nov 28, 2017
    • Accounts · 1,026 to 1,009
      Mar 29, 2017 to Jun 30, 2017
    • Discretionary RAUM · $672M to $678M
      Mar 29, 2017 to Jun 30, 2017
    • RAUM · $672M to $678M
      Mar 29, 2017 to Jun 30, 2017
    • Accounts · 1,043 to 1,026
      Jun 10, 2016 to Mar 29, 2017
    • Employees · 16 to 15
      Jun 10, 2016 to Mar 29, 2017
    • Discretionary RAUM · $654M to $672M
      Jun 10, 2016 to Mar 29, 2017
    • RAUM · $654M to $672M
      Jun 10, 2016 to Mar 29, 2017
    • Accounts · 1,058 to 1,043
      Feb 19, 2016 to Mar 29, 2016
    • Discretionary RAUM · $642M to $654M
      Feb 19, 2016 to Mar 29, 2016
    • RAUM · $642M to $654M
      Feb 19, 2016 to Mar 29, 2016
    • Accounts · 1,043 to 1,058
      Mar 23, 2015 to Oct 15, 2015
    • Discretionary RAUM · $632M to $642M
      Mar 23, 2015 to Oct 15, 2015
    • RAUM · $632M to $642M
      Mar 23, 2015 to Oct 15, 2015
    • Accounts · 1,033 to 1,043
      Feb 4, 2015 to Mar 23, 2015
    • Discretionary RAUM · $615M to $632M
      Feb 4, 2015 to Mar 23, 2015
    • RAUM · $615M to $632M
      Feb 4, 2015 to Mar 23, 2015
    • Accounts · 1,040 to 1,033
      Nov 10, 2014 to Feb 4, 2015
    • Discretionary RAUM · $598M to $615M
      Nov 10, 2014 to Feb 4, 2015
    • RAUM · $598M to $615M
      Nov 10, 2014 to Feb 4, 2015
    • Employees · 15 to 16
      Aug 25, 2014 to Nov 10, 2014
    • Accounts · 1,023 to 1,040
      Mar 31, 2014 to Aug 25, 2014
    • Discretionary RAUM · $590M to $598M
      Mar 31, 2014 to Aug 25, 2014
    • RAUM · $590M to $598M
      Mar 31, 2014 to Aug 25, 2014
    • Accounts · 988 to 1,023
      Jul 25, 2013 to Mar 31, 2014
    • Discretionary RAUM · $511M to $590M
      Jul 25, 2013 to Mar 31, 2014
    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