DFX Intelligence

RIA Intelligence

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SEC-registered adviser

C•••••• P••••••• I••••••••• G•••• L••

Independent wealth managerC••••••, IllinoisCRD 147662SEC 801-69500website IAPD

Latest filing Mar 18, 2026

First filing on the tape Mar 27, 2012 · 59 filings

SEC status approved since Aug 14, 2008

RAUM

$7.5B

reported, Item 5.F

Discretionary

81%

of RAUM

Private clients

94%

$7.0B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$138M

derived; firm RAUM over IAPD count

Employees

38 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

59 filings and snapshots on the tape

RAUM$7.5B as of Mar 18, 2026

Mar 27, 2012$500M then

HNW client RAUM$5.8B as of Mar 18, 2026

Apr 5, 2018$868M then

State-registered IARs (5.B.3)56 as of Mar 18, 2026

Mar 28, 20130 then

Employees (5.A)73 as of Mar 18, 2026

Mar 28, 20136 then

Private funds3 as of Mar 18, 2026

Mar 27, 20121 then

RAUM +25% over the last fiscal year+27% a year over threeIARs 50 to 56

Practice profile

derived from the filing of Mar 18, 2026; every figure names its basis

Archetypes, each a printed rule

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Multi-office growth platform · an independent wealth manager (not a wirehouse, national broker-dealer RIA or broker-dealer affiliated firm) with at least five offices, at least 50 advisors, and RAUM up at least 20 percent over the last annual amendment
Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)

RAUM per advisor: $136MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 50derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.3MderivedHNW RAUM over HNW clients
Average account: $816,610derivedRAUM over accounts (5.F.2.f)
Discretionary: 81%derivedof RAUM
Institutional: 2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 2.8derived20 offices incl. principal (1.F.5)
RAUM growth, one year: +25%derivedbetween the last two annual amendments
Advisor growth, one year: +12%derivedItem 5.B.3 between annual amendments
Client growth, one year: +16%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
Financial planning clients: 3,000reportedItem 5.H
Custody: $4.0B, 2,254 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)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$5.8B78%
Individuals$1.2B16%
Charitable organizations$201M2.7%
Corporations and businesses$160M2.1%
Pooled investment vehicles$46.2M0.6%
Pension and profit-sharing plans$8.6M0.1%
Insurance companies$8.5M0.1%

Individual clients: 992reported
HNW clients: 1,749reported
Pension plan clients: n/areported
Charitable clients: 20reported
Accounts: 9,147reported
Financial planning clients: 3,000reported
Wrap fee programs: noreported
Custody of client assets: $4.0B for 2,254 clientsreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=0.94 fund_share=0.01 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

55 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
J•••• G••••• H•••••••Chartered Financial Analyst	C••••••, Il	Jan 7, 2022	22 y	3
J•••• R••••• H•••••Certified Financial Planner	C••••••, Il	Jan 7, 2022	15 y	0
M•••••• D•••• S•••••••	Manhattan, Mt	Jan 13, 2022	36 y	3
D••••• J••••• T•••••Certified Financial Planner, Chartered Financial Analyst	C••••••, Il	Jan 13, 2022	17 y	3
N••••••• A• G••••Certified Financial Planner	C••••••, Il	Jan 13, 2022	12 y	1
N••••• P••••••Certified Financial Planner	C••••••, Il	Jan 13, 2022	11 y	1
M•••••• T••••• F••••••Chartered Financial Analyst	C••••••, Il	Jan 13, 2022	15 y	1
P•••••• M•••••• W•••Chartered Financial Analyst	C••••••, Il	Jan 13, 2022	13 y	1
F•••• J••••• A•••••	C••••••, Il	Jan 13, 2022	12 y	1
M•••••• R•••••• G•••••••	C••••••, Il	Jan 13, 2022	12 y	2
J••• T••••• H•••••••	C••••••, Il	Jan 13, 2022	14 y	1
A••••• Y• K•••	C••••••, Il	Jan 13, 2022	11 y	1
S•• M••••• K••••••	C••••••, Il	Jan 13, 2022	10 y	1
B•••• T•••• M••••••Certified Financial Planner	C••••••, Il	Jan 13, 2022	10 y	1
J•••• T••••• P••••••Certified Financial Planner, Chartered Financial Analyst	C••••••, Il	Jan 13, 2022	34 y	2
W•••••• C•••••••• M•••••Chartered Financial Analyst	C••••••, Il	Jan 13, 2022	32 y	1
T•••••• J• P••••••Chartered Financial Analyst	C••••••, Il	Jan 13, 2022	10 y	1
M••••••• S••••••• B••••••Chartered Financial Analyst	C••••••, Il	Jan 13, 2022	11 y	1
J••• P•••• N•••••••	Glenview, Il	Jan 13, 2022	32 y	1
J•••• C•••••••• S•••••••Certified Financial Planner	C••••••, Il	Jan 13, 2022	28 y	4
A•••••• J••••• H•••••	C••••••, Il	Jan 13, 2022	19 y	2
M•••••• P••••• O•••••••	C••••••, Il	Jan 13, 2022	19 y	2
J•••• M•••••• B••••	C••••••, Il	Jan 13, 2022	18 y	1
J•••• J••••• O••••	C••••••, Il	Jan 13, 2022	31 y	1
M••••••• H•••• T•••••Certified Financial Planner, Personal Financial Specialist	Honolulu, Hi	Jan 13, 2022	35 y	3
M••• F•••• T•••••Chartered Financial Analyst	C••••••, Il	Jan 14, 2022	43 y	3
T••••• E••••• R•••	Miami, Fl	Jan 14, 2022	43 y	1
D••••• J••••• C••••••Chartered Financial Analyst	Palatine, Il	Apr 11, 2022	29 y	3
J••• O• B•••••••	C••••••, Il	Jun 10, 2022	39 y	0
J••• M•••••• R•••••••	Cambridge, Ma	Sep 21, 2022	32 y	1
S•••••• P••••• M••••	Naples, Fl	Dec 10, 2022	22 y	0
R••• J•••• H•••••••	C••••••, Il	Jan 3, 2023	13 y	1
N••••••• A•••••• S••••••	C••••••, Il	Mar 3, 2023	15 y	0
H••••• R••••• B••••••Certified Financial Planner	Victor, Ny	Jun 6, 2023	28 y	5
A••••• J••• B••••••	C••••••, Il	Jun 6, 2023	11 y	0
B•••••• G•••• H•••••	C••••••, Il	Jun 27, 2023	12 y	0
J••••• A••• V•••	C••••••, Il	Aug 16, 2023	12 y	0
A••• C• R•••	C••••••, Il	Aug 17, 2023	10 y	0
P•••• S•••••••••	C••••••, Il	Nov 14, 2023	11 y	0
K••••• M••••• H•••••••	C••••••, Il	Mar 25, 2024	12 y	0

All 55 advisors at C•••••• P••••••• I••••••••• G•••• L••

Advisor movement

1 left, 2 joined in 12 months

net +1 in 12 months1 left in 90 days1 joined in 90 daysdeparture rate 1.9% of current headcount1 left over 36 months

Left, latest

B••••••• A• B••••••••• to M•••••• • N••••• A•••••••• L••
Aug 21, 2026 · RIA to RIA
T••• W•••••• G••••• to G••••• A•••• M•••••••••
Oct 26, 2018 · Other

Joined, latest

N••••••• M•••••••• from A••••••••• F•••••••• S•••••••• L••
Aug 21, 2026 · Affiliated broker-dealer or bank to independent RIA
B••••••• A• B••••••••• from E••••••• W••••• M••••••••• L••
Jan 23, 2026 · RIA to RIA
M•• E•••• D••••••• from B•••••••• A••••••••• I•••
Nov 15, 2024 · Other
T••••• R••••• F•••• from B•••••••• A••••••••• I•••
Nov 15, 2024 · Other
S••••• C••••••••• N••••• from E•• W••••• M••••••••• L••
Oct 9, 2024 · RIA to RIA
H••••• R••••• B•••••• from N••••••••• F•••••••• P•••••••• L••
Jun 6, 2023 · RIA to RIA
M•••••• C••• M•••••••• from A••••••••• F•••••••• S•••••••• L••
Nov 20, 2020 · Affiliated broker-dealer or bank to independent RIA
M••••••• H•••• T••••• from 3• W••••• A•••••••• I•••
Feb 12, 2020 · RIA to RIA
M•••••• D•••• S••••••• from P•••••••• W••••• M•••••••••
Jan 9, 2019 · Other
J•••• C•••••••• S••••••• from E•••••••• W••••• M•••••••••
Jan 8, 2019 · Other
D••••• J••••• C•••••• from C••••••••• F•••••••• G•••• W• L•
Oct 31, 2018 · Other
M•••••• P••••• O••••••• from W••••••• F•••••••• S•••••••• I•••
Jun 1, 2017 · Other
D••••• J••••• T••••• from W•••••• • R•••
Jul 10, 2014 · Other
M••• F•••• T••••• from T•••• P•••••••• M••••••••• L••
May 8, 2014 · Other
J•••• G••••• H••••••• from T•• M••••• F•••••••• G••••• L••
Jan 26, 2009 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from B•••••••• A••••••••• I•••
Dec 31, 2024 · Burr Ridge, Il

Teams out Teams in

Private funds

4 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
D••••••••• E••••• F••• L••	Other Private Fund	$49.4M	1	Oct 28, 2020
C•••••• P••••••• D••••••••• T•• A•••• F•••		$32.1M	62	Mar 18, 2026
D••••••••• I••••• F••• L••	Other Private Fund	$31.6M	1	Oct 28, 2020
T•• P•••••• O••••••••• F••• I• L••no longer reported	Hedge Fund	$1.4M	9	Mar 27, 2012

Owners and control persons

Schedule A and B, latest filing

H•••••••• J••••• G••••• · Managing Membercontrol
since 08/2008 · owns 75% or more
G••••• N•••••••• A• · Partner
since 09/2021 · owns less than 5%
H•••••• A••••••• J••••• · Founding Partner
since 01/2012 · owns less than 5%

Related persons

Schedule D 7.A

C• I•••••••• G••••• L••
real estaten
N•• G•••• G•••• L••
real estaten

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left
C••••••, Il · principal	55	5	0
Honolulu, Hi	3	0	0
Manhattan, Mt	2	0	0
Rochester, Ny	0	0	1

Offices

Schedule D 1.F, the 25 largest

Prescott, AZ3 employees
Naples, FL2 employees
Honolulu, HI2 employees
Miami, FL1 employees
Rochester, NY1 employees
Santa Rosa Beach, FL1 employees
, 1 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

private fund count surgeChange between filings · filing Mar 18, 2026
private funds (Schedule D 7.B.1) moved from 2.0 to 3.0 (+50.0%) between the annual amendments of 2025-03-31 and 2026-03-18; the peer median change was 0.0% (71 comparable advisers, 93.0th percentile of changes)
peers: independent wealth managers, $5B to $20B (71) · 93% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 7,713 to 9,147
Mar 31, 2025 to Mar 18, 2026
Advisory employees · 46 to 38
Mar 31, 2025 to Mar 18, 2026
HNW clients · 1,331 to 1,749
Mar 31, 2025 to Mar 18, 2026
Individual clients · 1,030 to 992
Mar 31, 2025 to Mar 18, 2026
Assets in custody · $349M to $4.0B
Mar 31, 2025 to Mar 18, 2026
Employees · 50 to 73
Mar 31, 2025 to Mar 18, 2026
State-registered IARs · 50 to 56
Mar 31, 2025 to Mar 18, 2026
Private funds · 2 to 3
Mar 31, 2025 to Mar 18, 2026
Discretionary RAUM · $5.1B to $6.1B
Mar 31, 2025 to Mar 18, 2026
HNW RAUM · $4.4B to $5.8B
Mar 31, 2025 to Mar 18, 2026
Individual RAUM · $1.0B to $1.2B
Mar 31, 2025 to Mar 18, 2026
Non-discretionary RAUM · $821M to $1.4B
Mar 31, 2025 to Mar 18, 2026
Pension RAUM · $2.5M to $8.6M
Mar 31, 2025 to Mar 18, 2026
Pooled vehicle RAUM · $45.9M to $46.2M
Mar 31, 2025 to Mar 18, 2026
RAUM · $6.0B to $7.5B
Mar 31, 2025 to Mar 18, 2026
Accounts · 6,933 to 7,713
Nov 27, 2024 to Mar 31, 2025
Advisory employees · 33 to 46
Nov 27, 2024 to Mar 31, 2025
HNW clients · 992 to 1,331
Nov 27, 2024 to Mar 31, 2025
Individual clients · 1,066 to 1,030
Nov 27, 2024 to Mar 31, 2025
Pooled vehicle clients · 2 to 3
Nov 27, 2024 to Mar 31, 2025
Assets in custody · $1.1B to $349M
Nov 27, 2024 to Mar 31, 2025
Employees · 45 to 50
Nov 27, 2024 to Mar 31, 2025
Financial planning clients · More than 500 to More than 500
Nov 27, 2024 to Mar 31, 2025
State-registered IARs · 41 to 50
Nov 27, 2024 to Mar 31, 2025
Discretionary RAUM · $4.2B to $5.1B
Nov 27, 2024 to Mar 31, 2025
HNW RAUM · $3.3B to $4.4B
Nov 27, 2024 to Mar 31, 2025
Individual RAUM · $889M to $1.0B
Nov 27, 2024 to Mar 31, 2025
Non-discretionary RAUM · $410M to $821M
Nov 27, 2024 to Mar 31, 2025
Pension RAUM · $4.0M to $2.5M
Nov 27, 2024 to Mar 31, 2025
Pooled vehicle RAUM · $37.4M to $45.9M
Nov 27, 2024 to Mar 31, 2025
RAUM · $4.6B to $6.0B
Nov 27, 2024 to Mar 31, 2025
Other offices · 16 to 19
Nov 5, 2024 to Nov 27, 2024
Other offices · 10 to 16
Sep 30, 2024 to Nov 5, 2024
Other offices · 9 to 10
May 6, 2024 to Sep 30, 2024
Accounts · 5,599 to 6,933
Dec 26, 2023 to Mar 21, 2024
Advisory employees · 27 to 33
Dec 26, 2023 to Mar 21, 2024
Charity clients · unset to 20.0
Dec 26, 2023 to Mar 21, 2024
Corporate clients · 5.0 to unset
Dec 26, 2023 to Mar 21, 2024
HNW clients · 368 to 992
Dec 26, 2023 to Mar 21, 2024
Individual clients · 1,308 to 1,066
Dec 26, 2023 to Mar 21, 2024

Signals

12 dated events

M•••••• E•••• N••••••• registered as an investment adviser representative at C•••••• P••••••• I••••••••• G•••• L••
Sep 17, 2026 · Advisor registered · fact
B••••••• A• B••••••••• left C•••••• P••••••• I••••••••• G•••• L•• for M•••••• • N••••• A•••••••• L•• (registered 2026-06-25)
Aug 21, 2026 · Advisor changed firm · fact
C•••••• P••••••• I••••••••• G•••• L•• reported RAUM $7.5B, up 25% from $6.0B (2025-03-31 to 2026-03-18)
Mar 18, 2026 · RAUM change · derived
C•••••• P••••••• I••••••••• G•••• L•• reported RAUM $6.0B, up 30% from $4.6B (2024-11-27 to 2025-03-31)
Mar 31, 2025 · RAUM change · derived
2 advisors left B•••••••• A••••••••• I••• (Burr Ridge, IL) for C•••••• P••••••• I••••••••• G•••• L•• within 6 days
Dec 31, 2024 · Team lift-out · derived
C•••••• P••••••• I••••••••• G•••• L•• reported 16 offices beyond its principal office, up from 10 (2024-09-30 to 2024-11-05)
Nov 5, 2024 · Office count change · derived
C•••••• P••••••• I••••••••• G•••• L•• reported RAUM $4.6B, up 26% from $3.6B (2023-12-26 to 2024-03-21)
Mar 21, 2024 · RAUM change · derived
C•••••• P••••••• I••••••••• G•••• L•• reported 34 state-registered advisory representatives, up from 18 (2022-11-10 to 2023-03-27)
Mar 27, 2023 · Advisor headcount change · derived
C•••••• P••••••• I••••••••• G•••• L•• reported 18 state-registered advisory representatives, down from 31 (2022-01-07 to 2022-03-31)
Mar 31, 2022 · Advisor headcount change · derived
C•••••• P••••••• I••••••••• G•••• L•• reported RAUM $3.7B, up 26% from $3.0B (2022-01-07 to 2022-03-31)
Mar 31, 2022 · RAUM change · derived
C•••••• P••••••• I••••••••• G•••• L•• reported RAUM $2.5B, up 52% from $1.7B (2020-01-03 to 2020-03-23)
Mar 23, 2020 · RAUM change · derived
C•••••• P••••••• I••••••••• G•••• L•• reported RAUM $1.6B, up 35% from $1.2B (2017-09-08 to 2018-04-05)
Apr 5, 2018 · RAUM change · derived

Across DFX

shared identifiers only, never a name match

C•••••• P••••••• I••••••••• G•••• L•• · Private Equity
shared crd · intermediary

How to reach

public business contact points only, each with its source

Business phone: 808-791-1444reportedpublished by the firm, firm site, Sep 16, 2026
Website: w••.3•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 312 284 6363reportedpublic record, Form ADV, Mar 18, 2026
Contact form: 3•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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: $138Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026