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
I••••••• F•••••••• P••••••• L••
Latest filing Feb 10, 2026
First filing on the tape Oct 25, 2024 · 3 filings
SEC status approved since Nov 26, 2024
RAUM
$158M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$158M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$158M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$158M as of Feb 10, 2026
Mar 7, 2025$138M then
HNW client RAUM$155M as of Feb 10, 2026
Mar 7, 2025$134M then
State-registered IARs (5.B.3)1 as of Feb 10, 2026
Mar 7, 20251 then
Employees (5.A)2 as of Feb 10, 2026
Mar 7, 20252 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $158MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $421,400derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.5%derived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$155M98%
- Individuals$3.3M2.1%
- Individual clients
- 5reported
- HNW clients
- 65reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 375reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• L••• S••••••Certified Financial Planner | Naperville, Il | Sep 2, 2008 | 26 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
- S••••••• J•••••••• L••• · Managing Member/Chief Compliance Officercontrolsince 07/2008 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Warrenville, IL1 employees
- Schaumburg, IL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Feb 10, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 353 to 375Mar 7, 2025 to Feb 10, 2026
- HNW clients · 59 to 65Mar 7, 2025 to Feb 10, 2026
- Individual clients · 8 to 5Mar 7, 2025 to Feb 10, 2026
- Assets in custody · $58.9M to $69.7MMar 7, 2025 to Feb 10, 2026
- Financial planning clients · 51-100 to 101-250Mar 7, 2025 to Feb 10, 2026
- HNW RAUM · $134M to $155MMar 7, 2025 to Feb 10, 2026
- Individual RAUM · $3.9M to $3.3MMar 7, 2025 to Feb 10, 2026
- Non-discretionary RAUM · $138M to $158MMar 7, 2025 to Feb 10, 2026
- RAUM · $138M to $158MMar 7, 2025 to Feb 10, 2026
- Accounts · 317 to 353Oct 25, 2024 to Mar 7, 2025
- HNW clients · 57 to 59Oct 25, 2024 to Mar 7, 2025
- Individual clients · 5 to 8Oct 25, 2024 to Mar 7, 2025
- Assets in custody · $57.2M to $58.9MOct 25, 2024 to Mar 7, 2025
- Financial planning clients · 51-100 to 51-100Oct 25, 2024 to Mar 7, 2025
- HQ city · unset to Oct 25, 2024 to Mar 7, 2025
- HQ state · unset to Oct 25, 2024 to Mar 7, 2025
- HNW RAUM · $121M to $134MOct 25, 2024 to Mar 7, 2025
- Individual RAUM · $3.2M to $3.9MOct 25, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $124M to $138MOct 25, 2024 to Mar 7, 2025
- RAUM · $124M to $138MOct 25, 2024 to Mar 7, 2025
Signals
1 dated events
- I••••••• F•••••••• P••••••• L•• filed its initial SEC registration (Form ADV)Oct 25, 2024 · First SEC registration · fact
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
- j••••••••@i•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 630-219-3315reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- I•••••••FP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 630-219-3315reportedpublic record, Form ADV, Feb 10, 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
- $158Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026