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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
N•••• S•••• C••••••• L••
Latest filing Mar 4, 2026
First filing on the tape Mar 4, 2026 · 1 filings
RAUM
$31.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$31.1M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Mar 4, 2026; every figure names its basis
- RAUM per advisor
- $7.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $234,182derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- is a broker-dealer (6.A.1)
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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$16.7M54%
- Individuals$14.5M46%
- Individual clients
- 117reported
- HNW clients
- 16reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 133reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• L• O••••••• | New Lenox, Il | Feb 13, 2009 | 19 y | 0 |
| A•••• V•••• | New Lenox, Il | Apr 20, 2009 | 20 y | 1 |
| R•• H•••••• G••••••• | Chicago, Il | Nov 20, 2012 | 26 y | 4 |
| S•••••• A••• T•••••••• | New Lenox, Il | Jan 28, 2022 | 15 y | 0 |
Advisor movement
Left, latest
- A••••• E•••• S••••• to E••••• F•••••••• G••••• I•••Jun 29, 2011 · Other
Joined, latest
- R•• H•••••• G••••••• from L•••••• S•• I••••••••• A•••••••• L•••••Nov 20, 2012 · Other
- A••••• E•••• S••••• from A••••••••• F•••••••• S•••••••• L••Aug 23, 2010 · Affiliated broker-dealer or bank to a state-registered adviser
- A•••• V•••• from L•• F•••••••• L••Apr 20, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| New Lenox, Il · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- N•••• S•••• C••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Website
- N••••S••••CAP.COM.reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-445-5400reportedpublic record, Form ADV, Mar 4, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026
Across the graphs
N•••• S•••• C••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
Checking your plan…