DFX Intelligence
RIA Intelligence
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SEC-registered adviser
F•••••••• E•••••••• I••
Latest filing Feb 12, 2026
First filing on the tape Mar 26, 2025 · 3 filings
SEC status approved since Mar 20, 2025
RAUM
$193M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$191M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$193M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$193M as of Feb 12, 2026
Mar 26, 2025$102M then
HNW client RAUM$151M as of Feb 12, 2026
Mar 26, 2025$62.8M then
State-registered IARs (5.B.3)1 as of Feb 12, 2026
Mar 26, 20251 then
Employees (5.A)2 as of Feb 12, 2026
Mar 26, 20252 then
Private funds: no history
RAUM +89% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 12, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $193MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 122derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $461,780derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +89%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +36%derived
- Compensation
- percentage of assets, hourly, 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$151M78%
- Individuals$40.8M21%
- Charitable organizations$1.3M0.6%
- Individual clients
- 64reported
- HNW clients
- 58reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 417reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| B••••• K•••Certified Financial Planner | Rolling Meadows, Il | Nov 14, 2008 | 26 y | 1 |
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
- B••••• K••• from C••• I••Nov 14, 2008 · 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.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Feb 12, 2026RAUM (Item 5.F) moved from $102,114,729 to $192,562,151 (+89.0%) between the annual amendments of 2025-03-26 and 2026-02-12; the peer median change was +15.0% (4548 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,548) · 99% percentile
- HNW share shiftChange between filings · filing Feb 12, 2026HNW share of RAUM moved from 62.0% to 78.0% between the annual amendments of 2025-03-26 and 2026-02-12peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 302 to 417Jun 24, 2025 to Feb 12, 2026
- HNW clients · 30 to 58Jun 24, 2025 to Feb 12, 2026
- Individual clients · 60 to 64Jun 24, 2025 to Feb 12, 2026
- Discretionary RAUM · $102M to $193MJun 24, 2025 to Feb 12, 2026
- HNW RAUM · $62.8M to $151MJun 24, 2025 to Feb 12, 2026
- Individual RAUM · $38.2M to $40.8MJun 24, 2025 to Feb 12, 2026
- RAUM · $102M to $193MJun 24, 2025 to Feb 12, 2026
- Financial planning clients · 101-250 to 101-250Mar 26, 2025 to Jun 24, 2025
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.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/2028626reportedpublic record, Form ADV, Sep 21, 2026
- Website
- FINANCIALE•••••••INC.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 847-496-4179reportedpublic record, Form ADV, Feb 12, 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
- $193Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026