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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Former SEC-registered adviser

A••••••• A•••••••• L••

Former SEC-registered adviserPark Ridge, IllinoisCRD 148562SEC 801-69717IAPD
Latest filing Mar 27, 2018
First filing on the tape Mar 29, 2012 · 11 filings
RAUM
$903M
reported, Item 5.F
Discretionary
46%
of RAUM
Private clients
100%
$903M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$903M as of Mar 26, 2018
Mar 29, 2012$387M then
HNW client RAUM: $903M
State-registered IARs (5.B.3)2 as of Mar 26, 2018
Mar 29, 20120 then
Employees (5.A)9 as of Mar 26, 2018
Mar 28, 20135 then
Private funds: no history
RAUM +10.0% over the last fiscal year+7.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2018; every figure names its basis
RAUM per advisor
$452MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
7derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$64.5MderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
46%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.9%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, selection of other advisersreportedItem 5.G
Custody
$2.0M, 2 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$903M100%
Individual clients
0reported
HNW clients
14reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
629reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$2.0M for 2 clientsreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Y•••••••• C••••••••• F•••••• · Chief Compliance Officer, Membercontrol
        since 10/2008 · owns 75% or more
      Related persons
      Schedule D 7.A
      • C••••••••• F• Y•••••••
        y
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 627 to 629
        Mar 26, 2018 to Mar 27, 2018
      • Discretionary RAUM · $414M to $414M
        Mar 26, 2018 to Mar 27, 2018
      • HNW RAUM · $903M to $903M
        Mar 26, 2018 to Mar 27, 2018
      • RAUM · $903M to $903M
        Mar 26, 2018 to Mar 27, 2018
      • Accounts · 596 to 627
        Mar 24, 2017 to Mar 26, 2018
      • Charity clients · unset to 0.0
        Mar 24, 2017 to Mar 26, 2018
      • Corporate clients · unset to 0.0
        Mar 24, 2017 to Mar 26, 2018
      • HNW clients · unset to 14.0
        Mar 24, 2017 to Mar 26, 2018
      • Individual clients · unset to 0.0
        Mar 24, 2017 to Mar 26, 2018
      • Pension plan clients · unset to 0.0
        Mar 24, 2017 to Mar 26, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 24, 2017 to Mar 26, 2018
      • Assets in custody · $2.7M to $2.0M
        Mar 24, 2017 to Mar 26, 2018
      • Employees · 8 to 9
        Mar 24, 2017 to Mar 26, 2018
      • Other offices · unset to 0.0
        Mar 24, 2017 to Mar 26, 2018
      • Discretionary RAUM · $379M to $414M
        Mar 24, 2017 to Mar 26, 2018
      • HNW RAUM · unset to 902769298.0
        Mar 24, 2017 to Mar 26, 2018
      • Individual RAUM · unset to 0.0
        Mar 24, 2017 to Mar 26, 2018
      • Non-discretionary RAUM · $442M to $489M
        Mar 24, 2017 to Mar 26, 2018
      • Pension RAUM · unset to 0.0
        Mar 24, 2017 to Mar 26, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 24, 2017 to Mar 26, 2018
      • RAUM · $821M to $903M
        Mar 24, 2017 to Mar 26, 2018
      • Accounts · 538 to 596
        Mar 11, 2016 to Mar 24, 2017
      • Assets in custody · $5.2M to $2.7M
        Mar 11, 2016 to Mar 24, 2017
      • Discretionary RAUM · $367M to $379M
        Mar 11, 2016 to Mar 24, 2017
      • Non-discretionary RAUM · $441M to $442M
        Mar 11, 2016 to Mar 24, 2017
      • RAUM · $809M to $821M
        Mar 11, 2016 to Mar 24, 2017
      • Accounts · 456 to 538
        Mar 4, 2015 to Mar 11, 2016
      • Assets in custody · $1.6M to $5.2M
        Mar 4, 2015 to Mar 11, 2016
      • Employees · 6 to 8
        Mar 4, 2015 to Mar 11, 2016
      • Discretionary RAUM · $248M to $367M
        Mar 4, 2015 to Mar 11, 2016
      • Non-discretionary RAUM · $472M to $441M
        Mar 4, 2015 to Mar 11, 2016
      • RAUM · $720M to $809M
        Mar 4, 2015 to Mar 11, 2016
      • Accounts · 393 to 456
        Mar 20, 2014 to Mar 4, 2015
      • Assets in custody · $1.3M to $1.6M
        Mar 20, 2014 to Mar 4, 2015
      • Discretionary RAUM · $200M to $248M
        Mar 20, 2014 to Mar 4, 2015
      • Non-discretionary RAUM · $365M to $472M
        Mar 20, 2014 to Mar 4, 2015
      • RAUM · $565M to $720M
        Mar 20, 2014 to Mar 4, 2015
      • Accounts · 348 to 393
        Mar 28, 2013 to Feb 28, 2014
      • Assets in custody · $877,341 to $1.3M
        Mar 28, 2013 to Feb 28, 2014
      • Employees · 5 to 6
        Mar 28, 2013 to Feb 28, 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