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
B•••• • Y•••• I••••••••• A•••••••• I•••
Latest filing Mar 21, 2025
First filing on the tape Mar 28, 2012 · 13 filings
SEC status approved since Jul 15, 2022
RAUM
$102M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$102M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$102M as of Mar 21, 2025
Mar 28, 2012$45.5M then
HNW client RAUM$98.6M as of Mar 21, 2025
Mar 29, 2023$96.2M then
State-registered IARs (5.B.3)2 as of Mar 21, 2025
Mar 29, 20232 then
Employees (5.A)2 as of Mar 21, 2025
Mar 29, 20232 then
Private funds: no history
RAUM -11% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 21, 2025; every figure names its basis
- RAUM per advisor
- $50.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 17derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM 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
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -11%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$98.6M97%
- Individuals$3.2M3.1%
- Individual clients
- 6reported
- HNW clients
- 28reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 78reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- G•••• A•••• B•••• to L•• F•••••••• L••Jan 20, 2026 · RIA to affiliated broker-dealer or bank
- L••• A•• Y•••• to L•• F•••••••• L••Jan 20, 2026 · RIA to affiliated broker-dealer or bank
Joined, latest
- R•••••• M••••• C•••••• from H•••••• C••• I••••••••• A•••••••• I•••Apr 7, 2009 · Other
- G•••• A•••• B•••• from H•••••• C••• I••••••••• A•••••••• I•••Feb 17, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for L•• F•••••••• L••Jan 20, 2026 · Deerfield, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• G••••• A•••• · President, Chief Compliance Officercontrolsince 09/2008 · owns 75% or more
- Y••••• L•••• A•• · Vice Presidentcontrolsince 01/2009 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Chicago, Il | 0 | 0 | 0 | ||
| Deerfield, Il · principal | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 79 to 78Sep 25, 2024 to Mar 21, 2025
- HNW clients · 32 to 28Sep 25, 2024 to Mar 21, 2025
- Insurance-licensed employees · 1 to 0Sep 25, 2024 to Mar 21, 2025
- Financial planning clients · 0 to 0Sep 25, 2024 to Mar 21, 2025
- HNW RAUM · $111M to $98.6MSep 25, 2024 to Mar 21, 2025
- Individual RAUM · $3.5M to $3.2MSep 25, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $114M to $102MSep 25, 2024 to Mar 21, 2025
- RAUM · $114M to $102MSep 25, 2024 to Mar 21, 2025
- HQ city · NORTHFIELD to DEERFIELDMar 22, 2024 to Sep 25, 2024
- Individual clients · 7 to 6Mar 29, 2023 to Mar 22, 2024
- HNW RAUM · $96.2M to $111MMar 29, 2023 to Mar 22, 2024
- Individual RAUM · $4.2M to $3.5MMar 29, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $100M to $114MMar 29, 2023 to Mar 22, 2024
- RAUM · $100M to $114MMar 29, 2023 to Mar 22, 2024
- Accounts · 76 to 79Oct 29, 2022 to Mar 29, 2023
- HNW clients · 34 to 32Oct 29, 2022 to Mar 29, 2023
- Individual clients · 8 to 7Oct 29, 2022 to Mar 29, 2023
- HNW RAUM · $117M to $96.2MOct 29, 2022 to Mar 29, 2023
- Individual RAUM · $5.6M to $4.2MOct 29, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $123M to $100MOct 29, 2022 to Mar 29, 2023
- RAUM · $123M to $100MOct 29, 2022 to Mar 29, 2023
- Accounts · 79 to 76Jun 1, 2012 to Jun 15, 2022
- Advisory employees · unset to 2.0Jun 1, 2012 to Jun 15, 2022
- BD registered reps · unset to 2.0Jun 1, 2012 to Jun 15, 2022
- HNW clients · unset to 34.0Jun 1, 2012 to Jun 15, 2022
- Individual clients · unset to 8.0Jun 1, 2012 to Jun 15, 2022
- Employees · unset to 2.0Jun 1, 2012 to Jun 15, 2022
- HQ city · NORTHBROOK to NORTHFIELDJun 1, 2012 to Jun 15, 2022
- State-registered IARs · unset to 2.0Jun 1, 2012 to Jun 15, 2022
- Other offices · unset to 0.0Jun 1, 2012 to Jun 15, 2022
- HNW RAUM · unset to 117499261.0Jun 1, 2012 to Jun 15, 2022
- Individual RAUM · unset to 5619782.0Jun 1, 2012 to Jun 15, 2022
- Non-discretionary RAUM · $45.5M to $123MJun 1, 2012 to Jun 15, 2022
- RAUM · $45.5M to $123MJun 1, 2012 to Jun 15, 2022
Signals
6 dated events
- B•••• • Y•••• I••••••••• A•••••••• I••• no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $101.7M)Feb 2, 2026 · Left the SEC roster · derived
- L••• A•• Y•••• left B•••• • Y•••• I••••••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2025-11-13)Jan 20, 2026 · Advisor changed firm · fact
- 2 advisors left B•••• • Y•••• I••••••••• A•••••••• I••• (Deerfield, IL) for L•• F•••••••• L•• on the same dayJan 20, 2026 · Team lift-out · derived
- G•••• A•••• B•••• left B•••• • Y•••• I••••••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2025-11-13)Jan 20, 2026 · Advisor changed firm · fact
- R•••••• M••••• C•••••• no longer registered at B•••• • Y•••• I••••••••• A•••••••• I•••; no later IA registration on IAPDMar 8, 2024 · Advisor departure · fact
- B•••• • Y•••• I••••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Jun 15, 2022 · 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.
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