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.

Former SEC-registered adviser

Barrington Strategic Wealth Management Group LLC

Former SEC-registered adviserChicago, IllinoisCRD 149472SEC 801-69933IAPD
Latest filing Mar 31, 2017
First filing on the tape Mar 28, 2012 · 14 filings
RAUM
$349M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$349M as of Mar 31, 2017
Mar 28, 2012$303M then
HNW client RAUM: no history
State-registered IARs (5.B.3)8 as of Mar 31, 2017
Mar 22, 20135 then
Employees (5.A)11 as of Mar 31, 2017
Mar 22, 201311 then
Private funds: no history
RAUM +5.7% over the last fiscal year+2.0% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Mar 31, 2017; every figure names its basis
RAUM per advisor
$43.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$583,403derivedRAUM over accounts (5.F.2.f)
Discretionary
83%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
8.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+5.7%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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
Custody
$3.2M, 1 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)
  • has custody of client securities (9.A.1.b)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
598reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$3.2M for 1 clientsreported
Compensation
% of AUM, fixedreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Penrod Ellen Abell · Managing Directorcontrol
        since 10/2009 · owns less than 5%
      • Michelle Lauren Genuardi · Managing Directorcontrol
        since 01/2013 · owns less than 5%
      • Jill Diana Joseph · Managing Membercontrol
        since 01/2009 · owns 75% or more
      • Stuart Emily Rodgers · Managing Directorcontrol
        since 01/2013 · owns less than 5%
      • Ellen Katrine Vange Keller · Director, Chief Compliance Officercontrol
        since 06/2010 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 605 to 598
        Mar 29, 2016 to Mar 31, 2017
      • Assets in custody · $2.4M to $3.2M
        Mar 29, 2016 to Mar 31, 2017
      • Employees · 10 to 11
        Mar 29, 2016 to Mar 31, 2017
      • Discretionary RAUM · $280M to $288M
        Mar 29, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $50.0M to $60.6M
        Mar 29, 2016 to Mar 31, 2017
      • RAUM · $330M to $349M
        Mar 29, 2016 to Mar 31, 2017
      • Accounts · 575 to 605
        Nov 25, 2015 to Mar 29, 2016
      • Assets in custody · $2.6M to $2.4M
        Nov 25, 2015 to Mar 29, 2016
      • Employees · 11 to 10
        Nov 25, 2015 to Mar 29, 2016
      • Financial planning clients · 26-50 to 11-25
        Nov 25, 2015 to Mar 29, 2016
      • State-registered IARs · 9 to 8
        Nov 25, 2015 to Mar 29, 2016
      • Discretionary RAUM · $280M to $280M
        Nov 25, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · $49.9M to $50.0M
        Nov 25, 2015 to Mar 29, 2016
      • RAUM · $330M to $330M
        Nov 25, 2015 to Mar 29, 2016
      • Accounts · 523 to 575
        Nov 7, 2014 to Mar 31, 2015
      • Advisory employees · 6 to 8
        Nov 7, 2014 to Mar 31, 2015
      • Assets in custody · $3.7M to $2.6M
        Nov 7, 2014 to Mar 31, 2015
      • Financial planning clients · 11-25 to 26-50
        Nov 7, 2014 to Mar 31, 2015
      • State-registered IARs · 7 to 9
        Nov 7, 2014 to Mar 31, 2015
      • Discretionary RAUM · $280M to $280M
        Nov 7, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $48.3M to $49.9M
        Nov 7, 2014 to Mar 31, 2015
      • RAUM · $329M to $330M
        Nov 7, 2014 to Mar 31, 2015
      • Assets in custody · unset to 3731619.0
        Jun 3, 2014 to Jun 6, 2014
      • Custody of client assets · false to true
        Jun 3, 2014 to Jun 6, 2014
      • Accounts · 490 to 523
        Nov 5, 2013 to Mar 28, 2014
      • Advisory activities · 3 to 5
        Nov 5, 2013 to Mar 28, 2014
      • Financial planning clients · unset to 11-25
        Nov 5, 2013 to Mar 28, 2014
      • State-registered IARs · 5 to 7
        Nov 5, 2013 to Mar 28, 2014
      • Discretionary RAUM · $260M to $280M
        Nov 5, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $53.2M to $48.3M
        Nov 5, 2013 to Mar 28, 2014
      • RAUM · $313M to $329M
        Nov 5, 2013 to Mar 28, 2014
      • Accounts · 482 to 490
        Mar 22, 2013 to Mar 22, 2013
      • Advisory activities · 4 to 3
        Mar 22, 2013 to Mar 22, 2013
      • Employees · 10 to 11
        Mar 22, 2013 to Mar 22, 2013
      • State-registered IARs · 6 to 5
        Mar 22, 2013 to Mar 22, 2013
      • Discretionary RAUM · $257M to $260M
        Mar 22, 2013 to Mar 22, 2013
      • Non-discretionary RAUM · $46.2M to $53.2M
        Mar 22, 2013 to Mar 22, 2013
      • RAUM · $303M to $313M
        Mar 22, 2013 to Mar 22, 2013
      • Advisory employees · unset to 6.0
        Mar 28, 2012 to Nov 30, 2012
      • Employees · unset to 10.0
        Mar 28, 2012 to Nov 30, 2012
      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