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

A••••••• I••••••••• P•••••••• L••

Former SEC-registered adviserSafety Harbor, FloridaCRD 149670SEC 801-70008IAPD
Latest filing Sep 9, 2013
First filing on the tape Mar 27, 2012 · 3 filings
RAUM
$664M
reported, Item 5.F
Discretionary
73%
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
9
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$611M as of Mar 22, 2013
Mar 27, 2012$654M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 4
Employees (5.A): 12
Private funds: no history
RAUM +1.4% over the last fiscal year
Practice profile
derived from the filing of Sep 9, 2013; every figure names its basis
RAUM per advisor
$221MderivedRAUM 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
$368,388derivedRAUM over accounts (5.F.2.f)
Discretionary
73%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-6.7%derivedbetween 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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)
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
1,802reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • K••••• T•••••• R•••• · Managercontrol
      since 07/2011 · owns less than 5%
    • K••••• M••••• S•••••• · Chief Compliance Officercontrol
      since 04/2009 · owns less than 5%
    • P•••••• T•••••• M••••• · Chief Financial Officer, Managercontrol
      since 09/2010 · owns less than 5%
    • Q••••••• J••• E••••• · Vice President/Secretary/Managercontrol
      since 04/2009 · owns 5% to 10%
    • Z••••• T•••••• P•••••• · Chairman, Managercontrol
      since 02/2009 · owns less than 5%
    • D••••••• D••••• A••• · Managercontrol
      since 11/2008 · owns F of Wintrust Capital Management
    • G•••• B•••• A•••••• · Managercontrol
      since 11/2008 · owns F of Wintrust Captial Management
    • G••••• M••••• F••••••• · Managercontrol
      since 10/2009 · owns F of Wintrust Capital Management
    • H•••••••• S••••• K•••• · Managercontrol
      since 11/2008 · owns F of Wintrust Capital Management
    • L••••••• J•••• S•••• · Managercontrol
      since 11/2008 · owns F of Wintrust Capital Management
    • W••••••••• S••••••• R••••• · Managercontrol
      since 11/2008 · owns F of Wintrust Capital Management
    • Z••••• T•••••• P•••••• · Managercontrol
      since 11/2008 · owns F of Wintrust Capital Management
    Entity owners
    • G•••• L•••• A•••••••• L•• · Direct Owner, Managing Member
      direct · owns 50% to 75%
    • W••••• H•••••• C•••••• · Corporate Parent, Member
      indirect · owns 75% or more of Wintrust Capital Management
    • W••••••• F•••••••• C••••••••• · Direct Owner
      indirect · owns 75% or more of Whamco Holding Company · public reporting company
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,596 to 1,802
      Mar 22, 2013 to Sep 9, 2013
    • Advisory employees · 12 to 9
      Mar 22, 2013 to Sep 9, 2013
    • Employees · 12 to 9
      Mar 22, 2013 to Sep 9, 2013
    • State-registered IARs · 4 to 3
      Mar 22, 2013 to Sep 9, 2013
    • Discretionary RAUM · $481M to $482M
      Mar 22, 2013 to Sep 9, 2013
    • Non-discretionary RAUM · $130M to $182M
      Mar 22, 2013 to Sep 9, 2013
    • RAUM · $611M to $664M
      Mar 22, 2013 to Sep 9, 2013
    • Accounts · 1,720 to 1,596
      Mar 27, 2012 to Mar 22, 2013
    • Advisory employees · unset to 12.0
      Mar 27, 2012 to Mar 22, 2013
    • BD registered reps · unset to 3.0
      Mar 27, 2012 to Mar 22, 2013
    • Employees · unset to 12.0
      Mar 27, 2012 to Mar 22, 2013
    • State-registered IARs · unset to 4.0
      Mar 27, 2012 to Mar 22, 2013
    • Discretionary RAUM · $561M to $481M
      Mar 27, 2012 to Mar 22, 2013
    • Non-discretionary RAUM · $93.9M to $130M
      Mar 27, 2012 to Mar 22, 2013
    • RAUM · $654M to $611M
      Mar 27, 2012 to Mar 22, 2013
    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