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

R•••• H••••• • A••••••••• I•••

Former SEC-registered adviserChampaign, IllinoisCRD 150053SEC 801-70994IAPD
Latest filing Nov 17, 2014
First filing on the tape Mar 9, 2012 · 7 filings
RAUM
$270M
reported, Item 5.F
Discretionary
96%
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$270M as of Mar 17, 2014
Mar 9, 2012$211M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 17, 2014
Mar 9, 20120 then
Employees (5.A)3 as of Mar 17, 2014
Mar 28, 20134 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Nov 17, 2014; every figure names its basis
RAUM per advisor
$270MderivedRAUM 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
$234,430derivedRAUM over accounts (5.F.2.f)
Discretionary
96%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 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
1,153reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
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
    • H•••••• D•••••• E••••• · Presidentcontrol
      since 09/2009 · owns 25% to 50%
    • R••••• C••••••• A•• · Ownercontrol
      since 09/2009 · owns 25% to 50%
    • R••••• P•••• A••••• · Ceocontrol
      since 09/2009 · owns less than 5%
    • R••••• R•••• M•••• · Executive Vice President
      since 09/2009 · owns less than 5%
    • S••••••••• G•••• J••••• · Chief Compliance Officer
      since 10/2009 · owns less than 5%
    • V•••••••• L••••• B••• · Executive Vice President
      since 09/2009 · owns less than 5%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Related adviser · false to true
      Oct 16, 2014 to Nov 17, 2014
    • Accounts · 1,113 to 1,153
      Mar 28, 2013 to Mar 17, 2014
    • Advisory activities · 5 to 4
      Mar 28, 2013 to Mar 17, 2014
    • Employees · 4 to 3
      Mar 28, 2013 to Mar 17, 2014
    • Insurance-licensed employees · 0 to 1
      Mar 28, 2013 to Mar 17, 2014
    • Financial planning clients · 51-100 to 251-500
      Mar 28, 2013 to Mar 17, 2014
    • State-registered IARs · 2 to 1
      Mar 28, 2013 to Mar 17, 2014
    • Discretionary RAUM · $222M to $260M
      Mar 28, 2013 to Mar 17, 2014
    • Non-discretionary RAUM · $3.0M to $10.0M
      Mar 28, 2013 to Mar 17, 2014
    • RAUM · $225M to $270M
      Mar 28, 2013 to Mar 17, 2014
    • Accounts · 1,070 to 1,113
      Aug 30, 2012 to Mar 28, 2013
    • Advisory employees · unset to 2.0
      Aug 30, 2012 to Mar 28, 2013
    • Employees · unset to 4.0
      Aug 30, 2012 to Mar 28, 2013
    • Insurance-licensed employees · 1 to 0
      Aug 30, 2012 to Mar 28, 2013
    • State-registered IARs · 0 to 2
      Aug 30, 2012 to Mar 28, 2013
    • Discretionary RAUM · $208M to $222M
      Aug 30, 2012 to Mar 28, 2013
    • Non-discretionary RAUM · $3.1M to $3.0M
      Aug 30, 2012 to Mar 28, 2013
    • RAUM · $211M to $225M
      Aug 30, 2012 to Mar 28, 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