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

M•• W••••• M••••••••• L••

Former SEC-registered adviserOak Brook, IllinoisCRD 150315SEC 801-76644IAPD
Latest filing Mar 30, 2018
First filing on the tape Apr 28, 2012 · 14 filings
RAUM
$217M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
97%
$210M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$217M as of Mar 30, 2018
Mar 28, 2013$185M then
HNW client RAUM: $209M
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Mar 28, 20131 then
Employees (5.A)3 as of Mar 30, 2018
Mar 28, 20133 then
Private funds: no history
RAUM +11% over the last fiscal year+7.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2018; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.2MderivedHNW RAUM over HNW clients
Average account
$3.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 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$209M96%
  • Pension and profit-sharing plans$7.1M3.3%
  • Individuals$1.1M0.5%
Individual clients
n/areported
HNW clients
50reported
Pension plan clients
2reported
Charitable clients
n/areported
Accounts
56reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • P•••••••• M•••••• G••••• · Sole Membercontrol
    since 04/2009 · owns 75% or more
  • S••••••••• G•••• J••••• · Cco
    since 04/2012 · 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 · 550 to 56
    Mar 27, 2017 to Mar 30, 2018
  • Advisory activities · 3 to 4
    Mar 27, 2017 to Mar 30, 2018
  • HNW clients · unset to 50.0
    Mar 27, 2017 to Mar 30, 2018
  • Pension plan clients · unset to 2.0
    Mar 27, 2017 to Mar 30, 2018
  • Financial planning clients · 26-50 to 51-100
    Mar 27, 2017 to Mar 30, 2018
  • Other offices · unset to 0.0
    Mar 27, 2017 to Mar 30, 2018
  • HNW RAUM · unset to 209008000.0
    Mar 27, 2017 to Mar 30, 2018
  • Individual RAUM · unset to 1107000.0
    Mar 27, 2017 to Mar 30, 2018
  • Non-discretionary RAUM · $195M to $217M
    Mar 27, 2017 to Mar 30, 2018
  • Pension RAUM · unset to 7100000.0
    Mar 27, 2017 to Mar 30, 2018
  • RAUM · $195M to $217M
    Mar 27, 2017 to Mar 30, 2018
  • Accounts · 151 to 550
    Mar 25, 2016 to Mar 27, 2017
  • Advisory employees · 0 to 1
    Mar 25, 2016 to Mar 27, 2017
  • Employees · 2 to 3
    Mar 25, 2016 to Mar 27, 2017
  • Non-discretionary RAUM · $174M to $195M
    Mar 25, 2016 to Mar 27, 2017
  • RAUM · $174M to $195M
    Mar 25, 2016 to Mar 27, 2017
  • Accounts · 1,363 to 151
    Mar 31, 2015 to Mar 25, 2016
  • Advisory employees · 1 to 0
    Mar 31, 2015 to Mar 25, 2016
  • Non-discretionary RAUM · $175M to $174M
    Mar 31, 2015 to Mar 25, 2016
  • RAUM · $175M to $174M
    Mar 31, 2015 to Mar 25, 2016
  • Accounts · 265 to 1,363
    May 12, 2014 to Mar 31, 2015
  • Non-discretionary RAUM · $200M to $175M
    May 12, 2014 to Mar 31, 2015
  • RAUM · $200M to $175M
    May 12, 2014 to Mar 31, 2015
  • Accounts · 245 to 265
    Mar 28, 2013 to Mar 17, 2014
  • Employees · 3 to 2
    Mar 28, 2013 to Mar 17, 2014
  • State-registered IARs · 1 to 0
    Mar 28, 2013 to Mar 17, 2014
  • Non-discretionary RAUM · $185M to $200M
    Mar 28, 2013 to Mar 17, 2014
  • RAUM · $185M to $200M
    Mar 28, 2013 to Mar 17, 2014
  • Accounts · 243 to 245
    Aug 17, 2012 to Mar 28, 2013
  • Advisory employees · unset to 1.0
    Aug 17, 2012 to Mar 28, 2013
  • Employees · unset to 3.0
    Aug 17, 2012 to Mar 28, 2013
  • Insurance-licensed employees · 1 to 0
    Aug 17, 2012 to Mar 28, 2013
  • State-registered IARs · 0 to 1
    Aug 17, 2012 to Mar 28, 2013
  • Non-discretionary RAUM · $168M to $185M
    Aug 17, 2012 to Mar 28, 2013
  • RAUM · $168M to $185M
    Aug 17, 2012 to Mar 28, 2013
  • Advisory activities · 2 to 3
    Jun 5, 2012 to Aug 2, 2012
  • Insurance-licensed employees · 0 to 1
    Jun 5, 2012 to Aug 2, 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