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.
SEC-registered adviser
Arbor Financial Services, LLC
Latest filing Feb 12, 2026
First filing on the tape Feb 21, 2012 · 17 filings
SEC status approved since Jun 14, 2021
RAUM
$122M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$122M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$30.6M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$122M as of Feb 12, 2026
Feb 21, 2012$54.2M then
HNW client RAUM$71.2M as of Feb 12, 2026
Mar 11, 2022$57.0M then
State-registered IARs (5.B.3)4 as of Feb 12, 2026
Mar 11, 20223 then
Employees (5.A)5 as of Feb 12, 2026
Mar 11, 20229 then
Private funds: no history
RAUM +7.8% over the last fiscal year+3.6% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Feb 12, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $30.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $320,775derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $122MreportedItem 5.I
- Custody
- $72.4M, 170 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$71.2M58%
- Individuals$51.0M42%
- Individual clients
- 202reported
- HNW clients
- 38reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 381reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $72.4M for 170 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Peter Charles Claeys | Downers Grove, Il | Oct 2, 2009 | 39 y | 3 |
| Paul B Beran | Downers Grove, Il | Jul 23, 2013 | 13 y | 0 |
| Peter Mikelis JankovskisChartered Financial Analyst | Downers Grove, Il | Mar 11, 2022 | 18 y | 0 |
| Katharine Augusta Schwartz | Downers Grove, Il | May 13, 2025 | 15 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Andrew J Krajewski to Edge Financial Advisors, LLCApr 22, 2024 · RIA to RIA
- John Morgan Smith to Legacy Financial Advisors, Inc.Aug 19, 2021 · RIA to RIA
Joined, latest
- John Morgan Smith from Alpha Cubed Investments, LLCSep 25, 2019 · Other
- Peter Charles Claeys from Morgan StanleyOct 2, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Charles Peter Claeys · Chief Compliance Officer, Membercontrolsince 06/2009 · owns less than 5%
- Charles Peter Claeys · Managing Membercontrolsince 06/2000 · owns 75% or more of Profitability Concepts And Consulting, LLC
Entity owners
- Profitability Concepts And Consulting, LLC · Managing Memberdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Downers Grove, Il · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 385 to 381Feb 3, 2025 to Feb 12, 2026
- HNW clients · 31 to 38Feb 3, 2025 to Feb 12, 2026
- Individual clients · 201 to 202Feb 3, 2025 to Feb 12, 2026
- Assets in custody · $65.7M to $72.4MFeb 3, 2025 to Feb 12, 2026
- Employees · 6 to 5Feb 3, 2025 to Feb 12, 2026
- State-registered IARs · 3 to 4Feb 3, 2025 to Feb 12, 2026
- Discretionary RAUM · $113M to $122MFeb 3, 2025 to Feb 12, 2026
- HNW RAUM · $62.3M to $71.2MFeb 3, 2025 to Feb 12, 2026
- Individual RAUM · $51.2M to $51.0MFeb 3, 2025 to Feb 12, 2026
- RAUM · $113M to $122MFeb 3, 2025 to Feb 12, 2026
- Accounts · 468 to 385Oct 25, 2024 to Feb 3, 2025
- HNW clients · 30 to 31Oct 25, 2024 to Feb 3, 2025
- Individual clients · 210 to 201Oct 25, 2024 to Feb 3, 2025
- Assets in custody · $68.0M to $65.7MOct 25, 2024 to Feb 3, 2025
- Employees · 7 to 6Oct 25, 2024 to Feb 3, 2025
- Financial planning clients · 0 to 0Oct 25, 2024 to Feb 3, 2025
- State-registered IARs · 4 to 3Oct 25, 2024 to Feb 3, 2025
- Discretionary RAUM · $118M to $113MOct 25, 2024 to Feb 3, 2025
- HNW RAUM · $59.7M to $62.3MOct 25, 2024 to Feb 3, 2025
- Individual RAUM · $57.4M to $51.2MOct 25, 2024 to Feb 3, 2025
- RAUM · $118M to $113MOct 25, 2024 to Feb 3, 2025
- Accounts · 531 to 468Apr 17, 2023 to Feb 12, 2024
- HNW clients · 27 to 30Apr 17, 2023 to Feb 12, 2024
- Individual clients · 238 to 210Apr 17, 2023 to Feb 12, 2024
- Assets in custody · $36.1M to $68.0MApr 17, 2023 to Feb 12, 2024
- Discretionary RAUM · $110M to $118MApr 17, 2023 to Feb 12, 2024
- HNW RAUM · $52.1M to $59.7MApr 17, 2023 to Feb 12, 2024
- Individual RAUM · $57.2M to $57.4MApr 17, 2023 to Feb 12, 2024
- RAUM · $110M to $118MApr 17, 2023 to Feb 12, 2024
- Accounts · 542 to 531Mar 11, 2022 to Feb 27, 2023
- Advisory employees · 5 to 3Mar 11, 2022 to Feb 27, 2023
- Charity clients · 1.0 to unsetMar 11, 2022 to Feb 27, 2023
- HNW clients · 29 to 27Mar 11, 2022 to Feb 27, 2023
- Individual clients · 214 to 238Mar 11, 2022 to Feb 27, 2023
- Assets in custody · $45.5M to $36.1MMar 11, 2022 to Feb 27, 2023
- Employees · 9 to 7Mar 11, 2022 to Feb 27, 2023
- State-registered IARs · 3 to 4Mar 11, 2022 to Feb 27, 2023
- Discretionary RAUM · $117M to $110MMar 11, 2022 to Feb 27, 2023
- HNW RAUM · $57.0M to $52.1MMar 11, 2022 to Feb 27, 2023
- Individual RAUM · $59.6M to $57.2MMar 11, 2022 to Feb 27, 2023
Signals
2 dated events
- Andrew J Krajewski left Arbor Financial Services, Llc for Edge Financial Advisors, Llc (registered 2024-05-03)Apr 22, 2024 · Advisor changed firm · fact
- Arbor Financial Services, Llc filed its initial SEC registration (Form ADV)May 14, 2021 · 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.
How to reach
public business contact points only, each with its source
- Business email
- info@arborfinancialservices.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- monica.stern@arborfinancialservices.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 630-701-9080reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/ArborFinancialServicesllcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- ARBORFINANCIALSERVICES.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 630-701-9080reportedpublic record, Form ADV, Feb 12, 2026
- Contact form
- arborfinancialservices.com/about/contactreportedpublished by the firm, firm site, Sep 17, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $30.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026