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

N•• V•••• I••••••••• G••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 150740SEC 801-70345IAPD
Latest filing Mar 20, 2014
First filing on the tape Jan 4, 2012 · 5 filings
RAUM
$176M
reported, Item 5.F
Discretionary
100%
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
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$176M gross assets
History
5 filings and snapshots on the tape
RAUM$176M as of Mar 20, 2014
Mar 21, 2012$165M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2014
Mar 21, 20120 then
Employees (5.A)4 as of Mar 20, 2014
Mar 22, 20134 then
Private funds2 as of Mar 20, 2014
Mar 21, 20122 then
RAUM +4.3% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2014; 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
unknownderivedHNW RAUM over HNW clients
Average account
$87.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
+4.3%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consultingreportedItem 5.G
Custody
$68.2M, 2 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$68.2M for 2 clientsreported
Compensation
% of AUM, hourly, 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
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      W•••••• R••••• T•••• I•• L•••Hedge Fund$2.3M12Jan 4, 2012
      W•••••• R••••• T•••• L•••••• P•••••••••Hedge Fund$675,0005Jan 4, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A•••• D•••••• B•••• · Chief Compliance Officercontrol
        since 06/2009 · owns 50% to 75%
      • K••••••••• M•••• R•••••• · Managing Principalcontrol
        since 06/2009 · owns 50% to 75%
      • A•••• D•••••• B•••• · Shareholdercontrol
        since 01/2013 · owns 50% to 75% of E•••• I•••
      • K••••••••• M•••• R•••••• · Shareholdercontrol
        since 01/2013 · owns 50% to 75% of E•••• I•••
      • A•••• K•••••••• A•• · Spouse Of Shareholder
        since 01/2013 · owns 50% to 75% of E•••• I•••
      • K••••••••• P•••••••• D•••• · Spouse Of Shareholder
        since 01/2013 · owns 50% to 75% of E•••• I•••
      Entity owners
      • E•••• I••• · Owner
        direct · owns 75% or more
      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
      • Assets in custody · $65.7M to $68.2M
        Mar 22, 2013 to Mar 20, 2014
      • Discretionary RAUM · $168M to $176M
        Mar 22, 2013 to Mar 20, 2014
      • RAUM · $168M to $176M
        Mar 22, 2013 to Mar 20, 2014
      • Assets in custody · $61.7M to $65.7M
        Nov 27, 2012 to Mar 22, 2013
      • Discretionary RAUM · $165M to $168M
        Nov 27, 2012 to Mar 22, 2013
      • RAUM · $165M to $168M
        Nov 27, 2012 to Mar 22, 2013
      • Advisory employees · unset to 4.0
        Mar 21, 2012 to Nov 27, 2012
      • Employees · unset to 4.0
        Mar 21, 2012 to Nov 27, 2012
      • Assets in custody · $62.3M to $61.7M
        Jan 4, 2012 to Mar 21, 2012
      • Discretionary RAUM · $165M to $165M
        Jan 4, 2012 to Mar 21, 2012
      • RAUM · $165M to $165M
        Jan 4, 2012 to Mar 21, 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
      Across the graphs

      N•• V•••• I••••••••• G••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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