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
Latitude Advisors, LLC
Latest filing Apr 22, 2026
First filing on the tape Mar 7, 2012 · 41 filings
SEC status approved since Jul 16, 2009
RAUM
$567M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
87%
$495M individuals and HNW
Advisors
67
registered through the firm on IAPD
RAUM per advisor
$8.5M
derived; firm RAUM over IAPD count
Employees
66
65 advisory (5.B.1)
Offices
25
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$567M as of Apr 22, 2026
Mar 7, 2012$162M then
HNW client RAUM$281M as of Apr 22, 2026
Mar 20, 2018$16.0M then
State-registered IARs (5.B.3)66 as of Apr 22, 2026
Mar 7, 20120 then
Employees (5.A)66 as of Apr 22, 2026
Mar 5, 201383 then
Private funds: no history
RAUM +49% over the last fiscal year+18% a year over threeIARs 70 to 66
Practice profile
derived from the filing of Apr 22, 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
- Multi-office growth platform · an independent wealth manager (not a wirehouse, national broker-dealer RIA or broker-dealer affiliated firm) with at least five offices, at least 50 advisors, and RAUM up at least 20 percent over the last annual amendment
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $8.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $220,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.6derived26 offices incl. principal (1.F.5)
- RAUM growth, one year
- +49%derivedbetween the last two annual amendments
- Advisor growth, one year
- -5.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.8%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $54.0M, 60 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$281M50%
- Individuals$214M38%
- Corporations and businesses$54.3M9.6%
- Pension and profit-sharing plans$17.5M3.1%
- Individual clients
- 1,410reported
- HNW clients
- 115reported
- Pension plan clients
- 50reported
- Charitable clients
- n/areported
- Accounts
- 2,575reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $54.0M for 60 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=57.0derived
Advisors registered through the firm
67 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Ernest Chisena | Yorkville, Il | Nov 2, 2009 | 42 y | 1 |
| Todd A. Lestina | Yorkville, Il | Nov 2, 2009 | 20 y | 1 |
| Jeffrey Steven Lasky | Northbrook, Il | Nov 2, 2009 | 41 y | 4 |
| Martin Lang | Yorkville, Il | Nov 2, 2009 | 25 y | 1 |
| James Leslie Faylor | Allentown, Pa | Nov 2, 2009 | 25 y | 1 |
| Louis Edward ChomoCertified Financial Planner | Yorkville, Il | Nov 2, 2009 | 25 y | 1 |
| William Carl Conte | Yorkville, Il | Nov 19, 2009 | 40 y | 1 |
| David Skeens Mcguire | Fort Pierce, Fl | Nov 19, 2009 | 26 y | 1 |
| George Warren Leach | Tampa, Fl | Nov 19, 2009 | 42 y | 1 |
| Jess William Gaines | Fort Pierce, Fl | Nov 19, 2009 | 26 y | 1 |
| Jack Edward Radosevich | Largo, Fl | Nov 20, 2009 | 41 y | 2 |
| Sandra Jean Rolon | Miramar, Fl | Nov 20, 2009 | 22 y | 1 |
| David Glenn SettelmyerCertified Financial Planner | Schaumburg, Il | Nov 23, 2009 | 32 y | 3 |
| Dean Robert MoellerPersonal Financial Specialist | St Marys, Oh | Dec 21, 2009 | 28 y | 2 |
| Tracey Collins Higginbotham | Cocoa, Fl | Jan 4, 2010 | 29 y | 3 |
| Freddie David Blumenfeld | Skokie, Il | Jan 4, 2010 | 33 y | 3 |
| Roland Stadelmann | Yorkville, Il | Jan 5, 2010 | 30 y | 3 |
| Francis Gerard Milo | Yorkville, Il | Jan 5, 2010 | 33 y | 2 |
| James Emanuel Ward | Washington, Dc | Jan 5, 2010 | 43 y | 1 |
| Thomas Roger Hopkins | Beaver Cove, Me | Jan 6, 2010 | 27 y | 2 |
| Lisa Marie Guthrie | Yorkville, Il | Jan 6, 2010 | 31 y | 1 |
| John Stephen Bivens | Yorkville, Il | Jan 8, 2010 | 31 y | 1 |
| Donald Paul Corl | Yorkville, Il | Jan 11, 2010 | 44 y | 0 |
| Kathryn F. Barton | Vero Beach, Fl | Jan 14, 2010 | 26 y | 1 |
| Sean Michael DavisCertified Financial Planner | Palm Harbor, Fl | Jan 19, 2010 | 21 y | 1 |
| Richard MagdalenoCertified Financial Planner, Chartered Financial Consultant | Cerritos, Ca | Jan 26, 2010 | 23 y | 2 |
| John Joseph Heaney | Laconia, Nh | Feb 5, 2010 | 26 y | 2 |
| Greg A Dangar | Woodstock, Ga | Aug 12, 2010 | 33 y | 3 |
| Craig Roger Perkins | Yorkville, Il | Jan 9, 2012 | 35 y | 7 |
| Stuart Ross LaskyChartered Financial Consultant | Northbrook, Il | Mar 6, 2015 | 13 y | 0 |
| Craig Thomas PreisendeferCertified Financial Planner | Pittsburgh, Pa | May 29, 2015 | 34 y | 1 |
| Nancy Elizabeth Brunn | Mundelein, Il | May 12, 2016 | 25 y | 0 |
| Matthew Pope | Elmhurst, Il | Jul 7, 2017 | 20 y | 0 |
| Kenny Avenil | Yorkville, Il | Sep 26, 2017 | 29 y | 0 |
| Robert Ray Fitzjarrald | Canton, Il | Jan 8, 2018 | 42 y | 0 |
| Gilberto Matthew Carmona | Yorkville, Il | Jul 9, 2018 | 21 y | 1 |
| John W Shaffer | East Freedom, Pa | Jan 3, 2019 | 48 y | 3 |
| Richard Gerald ColemanCertified Financial Planner | Erie, Pa | Sep 30, 2019 | 40 y | 2 |
| James Paul Pankey | Yorkville, Il | Jan 10, 2020 | 27 y | 0 |
| Michele Paige Hansen | Northbrook, Il | Jan 20, 2021 | 10 y | 0 |
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 3.0% of current headcount4 left over 36 months
Left, latest
- Sharon Ann Merkle to Pinnacle Wealth Strategies, LLCAug 31, 2026 · RIA to a state-registered adviser
- Timothy J Davis to Kleinfelder Capital, Inc.Dec 1, 2025 · RIA to RIA
- Patrick Volpe to Brooke Forest Capital LLCApr 1, 2024 · RIA to a state-registered adviser
- Stephen Paul Shaffer to OnesevenMar 1, 2024 · RIA to RIA
- Taylor Boone Hodges to Cornerstone Planning GroupApr 29, 2022 · RIA to RIA
- Joseph Scott Komarnicki to Cambridge Investment Research Advisors, Inc.Nov 5, 2018 · RIA to affiliated broker-dealer or bank
- Dexter A Burlew to Voya Financial Advisors, Inc.Nov 5, 2018 · RIA to affiliated broker-dealer or bank
- Brian Matthew Bean to Wfg Advisors, LPApr 25, 2016 · Other
- Mark Louis Camp to Lifecare Funding Solutions, LLCJun 2, 2015 · Other
- Donald W Talbert to MML Investors Services, LLCMay 20, 2015 · Other
- Richard Carl Jarchow to Cambridge Investment Research Advisors, Inc.May 8, 2014 · Other
- Donald Bradley Biddle to Cambridge Investment Research Advisors, Inc.May 8, 2014 · Other
- Christine Eve Sjoblom to Cambridge Investment Research Advisors, Inc.May 8, 2014 · Other
- Mark Kevin King to Wfg Advisors, LPFeb 6, 2014 · Other
- Larry Donell Ailes to SpcMay 6, 2013 · Other
Joined, latest
- Ryan Engle from LPL Financial LLCApr 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- Mark Christopher Woods from Avantax Advisory ServicesDec 9, 2024 · Affiliated broker-dealer or bank to independent RIA
- Ernest Fred Schultz from MML Investors Services, LLCMar 14, 2024 · Affiliated broker-dealer or bank to independent RIA
- Donald W Talbert from Oneamerica Securities, Inc.Nov 3, 2023 · Affiliated broker-dealer or bank to independent RIA
- Jeffery Lynn Conner from Medallion Advisory Services, LLCJan 12, 2023 · Other
- Harold Ellsworth Fike from Medallion Advisory Services, LLCJan 11, 2023 · Other
- Patrick Volpe from MML Investors Services, LLCDec 9, 2021 · Affiliated broker-dealer or bank to independent RIA
- Eric W Goldstein from Medallion Advisory Services, LLCAug 9, 2021 · Other
- Stephen Jeffrey Levine from Medallion Advisory Services, LLCAug 9, 2021 · Other
- Frederick William Schmalkuche from Ssn Advisory, Inc.Aug 9, 2021 · Other
- William John Scanlon from Gwn Securities Inc.Aug 9, 2021 · Affiliated broker-dealer or bank to independent RIA
- Howard S Goldson from Ssn Advisory, Inc.Mar 16, 2021 · Other
- Timothy J Davis from J.P. Morgan Securities LLCJan 7, 2020 · Wirehouse to independent RIA
- Richard Gerald Coleman from H. Beck, Inc.Sep 30, 2019 · Affiliated broker-dealer or bank to independent RIA
- John W Shaffer from Osaic Wealth, Inc.Jan 3, 2019 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Stephen John Bivens · Vice President/Chief Compliance Officercontrolsince 01/2010 · owns less than 5%
- Steven Jeffrey Lasky · Vice Presidentcontrolsince 11/2009 · owns less than 5%
- Richard Kenneth Penrose · Presidentcontrolsince 11/2009 · owns less than 5%
- Steven Jeffrey Lasky · Vice Presidentcontrolsince 11/2009 · owns 25% to 50% of Latitude Financial, LLC
- Richard Kenneth Penrose · President/Chief Compliance Officercontrolsince 10/2009 · owns 25% to 50% of Latitude Financial, LLC
Entity owners
- Latitude Financial, 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 |
|---|---|---|---|---|---|
| Yorkville, Il | 67 | 3 | 0 | ||
| Allentown, Pa | 5 | 1 | 0 | ||
| Northbrook, Il | 4 | 0 | 0 | ||
| Skokie, Il | 3 | 0 | 0 | ||
| Fort Pierce, Fl | 2 | 0 | 0 | ||
| Lavale, Md | 2 | 0 | 0 | ||
| Astoria, Ny | 2 | 0 | 0 | ||
| Florence, Ky | 1 | 0 | 1 | ||
| Saratoga Springs, Ny | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Northbrook, IL3 employees
- Cocoa, FL3 employees
- Allentown, PA3 employees
- Florence, KY2 employees
- Skokie, IL2 employees
- Lavale, MD2 employees
- Mansfield, PA2 employees
- Canton, IL2 employees
- Albany, NY2 employees
- Bethlehem, PA2 employees
- Washington, DC1 employees
- , 1 employees
- , 1 employees
- Largo, FL1 employees
- , 1 employees
- St. Marys, OH1 employees
- Woodstock, GA1 employees
- Newport Beach, CA1 employees
- , 1 employees
- Miramar, FL1 employees
- Elmhurst, IL1 employees
- Tryon, NC1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Apr 22, 2026RAUM (Item 5.F) moved from $379,516,000 to $566,500,000 (+49.0%) between the annual amendments of 2025-03-04 and 2026-04-22; the peer median change was +16.0% (1386 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,386) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 2,305 to 2,575Nov 5, 2025 to Mar 16, 2026
- Advisory employees · 69 to 65Nov 5, 2025 to Mar 16, 2026
- BD registered reps · 60 to 57Nov 5, 2025 to Mar 16, 2026
- Corporate clients · 31 to 15Nov 5, 2025 to Mar 16, 2026
- HNW clients · 60 to 115Nov 5, 2025 to Mar 16, 2026
- Individual clients · 1,525 to 1,410Nov 5, 2025 to Mar 16, 2026
- Pension plan clients · 59 to 50Nov 5, 2025 to Mar 16, 2026
- Assets in custody · $52.7M to $54.0MNov 5, 2025 to Mar 16, 2026
- Employees · 70 to 66Nov 5, 2025 to Mar 16, 2026
- State-registered IARs · 70 to 66Nov 5, 2025 to Mar 16, 2026
- Discretionary RAUM · $369M to $557MNov 5, 2025 to Mar 16, 2026
- HNW RAUM · $141M to $281MNov 5, 2025 to Mar 16, 2026
- Individual RAUM · $169M to $214MNov 5, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $10.8M to $10.0MNov 5, 2025 to Mar 16, 2026
- Pension RAUM · $16.3M to $17.5MNov 5, 2025 to Mar 16, 2026
- RAUM · $380M to $567MNov 5, 2025 to Mar 16, 2026
- Accounts · 1,710 to 2,305Jul 23, 2024 to Mar 4, 2025
- Advisory employees · 73 to 69Jul 23, 2024 to Mar 4, 2025
- BD registered reps · 62 to 60Jul 23, 2024 to Mar 4, 2025
- Corporate clients · 9 to 31Jul 23, 2024 to Mar 4, 2025
- HNW clients · 48 to 60Jul 23, 2024 to Mar 4, 2025
- Individual clients · 1,402 to 1,525Jul 23, 2024 to Mar 4, 2025
- Pension plan clients · 43 to 59Jul 23, 2024 to Mar 4, 2025
- Assets in custody · $59.6M to $52.7MJul 23, 2024 to Mar 4, 2025
- Employees · 74 to 70Jul 23, 2024 to Mar 4, 2025
- Financial planning clients · 11-25 to 11-25Jul 23, 2024 to Mar 4, 2025
- HQ city · unset to Jul 23, 2024 to Mar 4, 2025
- HQ state · unset to Jul 23, 2024 to Mar 4, 2025
- State-registered IARs · 74 to 70Jul 23, 2024 to Mar 4, 2025
- Discretionary RAUM · $325M to $369MJul 23, 2024 to Mar 4, 2025
- HNW RAUM · $105M to $141MJul 23, 2024 to Mar 4, 2025
- Individual RAUM · $218M to $169MJul 23, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $15.8M to $10.8MJul 23, 2024 to Mar 4, 2025
- Pension RAUM · $14.4M to $16.3MJul 23, 2024 to Mar 4, 2025
- RAUM · $340M to $380MJul 23, 2024 to Mar 4, 2025
- Accounts · 1,320 to 1,710Mar 6, 2023 to Mar 25, 2024
- Advisory employees · 74 to 73Mar 6, 2023 to Mar 25, 2024
- BD registered reps · 66 to 62Mar 6, 2023 to Mar 25, 2024
- Corporate clients · 5 to 9Mar 6, 2023 to Mar 25, 2024
- HNW clients · 53 to 48Mar 6, 2023 to Mar 25, 2024
Signals
7 dated events
- Sharon Ann Merkle left Latitude Advisors, Llc for Pinnacle Wealth Strategies, Llc (registered 2021-08-16)Aug 31, 2026 · Advisor changed firm · fact
- Latitude Advisors, Llc reported RAUM $566.5M, up 49% from $379.5M (2025-11-05 to 2026-03-16)Mar 16, 2026 · RAUM change · derived
- Timothy J Davis left Latitude Advisors, Llc for Kleinfelder Capital, Inc. (registered 2025-12-03)Dec 1, 2025 · Advisor changed firm · fact
- Patrick Volpe left Latitude Advisors, Llc for Brooke Forest Capital Llc (registered 2024-02-07)Apr 1, 2024 · Advisor changed firm · fact
- Stephen Paul Shaffer left Latitude Advisors, Llc for Oneseven (registered 2024-04-09)Mar 1, 2024 · Advisor changed firm · fact
- Taylor Boone Hodges left Latitude Advisors, Llc for Cornerstone Planning Group (registered 2022-05-02)Apr 29, 2022 · Advisor changed firm · fact
- Latitude Advisors, Llc reported 25 offices beyond its principal office, up from 7 (2017-11-20 to 2018-03-20)Mar 20, 2018 · Office count change · derived
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@latitudefinancial.netreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 561-472-2700reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 630-553-3730reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 630-708-1952reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- LATITUDEFINANCIAL.NETreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 630-553-3730reportedpublic record, Form ADV, Apr 22, 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
- $8.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026