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

I••••••••• C•••••• • T•• L••

Former SEC-registered adviserChicago, IllinoisCRD 151867SEC 801-70710IAPD
Latest filing Jun 30, 2020
First filing on the tape Apr 2, 2012 · 16 filings
RAUM
$116M
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
56%
$65.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$116M as of Mar 30, 2020
Apr 2, 2012$108M then
HNW client RAUM$65.4M as of Mar 30, 2020
Mar 29, 2018$67.4M then
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 28, 20132 then
Employees (5.A)0 as of Mar 30, 2020
Mar 28, 20132 then
Private funds: no history
RAUM +12% over the last fiscal year+1.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 2020; 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
$2.8MderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
84%derivedof RAUM
Institutional
43%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
+12%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$65.4M56%
  • Charitable organizations$50.5M43%
  • Corporations and businesses$300,0040.3%
Individual clients
0reported
HNW clients
23reported
Pension plan clients
0reported
Charitable clients
5reported
Accounts
81reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
  • C•••• J••••••• S•••• · Chief Financial Officercontrol
    since 10/2009 · owns less than 5%
  • E••••••• R•••• S•••• · Chief Investment Officercontrol
    since 10/2009 · owns less than 5%
  • S•••••• F••••••• P•••••• · Chief Compliance Officercontrol
    since 12/2015 · owns less than 5%
  • E••••••• R•••• S•••• · Chief Executive Officer, Membercontrol
    since 11/2005 · owns 25% to 50% of I••••••••• C••••••• L••
Entity owners
  • I••••••••• C••••••• L•• · Voting Member, Manager
    direct · owns 25% to 50%
Related persons
Schedule D 7.A
Advisers that list I••••••••• C•••••• • T•• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 77 to 81
    Mar 30, 2019 to Mar 30, 2020
  • Charity clients · 7 to 5
    Mar 30, 2019 to Mar 30, 2020
  • Financial planning clients · 26-50 to 11-25
    Mar 30, 2019 to Mar 30, 2020
  • Discretionary RAUM · $81.4M to $97.6M
    Mar 30, 2019 to Mar 30, 2020
  • HNW RAUM · $53.6M to $65.4M
    Mar 30, 2019 to Mar 30, 2020
  • Non-discretionary RAUM · $22.6M to $18.6M
    Mar 30, 2019 to Mar 30, 2020
  • RAUM · $104M to $116M
    Mar 30, 2019 to Mar 30, 2020
  • Accounts · 95 to 77
    Mar 29, 2018 to Mar 30, 2019
  • HNW clients · 28 to 23
    Mar 29, 2018 to Mar 30, 2019
  • Assets in custody · unset to 1.0
    Mar 29, 2018 to Mar 30, 2019
  • Discretionary RAUM · $85.5M to $81.4M
    Mar 29, 2018 to Mar 30, 2019
  • HNW RAUM · $67.4M to $53.6M
    Mar 29, 2018 to Mar 30, 2019
  • Non-discretionary RAUM · $33.8M to $22.6M
    Mar 29, 2018 to Mar 30, 2019
  • RAUM · $119M to $104M
    Mar 29, 2018 to Mar 30, 2019
  • Accounts · 93 to 95
    Jun 21, 2017 to Mar 29, 2018
  • Charity clients · unset to 7.0
    Jun 21, 2017 to Mar 29, 2018
  • HNW clients · unset to 28.0
    Jun 21, 2017 to Mar 29, 2018
  • Individual clients · unset to 0.0
    Jun 21, 2017 to Mar 29, 2018
  • Pension plan clients · unset to 0.0
    Jun 21, 2017 to Mar 29, 2018
  • Pooled vehicle clients · unset to 0.0
    Jun 21, 2017 to Mar 29, 2018
  • Financial planning clients · 11-25 to 26-50
    Jun 21, 2017 to Mar 29, 2018
  • Other offices · unset to 0.0
    Jun 21, 2017 to Mar 29, 2018
  • Discretionary RAUM · $72.4M to $85.5M
    Jun 21, 2017 to Mar 29, 2018
  • HNW RAUM · unset to 67374395.0
    Jun 21, 2017 to Mar 29, 2018
  • Individual RAUM · unset to 0.0
    Jun 21, 2017 to Mar 29, 2018
  • Non-discretionary RAUM · $37.5M to $33.8M
    Jun 21, 2017 to Mar 29, 2018
  • Pension RAUM · unset to 0.0
    Jun 21, 2017 to Mar 29, 2018
  • Pooled vehicle RAUM · unset to 0.0
    Jun 21, 2017 to Mar 29, 2018
  • RAUM · $110M to $119M
    Jun 21, 2017 to Mar 29, 2018
  • Business name · A•••• C••••••• L•• to I••••••••• C•••••• • T•• L••
    Jun 21, 2017 to Jun 21, 2017
  • Legal name · A•••• C••••••• L•• to I••••••••• C•••••• • T•• L••
    Jun 21, 2017 to Jun 21, 2017
  • Accounts · 212 to 93
    Mar 30, 2016 to Mar 31, 2017
  • Advisory employees · 1 to 0
    Mar 30, 2016 to Mar 31, 2017
  • Employees · 1 to 0
    Mar 30, 2016 to Mar 31, 2017
  • Financial planning clients · 26-50 to 11-25
    Mar 30, 2016 to Mar 31, 2017
  • State-registered IARs · 1 to 0
    Mar 30, 2016 to Mar 31, 2017
  • Discretionary RAUM · $100M to $72.4M
    Mar 30, 2016 to Mar 31, 2017
  • Non-discretionary RAUM · $71.0M to $37.5M
    Mar 30, 2016 to Mar 31, 2017
  • RAUM · $171M to $110M
    Mar 30, 2016 to Mar 31, 2017
  • Accounts · 209 to 212
    Jan 25, 2016 to Mar 30, 2016
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