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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SEC-registered adviser
D••••••••• A•••• M••••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Sep 26, 2024 · 9 filings
SEC status approved since Oct 24, 2024
RAUM
$137M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
100%
$137M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$137M as of Mar 25, 2026
Mar 10, 2025$118M then
HNW client RAUM$135M as of Mar 25, 2026
Mar 10, 2025$107M then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Mar 10, 20251 then
Employees (5.A)1 as of Mar 25, 2026
Mar 10, 20251 then
Private funds: no history
RAUM +16% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.3%derived
- Compensation
- percentage of assets, hourly, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$135M99%
- Individuals$1.7M1.3%
- Corporations and businesses$50,0000.0%
- Individual clients
- 8reported
- HNW clients
- 36reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 95reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• S•••• S•••• | Arlington Heights, Il | Feb 9, 2010 | 29 y | 1 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- D••••• S•••• S•••• from C•••••• S••••• • C••• I•••Feb 9, 2010 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• D•••••• S•••• · Managing Member/Chief Compliance Officercontrolsince 01/2010 · 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
- Accounts · 86 to 95Jan 20, 2026 to Mar 25, 2026
- Corporate clients · 0 to 3Jan 20, 2026 to Mar 25, 2026
- HNW clients · 17 to 36Jan 20, 2026 to Mar 25, 2026
- Individual clients · 24 to 8Jan 20, 2026 to Mar 25, 2026
- Discretionary RAUM · $113M to $125MJan 20, 2026 to Mar 25, 2026
- HNW RAUM · $107M to $135MJan 20, 2026 to Mar 25, 2026
- Individual RAUM · $10.5M to $1.7MJan 20, 2026 to Mar 25, 2026
- Non-discretionary RAUM · $5.2M to $12.0MJan 20, 2026 to Mar 25, 2026
- RAUM · $118M to $137MJan 20, 2026 to Mar 25, 2026
- Assets in custody · 44200000.0 to unsetJun 24, 2025 to Jul 31, 2025
- Custody of client assets · true to falseJun 24, 2025 to Jul 31, 2025
- Financial planning clients · 1-10 to 1-10Jun 24, 2025 to Jul 31, 2025
- BD registered reps · 1 to 0Mar 10, 2025 to Jun 24, 2025
- Accounts · 87 to 86Nov 4, 2024 to Mar 10, 2025
- Assets in custody · $43.0M to $44.2MNov 4, 2024 to Mar 10, 2025
- Discretionary RAUM · $113M to $113MNov 4, 2024 to Mar 10, 2025
- HNW RAUM · $109M to $107MNov 4, 2024 to Mar 10, 2025
- Individual RAUM · $10.8M to $10.5MNov 4, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $7.3M to $5.2MNov 4, 2024 to Mar 10, 2025
- RAUM · $120M to $118MNov 4, 2024 to Mar 10, 2025
Signals
1 dated events
- D••••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 26, 2024 · 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
- Website
- SEEKINGALPHA.COM/USER/571743/COMMENTSreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 847-749-2312reportedpublic record, Form ADV, Mar 25, 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
- $137Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026