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
R•••• S••••• A•••••••• L••
Latest filing Jun 9, 2026
First filing on the tape Mar 29, 2012 · 19 filings
SEC status approved since Nov 9, 2020
RAUM
$539M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
95%
$513M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$53.9M
derived; firm RAUM over IAPD count
Employees
12
9 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$539M as of Jun 9, 2026
Mar 29, 2012$55.9M then
HNW client RAUM$373M as of Jun 9, 2026
Mar 5, 2021$69.7M then
State-registered IARs (5.B.3)10 as of Jun 9, 2026
Mar 29, 20120 then
Employees (5.A)12 as of Jun 9, 2026
Mar 5, 202112 then
Private funds: no history
RAUM +30% over the last fiscal year+38% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Jun 9, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $53.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $498,824derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 2.0derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$373M69%
- Individuals$140M26%
- Corporations and businesses$25.9M4.8%
- Charitable organizations$455,4080.1%
- Individual clients
- 338reported
- HNW clients
- 139reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 1,081reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• J••••• J••••••Certified Financial Planner, Chartered Financial Analyst | Aurora, Il | Oct 6, 2010 | 16 y | 0 |
| R•••••• A• G•••••••••Certified Financial Planner | Aurora, Il | Dec 12, 2011 | 29 y | 6 |
| J••••••••• A•• R•••••••Certified Financial Planner | Aurora, Il | Aug 18, 2015 | 35 y | 3 |
| S••••• C• M••••Chartered Financial Analyst | Aurora, Il | Oct 5, 2016 | 22 y | 1 |
| A•• L•••• | Aurora, Il | Jun 27, 2017 | 10 y | 0 |
| D•••• B•••••• B••• | Aurora, Il | Jun 25, 2018 | 10 y | 0 |
| M•••••• T••••• C•••Certified Financial Planner, Chartered Financial Analyst | Oakbrook Terrace, Il | Aug 31, 2018 | 35 y | 0 |
| Y•••••• S••••• | Aurora, Il | Mar 26, 2019 | 13 y | 2 |
| T••••• J•••• B••• | Oakbrook Terrace, Il | Aug 15, 2022 | 13 y | 0 |
| C••••••••• J••••• L•••••• | Aurora, Il | Jan 29, 2024 | 18 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
- L••• E•••••• T•••• R••••• to B•• D••••• I••••• I•••Nov 9, 2021 · RIA to a newly registered adviser
- S••••• N••• to G••••••• W••••• P•••••••• L••Jun 9, 2021 · RIA to a newly registered adviser
- M•••••• V•••••• D••••• to F••••••• A•••• M••••••••• L••Apr 1, 2021 · RIA to RIA
- T••••• K• W•••• to E••••• J••••Apr 5, 2016 · Other
- Y•••••• S••••• to L•• F•••••••• L••Feb 11, 2016 · Other
- G••• J••••• S•••••••• to C••• A•••••• M••••••••• I•••Jul 1, 2013 · Other
- D•••• J•••• M••••• to C•••• P••••••••• A•••••••• L••Jun 6, 2013 · Other
- S•••••• A•••• B•••• to C•••• P••••••••• A•••••••• L••Jul 18, 2011 · Other
- M•••••• J•••• M••••• to C•••• P••••••••• A•••••••• L••Jul 18, 2011 · Other
Joined, latest
- C••••••••• J••••• L•••••• from M•••••• W••••• M•••••••••Jan 29, 2024 · Other
- Y•••••• S••••• from L•• F•••••••• L••Mar 26, 2019 · Other
- S••••• C• M•••• from M•• I••••••••• M••••••••• C••••Oct 5, 2016 · Other
- J••••••••• A•• R••••••• from B•• H••••• F•••••••• A•••••••• I••Aug 18, 2015 · Other
- T••••• K• W•••• from C•••••• W••••• M••••••••• L••May 28, 2014 · Other
- R•••••• A• G••••••••• from L•• F•••••••• L••Dec 12, 2011 · Other
- G••• J••••• S•••••••• from F•••••••• F•••• A•••••••• L••Jun 9, 2010 · Other
- S•••••• A•••• B•••• from L•• F•••••••• L••Jun 8, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• D••••• B•••••• · Chief Compliance Officercontrolsince 07/2018 · owns less than 5%
- C•••• M••••••• T••••• · Managing D•••••Or/Senior Portfolio Managercontrolsince 08/2018 · owns less than 5%
- G••••••••• R••••••• A• · Chief Executive Officercontrolsince 12/2011 · owns less than 5%
- J••••••• B••••••• J••••• · Managing D•••••Or/Senior Portfolio Managercontrolsince 06/2018 · owns less than 5%
- M••••• S•••••• C• · Managing D•••••Or/Chief I•••••Ment Officercontrolsince 06/2018 · owns less than 5%
- R•••••••• J••••••••• A•• · Managing D•••••Or/Wealth Advisorcontrolsince 06/2018 · owns less than 5%
Entity owners
- O•• S••••• B••• · Sole Memberdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- O•• S••••• B••••••• I••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Aurora, Il · principal | 10 | 0 | 0 | ||
| Oakbrook Terrace, Il | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Oakbrook Terrace, IL4 employees
- Frankfort, IL2 employees
- Bensenville, IL1 employees
- North Aurora, IL1 employees
What changed
consecutive filings, newest first
- Accounts · 937 to 1,081Mar 11, 2025 to Mar 4, 2026
- Corporate clients · 10 to 12Mar 11, 2025 to Mar 4, 2026
- HNW clients · 129 to 139Mar 11, 2025 to Mar 4, 2026
- Individual clients · 293 to 338Mar 11, 2025 to Mar 4, 2026
- Discretionary RAUM · $408M to $521MMar 11, 2025 to Mar 4, 2026
- HNW RAUM · $305M to $373MMar 11, 2025 to Mar 4, 2026
- Individual RAUM · $100M to $140MMar 11, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $7.2M to $18.4MMar 11, 2025 to Mar 4, 2026
- RAUM · $415M to $539MMar 11, 2025 to Mar 4, 2026
- Accounts · 754 to 937Feb 27, 2024 to Mar 11, 2025
- Charity clients · 2 to 3Feb 27, 2024 to Mar 11, 2025
- Corporate clients · 8 to 10Feb 27, 2024 to Mar 11, 2025
- HNW clients · 90 to 129Feb 27, 2024 to Mar 11, 2025
- Individual clients · 275 to 293Feb 27, 2024 to Mar 11, 2025
- Financial planning clients · 0 to 11-25Feb 27, 2024 to Mar 11, 2025
- Discretionary RAUM · $310M to $408MFeb 27, 2024 to Mar 11, 2025
- HNW RAUM · $198M to $305MFeb 27, 2024 to Mar 11, 2025
- Individual RAUM · $103M to $100MFeb 27, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $5.9M to $7.2MFeb 27, 2024 to Mar 11, 2025
- RAUM · $316M to $415MFeb 27, 2024 to Mar 11, 2025
- Accounts · 652 to 754Oct 30, 2023 to Feb 26, 2024
- Advisory employees · 8 to 9Oct 30, 2023 to Feb 26, 2024
- Corporate clients · 3 to 8Oct 30, 2023 to Feb 26, 2024
- HNW clients · 63 to 90Oct 30, 2023 to Feb 26, 2024
- Individual clients · 257 to 275Oct 30, 2023 to Feb 26, 2024
- Financial planning clients · 1-10 to 0Oct 30, 2023 to Feb 26, 2024
- State-registered IARs · 9 to 10Oct 30, 2023 to Feb 26, 2024
- Discretionary RAUM · $204M to $310MOct 30, 2023 to Feb 26, 2024
- HNW RAUM · $124M to $198MOct 30, 2023 to Feb 26, 2024
- Individual RAUM · $78.7M to $103MOct 30, 2023 to Feb 26, 2024
- Non-discretionary RAUM · $1.1M to $5.9MOct 30, 2023 to Feb 26, 2024
- RAUM · $205M to $316MOct 30, 2023 to Feb 26, 2024
- Accounts · 516 to 652Dec 20, 2022 to Mar 2, 2023
- Advisory employees · 7 to 8Dec 20, 2022 to Mar 2, 2023
- Corporate clients · 5 to 3Dec 20, 2022 to Mar 2, 2023
- HNW clients · 49 to 63Dec 20, 2022 to Mar 2, 2023
- Individual clients · 249 to 257Dec 20, 2022 to Mar 2, 2023
- Employees · 11 to 12Dec 20, 2022 to Mar 2, 2023
- State-registered IARs · 8 to 9Dec 20, 2022 to Mar 2, 2023
- Other offices · 2 to 4Dec 20, 2022 to Mar 2, 2023
Signals
11 dated events
- R•••• S••••• A•••••••• L•• reported RAUM $539.2M, up 30% from $414.9M (2025-03-11 to 2026-03-04)Mar 4, 2026 · RAUM change · derived
- R•••• S••••• A•••••••• L•• reported RAUM $316.2M, up 55% from $204.6M (2023-10-30 to 2024-02-26)Feb 26, 2024 · RAUM change · derived
- R•••• S••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Oct 7, 2020 · ria f•••• adv filing · fact
- R•••• S••••• A•••••••• L•• reported 11 state-registered advisory representatives, up from 0 (2012-05-29 to 2020-10-07)Oct 7, 2020 · Advisor headcount change · derived
- Allen Joel Binder (Ceo) no longer on Schedule A of R•••• S••••• A•••••••• L•• (listed 2012-05-29, absent 2020-10-07)Oct 7, 2020 · Control person left · inference
- A. Richard Gartelmann (Chief Executive Officer) appeared on Schedule A of R•••• S••••• A•••••••• L••Oct 7, 2020 · Control person joined · fact
- C Steven Meves (Managing Director/Chief Investment Officer) appeared on Schedule A of R•••• S••••• A•••••••• L••Oct 7, 2020 · Control person joined · fact
- Brennan David Bach (Chief Compliance Officer) appeared on Schedule A of R•••• S••••• A•••••••• L••Oct 7, 2020 · Control person joined · fact
- Ann Jacqueline Runnberg (Managing Director/Wealth Advisor) appeared on Schedule A of R•••• S••••• A•••••••• L••Oct 7, 2020 · Control person joined · fact
- Joseph Bradley Johnson (Managing Director/Senior Portfolio Manager) appeared on Schedule A of R•••• S••••• A•••••••• L••Oct 7, 2020 · Control person joined · fact
- Thomas Michael Cava (Managing Director/Senior Portfolio Manager) appeared on Schedule A of R•••• S••••• A•••••••• L••Oct 7, 2020 · Control person joined · 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
- oldsecond.com/wealth-management/wealth-management/river-strereportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 630-906-5501reportedpublic record, Form ADV, Jun 9, 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
- $53.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026