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
A• J• F•••••• F••••••••• L••
Latest filing Feb 17, 2026
First filing on the tape Nov 26, 2024 · 3 filings
SEC status approved since Jan 2, 2025
RAUM
$136M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$135M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$136M
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
3 filings and snapshots on the tape
RAUM$136M as of Feb 17, 2026
Mar 3, 2025$113M then
HNW client RAUM$73.1M as of Feb 17, 2026
Mar 3, 2025$71.2M then
State-registered IARs (5.B.3)1 as of Feb 17, 2026
Mar 3, 20251 then
Employees (5.A)1 as of Feb 17, 2026
Mar 3, 20251 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 17, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $136MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 140derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $215,408derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%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
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $22.6M, 9 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$73.1M54%
- Individuals$62.2M46%
- Charitable organizations$650,0000.5%
- Individual clients
- 109reported
- HNW clients
- 31reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 631reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $22.6M for 9 clientsreported
- 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 |
|---|---|---|---|---|
| A••••• J••••• F••••••Certified Financial Planner | Deerfield, Il | Sep 13, 2010 | 20 y | 3 |
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
- A••••• J••••• F•••••• from M•••••• F•••••••• I••••••••• M••••••••• I•••Sep 13, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• A•••••• J••••• · Managing Member / Chief Compliance Officercontrolsince 08/2010 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Feb 17, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-03, yes on the filing of 2026-02-17peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 612 to 631Mar 3, 2025 to Feb 17, 2026
- HNW clients · 33 to 31Mar 3, 2025 to Feb 17, 2026
- Individual clients · 111 to 109Mar 3, 2025 to Feb 17, 2026
- Assets in custody · unset to 22610753.0Mar 3, 2025 to Feb 17, 2026
- Custody of client assets · false to trueMar 3, 2025 to Feb 17, 2026
- Discretionary RAUM · $113M to $136MMar 3, 2025 to Feb 17, 2026
- HNW RAUM · $71.2M to $73.1MMar 3, 2025 to Feb 17, 2026
- Individual RAUM · $41.0M to $62.2MMar 3, 2025 to Feb 17, 2026
- RAUM · $113M to $136MMar 3, 2025 to Feb 17, 2026
- Accounts · 144 to 612Nov 26, 2024 to Mar 3, 2025
- Charity clients · 3.0 to unsetNov 26, 2024 to Mar 3, 2025
- Financial planning clients · 101-250 to 101-250Nov 26, 2024 to Mar 3, 2025
- HQ city · unset to Nov 26, 2024 to Mar 3, 2025
- HQ state · unset to Nov 26, 2024 to Mar 3, 2025
- Discretionary RAUM · $111M to $113MNov 26, 2024 to Mar 3, 2025
- HNW RAUM · $71.0M to $71.2MNov 26, 2024 to Mar 3, 2025
- Individual RAUM · $40.0M to $41.0MNov 26, 2024 to Mar 3, 2025
- RAUM · $111M to $113MNov 26, 2024 to Mar 3, 2025
Signals
1 dated events
- A• J• F•••••• F••••••••• L•• filed its initial SEC registration (Form ADV)Nov 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
- Firm profile
- linkedin.com/company/aj-feldman-financialreportedpublic record, Form ADV, Sep 18, 2026
- Website
- AJF••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 847-607-8249reportedpublic record, Form ADV, Feb 17, 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
- $136Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026