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

S•••••••• P•••••••• M•••••••

Independent wealth managerNorthfield, IllinoisCRD 155286SEC 801-127818websiteIAPD
Legal name R••••• F••••••••• L••
Latest filing Jun 8, 2023
First filing on the tape Mar 30, 2023 · 3 filings
SEC status approved since Apr 28, 2023
RAUM
$127M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
94%
$119M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$127M as of Jun 8, 2023
Mar 30, 2023$127M then
HNW client RAUM$110M as of Jun 8, 2023
Mar 30, 2023$110M then
State-registered IARs (5.B.3)1 as of Jun 8, 2023
Mar 30, 20232 then
Employees (5.A)1 as of Jun 8, 2023
Mar 30, 20232 then
Private funds: no history
Practice profile
derived from the filing of Jun 8, 2023; 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
$127MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
83derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$508,206derivedRAUM over accounts (5.F.2.f)
Discretionary
90%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
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$110M87%
  • Individuals$8.7M6.9%
  • Corporations and businesses$8.1M6.4%
Individual clients
40reported
HNW clients
43reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
250reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.94 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
  • J•••••••• J•••• · Managing Membercontrol
    since 08/2021 · owns less than 5%
  • H••••••• P•••• · Direct Ownercontrol
    since 08/2021 · owns 25% to 50% of A•••• C•••••• P•••••••• L••
  • J•••••••• J•••• · Direct Ownercontrol
    since 08/2021 · owns 25% to 50% of A•••• C•••••• P•••••••• L••
  • K••••• A•••••• P•••• · Indirect Shareholder
    since 08/2021 · owns 25% to 50% of A•••• C•••••• P•••••••• L••
Entity owners
  • A•••• C•••••• P•••••••• L•• · Holding Company
    direct · 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
OfficeAdvisorsJoinedLeftTeams outForming
N••••Field, Il · principal000
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Advisory employees · 2 to 1
    Mar 30, 2023 to Jun 8, 2023
  • Employees · 2 to 1
    Mar 30, 2023 to Jun 8, 2023
  • State-registered IARs · 2 to 1
    Mar 30, 2023 to Jun 8, 2023
Signals
3 dated events
  • J•••• D•••• J••••••• left S•••••••• P•••••••• M••••••• for C•••••• I•••• (registered 2023-11-09)
    Dec 31, 2023 · Advisor changed firm · fact
  • P•••• H•••••• left S•••••••• P•••••••• M••••••• for N•••• S••• W••••• M••••••••• (registered 2023-06-20)
    Jul 31, 2023 · Advisor changed firm · fact
  • S•••••••• P•••••••• M••••••• filed its initial SEC registration (Form ADV)
    Mar 30, 2023 · 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
H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
(847) 441-2600reportedpublic record, Form ADV, Jun 8, 2023
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
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026