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

W••••••••• C••••••• L•••

Former SEC-registered adviserRosemont, IllinoisCRD 155980SEC 801-73717IAPD
Latest filing May 4, 2015
First filing on the tape Feb 14, 2012 · 7 filings
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
23
20 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$704M gross assets
History
7 filings and snapshots on the tape
RAUM$1.0B as of May 4, 2015
Mar 28, 2013$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 4, 2015
Mar 28, 20130 then
Employees (5.A)23 as of May 4, 2015
Mar 28, 201328 then
Private funds3 as of May 4, 2015
Mar 28, 20135 then
RAUM -6.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 4, 2015; 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
unknownderivedHNW RAUM over HNW clients
Average account
$343MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-6.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      W••••••••• C•••••• P••••••• C•••••• L•••Private Equity Fund$27.2M65Feb 14, 2012
      W••••••••• C•••••• P•••••••• L•••Private Equity Fund$26.3M25Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••••• J•••• A•••••• · Shareholder And Presidentcontrol
        since 03/1999 · owns 50% to 75%
      • H••••• F••••••• G• · Executive Vice President
        since 01/2010 · owns less than 5%
      • S••••• R••• E• · Chief Financial Officer, Chief Compliance Officer And Secretary
        since 04/2006 · owns less than 5%
      • T•••••••• T••••• M• · Executive Vice President
        since 01/2010 · owns less than 5%
      Related persons
      Schedule D 7.A
      • W••••• Q••••• C•••••••• P•••••••• L•••
        pooled vehicle sponsory
      • W••••••••• P••••••• I•• L•••
        pooled vehicle sponsory
      • W••••••••• P••••••• I••• L•••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • Bloomfield Hills, MI
      • Toronto, Canada
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 3
        Mar 31, 2014 to Mar 10, 2015
      • Private funds · 5 to 3
        Mar 31, 2014 to Mar 10, 2015
      • Discretionary RAUM · $1.1B to $1.0B
        Mar 31, 2014 to Mar 10, 2015
      • RAUM · $1.1B to $1.0B
        Mar 31, 2014 to Mar 10, 2015
      • Advisory employees · 24 to 20
        Mar 28, 2013 to Mar 31, 2014
      • Employees · 28 to 23
        Mar 28, 2013 to Mar 31, 2014
      • Discretionary RAUM · $1.1B to $1.1B
        Mar 28, 2013 to Mar 31, 2014
      • RAUM · $1.1B to $1.1B
        Mar 28, 2013 to Mar 31, 2014
      • Advisory employees · unset to 24.0
        Apr 17, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Apr 17, 2012 to Mar 28, 2013
      • Employees · unset to 28.0
        Apr 17, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Apr 17, 2012 to Mar 28, 2013
      • Discretionary RAUM · $1.0B to $1.1B
        Apr 17, 2012 to Mar 28, 2013
      • RAUM · $1.0B to $1.1B
        Apr 17, 2012 to Mar 28, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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