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••••• C•••••• M••••••••• L••
Latest filing May 19, 2026
First filing on the tape Mar 31, 2022 · 12 filings
SEC status approved since May 2, 2022
RAUM
$158M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$158M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$78.9M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$158M as of May 19, 2026
Feb 21, 2023$106M then
HNW client RAUM$156M as of May 19, 2026
Feb 21, 2023$104M then
State-registered IARs (5.B.3)2 as of May 19, 2026
Feb 21, 20231 then
Employees (5.A)2 as of May 19, 2026
Feb 21, 20231 then
Private funds: no history
RAUM +21% over the last fiscal year+14% a year over threeIARs 2 to 2offices 0 to 2
Practice profile
derived from the filing of May 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $78.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $813,272derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%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
- 0.7derived3 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
- -13%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $158M, 40 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$156M99%
- Individuals$1.5M1.0%
- Individual clients
- 3reported
- HNW clients
- 37reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 194reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $158M for 40 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• M•••• L•••• | Northbrook, Il | Mar 23, 2011 | 19 y | 0 |
| S••• P•••••• C•••••••Chartered Financial Analyst | Libertyvile, Il | Jun 4, 2024 | 19 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 headcount1 left over 36 months
Left, latest
- G••• J••••• S•••••••• to C•• F•••••••• A•••••••• L••Jan 25, 2024 · Other
Joined, latest
- S••• P•••••• C••••••• from R••••• W• B•••• • C•• I•••••••••Jun 4, 2024 · Other
- G••• J••••• S•••••••• from P•••••••Mar 7, 2011 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• A•••• M•••• · Managing Membercontrolsince 03/2011 · owns 75% or more
- S••••••••• G•••• J••••• · Chief Compliance Officersince 01/2011 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Northbrook, Il · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 151 to 194Feb 25, 2025 to Mar 4, 2026
- HNW clients · 46 to 37Feb 25, 2025 to Mar 4, 2026
- Individual clients · 0 to 3Feb 25, 2025 to Mar 4, 2026
- Assets in custody · $131M to $158MFeb 25, 2025 to Mar 4, 2026
- Other offices · 0 to 2Feb 25, 2025 to Mar 4, 2026
- Discretionary RAUM · $131M to $151MFeb 25, 2025 to Mar 4, 2026
- HNW RAUM · $131M to $156MFeb 25, 2025 to Mar 4, 2026
- Individual RAUM · $0 to $1.5MFeb 25, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $0 to $7.1MFeb 25, 2025 to Mar 4, 2026
- RAUM · $131M to $158MFeb 25, 2025 to Mar 4, 2026
- Accounts · 159 to 151Oct 11, 2024 to Feb 25, 2025
- Advisory employees · 1 to 2Oct 11, 2024 to Feb 25, 2025
- HNW clients · 45 to 46Oct 11, 2024 to Feb 25, 2025
- Individual clients · unset to 0.0Oct 11, 2024 to Feb 25, 2025
- Assets in custody · $63.8M to $131MOct 11, 2024 to Feb 25, 2025
- Employees · 1 to 2Oct 11, 2024 to Feb 25, 2025
- Financial planning clients · 26-50 to 26-50Oct 11, 2024 to Feb 25, 2025
- State-registered IARs · 1 to 2Oct 11, 2024 to Feb 25, 2025
- Discretionary RAUM · $112M to $131MOct 11, 2024 to Feb 25, 2025
- HNW RAUM · $116M to $131MOct 11, 2024 to Feb 25, 2025
- Individual RAUM · unset to 0.0Oct 11, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $3.9M to $0Oct 11, 2024 to Feb 25, 2025
- RAUM · $116M to $131MOct 11, 2024 to Feb 25, 2025
- Accounts · 178 to 159Nov 2, 2023 to Feb 28, 2024
- Advisory activities · 3 to 4Nov 2, 2023 to Feb 28, 2024
- Discretionary RAUM · $103M to $112MNov 2, 2023 to Feb 28, 2024
- HNW RAUM · $104M to $116MNov 2, 2023 to Feb 28, 2024
- Individual RAUM · 1926493.0 to unsetNov 2, 2023 to Feb 28, 2024
- Non-discretionary RAUM · $3.1M to $3.9MNov 2, 2023 to Feb 28, 2024
- RAUM · $106M to $116MNov 2, 2023 to Feb 28, 2024
- HQ city · DEERFIELD to NORTHBROOKMar 17, 2023 to May 22, 2023
- Accounts · 157 to 178Jan 26, 2023 to Feb 21, 2023
- Charity clients · unset to 0.0Jan 26, 2023 to Feb 21, 2023
- Assets in custody · $49.4M to $63.8MJan 26, 2023 to Feb 21, 2023
- Discretionary RAUM · $116M to $103MJan 26, 2023 to Feb 21, 2023
- HNW RAUM · $119M to $104MJan 26, 2023 to Feb 21, 2023
- Individual RAUM · $1.4M to $1.9MJan 26, 2023 to Feb 21, 2023
- Non-discretionary RAUM · $5.1M to $3.1MJan 26, 2023 to Feb 21, 2023
- RAUM · $121M to $106MJan 26, 2023 to Feb 21, 2023
Signals
2 dated events
- G••• J••••• S•••••••• left A••••• C•••••• M••••••••• L•• for C•• F•••••••• A•••••••• L•• (registered 2011-03-08)Jan 25, 2024 · Advisor changed firm · fact
- A••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 31, 2022 · 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
- Business email
- info@avocetcapital.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- service@avocetcapital.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 312-925-0152reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-925-0152reportedpublic record, Form ADV, May 19, 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
- $78.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026