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
V•••• W••••• M••••••••• L••
Latest filing Jun 17, 2026
First filing on the tape Jan 17, 2014 · 42 filings
SEC status approved since Jan 31, 2014
RAUM
$301M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
85%
$256M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$150M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$301M as of Jun 17, 2026
Mar 22, 2014$105M then
HNW client RAUM$199M as of Jun 17, 2026
Mar 30, 2018$15.6M then
State-registered IARs (5.B.3)1 as of Jun 17, 2026
Mar 22, 20141 then
Employees (5.A)2 as of Jun 17, 2026
Mar 22, 20142 then
Private funds: no history
RAUM +13% over the last fiscal year+16% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $150MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 148derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $385,686derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.2%derived
- Compensation
- percentage of assets, commissions, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $184M, 289 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
- is an insurance broker or agent (6.A.6)
- 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$199M66%
- Individuals$57.6M19%
- State and municipal entities$25.8M8.6%
- Pension and profit-sharing plans$18.6M6.2%
- Individual clients
- 214reported
- HNW clients
- 82reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 780reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $184M for 289 clientsreported
- Compensation
- % of AUM, commissionsreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.15 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 |
|---|---|---|---|---|
| M•••••• R••••• M••••• | Rosemont, Il | Jan 11, 2026 | 15 y | 3 |
| A•••••• J•••• K•••••••Certified Financial Planner | Rosemont, Il | Jan 14, 2026 | 21 y | 4 |
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 W••••••••• A•••••••• L••Jan 25, 2024 · Other
Joined, latest
- M•••••• R••••• M••••• from C•••••• S••••• • C••• I•••Mar 10, 2025 · Affiliated broker-dealer or bank to independent RIA
- A•••••• J•••• K••••••• from C•••••• S••••• • C••• I•••Dec 14, 2018 · Affiliated broker-dealer or bank to independent RIA
- G••• J••••• S•••••••• from T••••• I••••••••• L••Jan 13, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••••• A••••••• J•••• · Managing Membercontrolsince 05/2021 · owns 75% or more
- S••••••••• G•••• J••••• · Ccosince 06/2013 · 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 |
|---|---|---|---|---|---|
| Rosemont, Il · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 745 to 780Jan 7, 2026 to Mar 12, 2026
- HNW clients · 74 to 82Jan 7, 2026 to Mar 12, 2026
- Individual clients · 202 to 214Jan 7, 2026 to Mar 12, 2026
- Assets in custody · $158M to $184MJan 7, 2026 to Mar 12, 2026
- Employees · 3 to 2Jan 7, 2026 to Mar 12, 2026
- Discretionary RAUM · $254M to $287MJan 7, 2026 to Mar 12, 2026
- HNW RAUM · $171M to $199MJan 7, 2026 to Mar 12, 2026
- Individual RAUM · $53.2M to $57.6MJan 7, 2026 to Mar 12, 2026
- Non-discretionary RAUM · $12.0M to $13.4MJan 7, 2026 to Mar 12, 2026
- Pension RAUM · $17.3M to $18.6MJan 7, 2026 to Mar 12, 2026
- RAUM · $266M to $301MJan 7, 2026 to Mar 12, 2026
- Financial planning clients · 101-250 to 101-250Mar 10, 2025 to Jul 8, 2025
- Accounts · 787 to 745Nov 4, 2024 to Mar 10, 2025
- Advisory employees · 2 to 1Nov 4, 2024 to Mar 10, 2025
- HNW clients · 57 to 74Nov 4, 2024 to Mar 10, 2025
- Individual clients · 205 to 202Nov 4, 2024 to Mar 10, 2025
- Assets in custody · $118M to $158MNov 4, 2024 to Mar 10, 2025
- Employees · 2 to 3Nov 4, 2024 to Mar 10, 2025
- Financial planning clients · 51-100 to 101-250Nov 4, 2024 to Mar 10, 2025
- State-registered IARs · 2 to 1Nov 4, 2024 to Mar 10, 2025
- Discretionary RAUM · $208M to $254MNov 4, 2024 to Mar 10, 2025
- HNW RAUM · $120M to $171MNov 4, 2024 to Mar 10, 2025
- Individual RAUM · $59.1M to $53.2MNov 4, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $10.4M to $12.0MNov 4, 2024 to Mar 10, 2025
- Pension RAUM · $15.8M to $17.3MNov 4, 2024 to Mar 10, 2025
- RAUM · $219M to $266MNov 4, 2024 to Mar 10, 2025
- Accounts · 681 to 787Jan 4, 2024 to Mar 13, 2024
- HNW clients · 50 to 57Jan 4, 2024 to Mar 13, 2024
- Assets in custody · $146M to $118MJan 4, 2024 to Mar 13, 2024
- Discretionary RAUM · $188M to $208MJan 4, 2024 to Mar 13, 2024
- HNW RAUM · $98.0M to $120MJan 4, 2024 to Mar 13, 2024
- Individual RAUM · $59.9M to $59.1MJan 4, 2024 to Mar 13, 2024
- Non-discretionary RAUM · $6.3M to $10.4MJan 4, 2024 to Mar 13, 2024
- Pension RAUM · $13.9M to $15.8MJan 4, 2024 to Mar 13, 2024
- RAUM · $195M to $219MJan 4, 2024 to Mar 13, 2024
- Accounts · 661 to 681Jan 26, 2023 to Mar 17, 2023
- HNW clients · 51 to 50Jan 26, 2023 to Mar 17, 2023
- Individual clients · 180 to 205Jan 26, 2023 to Mar 17, 2023
- Assets in custody · $156M to $146MJan 26, 2023 to Mar 17, 2023
- Discretionary RAUM · $218M to $188MJan 26, 2023 to Mar 17, 2023
Signals
3 dated events
- G••• J••••• S•••••••• left V•••• W••••• M••••••••• L•• for W••••••••• A•••••••• L•• (registered 2014-01-30)Jan 25, 2024 · Advisor changed firm · fact
- Clifford R••••• Jackway (Managing Member) no longer on Schedule A of V•••• W••••• M••••••••• L•• (listed 2021-02-23, absent 2021-05-20)May 20, 2021 · Control person left · inference
- V•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 17, 2014 · 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
- X.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 847-384-9703reportedpublic record, Form ADV, Jun 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
- $150Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026