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

R••••••••• C•••••• M••••••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 156910SEC 801-73408IAPD
Latest filing Feb 26, 2016
First filing on the tape Feb 13, 2012 · 11 filings
RAUM
$585M
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
9
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$380M gross assets
History
11 filings and snapshots on the tape
RAUM$478M as of Feb 16, 2016
Feb 20, 2013$418M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 16, 2016
Feb 20, 20130 then
Employees (5.A)9 as of Feb 16, 2016
Feb 20, 201310 then
Private funds4 as of Feb 16, 2016
Feb 20, 20133 then
RAUM +41% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 26, 2016; 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
$65.0MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%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-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
Custody
$188M, 3 clientsreportedItem 9.A
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
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
9reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$188M for 3 clientsreported
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
      R••••••••• F••• I•• L•Hedge Fund$86.6M25Feb 13, 2012
      R••••••••• F•••• L•••Hedge Fund$30.5M2Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• J•••• W•••••• · Membercontrol
        since 02/2002 · owns 25% to 50%
      • F•••••• R••••••• M••• · Managing Membercontrol
        since 09/2002 · owns 25% to 50%
      • K••••••• K•••• D• · Chief Compliance Officercontrol
        since 02/2012 · owns less than 5%
      • S•••••• J•••• R••••• · Membercontrol
        since 04/2004 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $478M to $585M
        Feb 16, 2016 to Feb 26, 2016
      • RAUM · $478M to $585M
        Feb 16, 2016 to Feb 26, 2016
      • Accounts · 6 to 9
        Sep 9, 2015 to Feb 16, 2016
      • Advisory activities · 3 to 4
        Sep 9, 2015 to Feb 16, 2016
      • Assets in custody · $210M to $188M
        Sep 9, 2015 to Feb 16, 2016
      • Discretionary RAUM · $416M to $478M
        Sep 9, 2015 to Feb 16, 2016
      • RAUM · $416M to $478M
        Sep 9, 2015 to Feb 16, 2016
      • Assets in custody · unset to 210411262.0
        Feb 17, 2015 to Sep 9, 2015
      • Custody of client assets · false to true
        Feb 17, 2015 to Sep 9, 2015
      • Accounts · 3 to 6
        Jun 24, 2014 to Feb 17, 2015
      • Advisory activities · 2 to 3
        Jun 24, 2014 to Feb 17, 2015
      • Assets in custody · 337997862.0 to unset
        Jun 24, 2014 to Feb 17, 2015
      • Custody of client assets · true to false
        Jun 24, 2014 to Feb 17, 2015
      • Private funds · 3 to 4
        Jun 24, 2014 to Feb 17, 2015
      • Discretionary RAUM · $372M to $416M
        Jun 24, 2014 to Feb 17, 2015
      • RAUM · $372M to $416M
        Jun 24, 2014 to Feb 17, 2015
      • Advisory employees · 5 to 4
        Feb 20, 2013 to Feb 20, 2014
      • Advisory activities · 1 to 2
        Feb 20, 2013 to Feb 20, 2014
      • Assets in custody · $339M to $338M
        Feb 20, 2013 to Feb 20, 2014
      • Employees · 10 to 9
        Feb 20, 2013 to Feb 20, 2014
      • Discretionary RAUM · $418M to $372M
        Feb 20, 2013 to Feb 20, 2014
      • RAUM · $418M to $372M
        Feb 20, 2013 to Feb 20, 2014
      • Advisory employees · unset to 5.0
        Aug 10, 2012 to Feb 20, 2013
      • BD registered reps · unset to 0.0
        Aug 10, 2012 to Feb 20, 2013
      • Assets in custody · $208M to $339M
        Aug 10, 2012 to Feb 20, 2013
      • Employees · unset to 10.0
        Aug 10, 2012 to Feb 20, 2013
      • State-registered IARs · unset to 0.0
        Aug 10, 2012 to Feb 20, 2013
      • Discretionary RAUM · $519M to $418M
        Aug 10, 2012 to Feb 20, 2013
      • RAUM · $519M to $418M
        Aug 10, 2012 to Feb 20, 2013
      • Discretionary RAUM · $285M to $519M
        Feb 22, 2012 to Apr 16, 2012
      • RAUM · $285M to $519M
        Feb 22, 2012 to Apr 16, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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