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

D•••••••• G•••• I• L••

Former SEC-registered adviserChicago, IllinoisCRD 156924SEC 801-72328IAPD
Latest filing Mar 20, 2017
First filing on the tape Mar 30, 2012 · 8 filings
RAUM
$289M
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
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$288M gross assets
History
8 filings and snapshots on the tape
RAUM$289M as of Mar 20, 2017
Mar 30, 2012$261M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2017
Mar 22, 20130 then
Employees (5.A)9 as of Mar 20, 2017
Mar 22, 20138 then
Private funds1 as of Mar 20, 2017
Mar 30, 20121 then
RAUM +4.2% over the last fiscal year-3.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2017; 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
$144MderivedRAUM 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
+4.2%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 pooled vehicles, otherreportedItem 5.G
Custody
$288M, 1 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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
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
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$288M for 1 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
      D•••••••• E••••• P•••••••• L•••Hedge Fund$288M47Mar 30, 2012
      S••••••••• F•••• F•••• L•no longer reportedHedge Fund$2.0M3Feb 13, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••••• D•••••• J•••• · Managing Membercontrol
        since 05/2002 · owns less than 5%
      • M•••••• M••••••• R•• · Managing Membercontrol
        since 05/2002 · owns less than 5%
      • D•••••••• D•••••• J•••• · Ownercontrol
        since 05/2006 · owns 50% to 75% of D•••••••• G•••• H•••••• C••••••• L••
      • M•••••• M••••••• R•• · Ownercontrol
        since 05/2006 · owns 50% to 75% of D•••••••• G•••• H•••••• C••••••• L••
      • B••••••• M•••• N•• · Member/Chief Compliance Officer
        since 01/2011 · owns less than 5%
      • M••••••••• K••••• A••••• · Member
        since 01/2016 · owns less than 5%
      • W•••• J••••• W••••• · Member
        since 05/2002 · owns less than 5%
      Entity owners
      • D•••••••• G•••• H•••••• C••••••• L•• · Owner
        direct · owns 75% or more
      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
      • Accounts · 1 to 2
        Mar 24, 2016 to Mar 20, 2017
      • Advisory employees · 11 to 9
        Mar 24, 2016 to Mar 20, 2017
      • Advisory activities · 1 to 2
        Mar 24, 2016 to Mar 20, 2017
      • Assets in custody · $277M to $288M
        Mar 24, 2016 to Mar 20, 2017
      • Employees · 11 to 9
        Mar 24, 2016 to Mar 20, 2017
      • Discretionary RAUM · $277M to $289M
        Mar 24, 2016 to Mar 20, 2017
      • RAUM · $277M to $289M
        Mar 24, 2016 to Mar 20, 2017
      • Accounts · 2 to 1
        Mar 27, 2015 to Mar 24, 2016
      • Advisory employees · 12 to 11
        Mar 27, 2015 to Mar 24, 2016
      • Assets in custody · $291M to $277M
        Mar 27, 2015 to Mar 24, 2016
      • Employees · 12 to 11
        Mar 27, 2015 to Mar 24, 2016
      • Private funds · 2 to 1
        Mar 27, 2015 to Mar 24, 2016
      • Discretionary RAUM · $291M to $277M
        Mar 27, 2015 to Mar 24, 2016
      • RAUM · $291M to $277M
        Mar 27, 2015 to Mar 24, 2016
      • Advisory employees · 9 to 12
        Oct 29, 2014 to Mar 27, 2015
      • Assets in custody · $324M to $291M
        Oct 29, 2014 to Mar 27, 2015
      • Employees · 9 to 12
        Oct 29, 2014 to Mar 27, 2015
      • Discretionary RAUM · $324M to $291M
        Oct 29, 2014 to Mar 27, 2015
      • RAUM · $324M to $291M
        Oct 29, 2014 to Mar 27, 2015
      • Advisory employees · 8 to 9
        Mar 22, 2013 to Feb 13, 2014
      • BD registered reps · 5 to 0
        Mar 22, 2013 to Feb 13, 2014
      • Assets in custody · $174M to $324M
        Mar 22, 2013 to Feb 13, 2014
      • Employees · 8 to 9
        Mar 22, 2013 to Feb 13, 2014
      • Private funds · 1 to 2
        Mar 22, 2013 to Feb 13, 2014
      • Discretionary RAUM · $203M to $324M
        Mar 22, 2013 to Feb 13, 2014
      • RAUM · $203M to $324M
        Mar 22, 2013 to Feb 13, 2014
      • Related broker-dealer · true to false
        Mar 22, 2013 to Feb 13, 2014
      • Assets in custody · $227M to $174M
        Jan 18, 2013 to Mar 22, 2013
      • Discretionary RAUM · $261M to $203M
        Jan 18, 2013 to Mar 22, 2013
      • RAUM · $261M to $203M
        Jan 18, 2013 to Mar 22, 2013
      • Advisory employees · unset to 8.0
        Mar 30, 2012 to Jan 18, 2013
      • BD registered reps · unset to 5.0
        Mar 30, 2012 to Jan 18, 2013
      • Employees · unset to 8.0
        Mar 30, 2012 to Jan 18, 2013
      • State-registered IARs · unset to 0.0
        Mar 30, 2012 to Jan 18, 2013
      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