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
R•••••••• C•••••• A•••••••• L••
Latest filing Jul 13, 2026
First filing on the tape Apr 23, 2012 · 31 filings
SEC status approved since Apr 8, 2011
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.1B individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$368M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$1.1B as of Jul 13, 2026
Apr 23, 2012$78.5M then
HNW client RAUM$1.1B as of Jul 13, 2026
Mar 27, 2018$301M then
State-registered IARs (5.B.3)2 as of Jul 13, 2026
Apr 1, 20131 then
Employees (5.A)5 as of Jul 13, 2026
Apr 1, 20131 then
Private funds: no history
RAUM +82% over the last fiscal year+27% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Jul 13, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $368MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 80derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $4.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +59%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.4%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B100%
- Individual clients
- 0reported
- HNW clients
- 239reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 239reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• R••••• H•••••• | Chicago, Il | Aug 4, 2011 | 31 y | 2 |
| C•••••• J•••••• R•••••• | Chicago, Il | Dec 20, 2023 | 11 y | 0 |
| T•••••• M•••••••Chartered Financial Analyst | Chicago, Il | Jul 29, 2024 | 21 y | 0 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- T••••• R••••• H•••••• from S••••••••• C•••••• A•••••••• L••Aug 4, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• T•••••• R••••• · Managing Partnercontrolsince 03/2011 · owns 25% to 50%
- K••••••• I••••• · Chief Compliance Officercontrolsince 02/2024 · owns less than 5%
- M•••••••• T•••••• · Managing Partnercontrolsince 07/2024 · owns 10% to 25%
- O••••••• J•••• W•••••• · Trusteecontrolsince 03/2011 · owns F of J••• W• O•••••• G••• T•••• I•
Entity owners
- J•• I••••••••• L•• · Memberdirect · owns 25% to 50%
- J••• W• O•••••• G••• T•••• I• · Trustindirect · owns 75% or more of J•• I••••••••• L••
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 |
|---|---|---|---|---|---|
| Chicago, Il · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 13, 2026M•••••••• T•••••• (MANAGING PARTNER) appeared on Schedule A between the filings of 2024-03-27 and 2026-07-13peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 13, 2026O••••••• J•••• W•••••• (TRUSTEE) left Schedule A between the filings of 2024-03-27 and 2026-07-13peers: independent wealth managers, $1B to $5B (1,362)
- RAUM up clients flatCombination · filing Mar 31, 2026RAUM grew 50 percent or more while private clients stayed within 5 percent: existing clients grew, a few large clients arrived, or a reporting change. RAUM $605,380,179 to $964,822,724, advisors 3 to 2, private clients 214 to 211, offices 0 to 0 (2025-03-31 to 2026-03-31)peers: independent wealth managers, $1B to $5B (1,362)
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $605,380,179 to $964,822,724 (+59.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +17.0% (1298 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,298) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 211 to 239Mar 31, 2026 to Jul 13, 2026
- HNW clients · 211 to 239Mar 31, 2026 to Jul 13, 2026
- Discretionary RAUM · $965M to $1.1BMar 31, 2026 to Jul 13, 2026
- HNW RAUM · $965M to $1.1BMar 31, 2026 to Jul 13, 2026
- RAUM · $965M to $1.1BMar 31, 2026 to Jul 13, 2026
- Accounts · 233 to 211Jul 22, 2025 to Mar 31, 2026
- HNW clients · 216 to 211Jul 22, 2025 to Mar 31, 2026
- State-registered IARs · 3 to 2Jul 22, 2025 to Mar 31, 2026
- Discretionary RAUM · $820M to $965MJul 22, 2025 to Mar 31, 2026
- HNW RAUM · $820M to $965MJul 22, 2025 to Mar 31, 2026
- RAUM · $820M to $965MJul 22, 2025 to Mar 31, 2026
- Accounts · 234 to 233Mar 31, 2025 to Jul 22, 2025
- HNW clients · 214 to 216Mar 31, 2025 to Jul 22, 2025
- Financial planning clients · unset to Mar 31, 2025 to Jul 22, 2025
- Discretionary RAUM · $605M to $820MMar 31, 2025 to Jul 22, 2025
- HNW RAUM · $605M to $820MMar 31, 2025 to Jul 22, 2025
- RAUM · $605M to $820MMar 31, 2025 to Jul 22, 2025
- HNW RAUM · $662M to $605MJul 29, 2024 to Mar 31, 2025
- Individual RAUM · unset to 0.0Jul 29, 2024 to Mar 31, 2025
- Pension RAUM · unset to 0.0Jul 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · unset to 0.0Jul 29, 2024 to Mar 31, 2025
- RAUM · $662M to $605MJul 29, 2024 to Mar 31, 2025
- Accounts · 220 to 234Jul 29, 2024 to Mar 31, 2025
- Charity clients · unset to 0.0Jul 29, 2024 to Mar 31, 2025
- Corporate clients · unset to 0.0Jul 29, 2024 to Mar 31, 2025
- HNW clients · 220 to 214Jul 29, 2024 to Mar 31, 2025
- Individual clients · unset to 0.0Jul 29, 2024 to Mar 31, 2025
- Pension plan clients · unset to 0.0Jul 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · unset to 0.0Jul 29, 2024 to Mar 31, 2025
- Employees · 4 to 5Jul 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $662M to $605MJul 29, 2024 to Mar 31, 2025
- Accounts · 217 to 220Jan 29, 2024 to Mar 27, 2024
- HNW clients · 217 to 220Jan 29, 2024 to Mar 27, 2024
- Employees · 3 to 4Jan 29, 2024 to Mar 27, 2024
- Discretionary RAUM · $602M to $662MJan 29, 2024 to Mar 27, 2024
- HNW RAUM · $602M to $662MJan 29, 2024 to Mar 27, 2024
- RAUM · $602M to $662MJan 29, 2024 to Mar 27, 2024
- Advisory employees · 2 to 3Dec 12, 2023 to Jan 29, 2024
- State-registered IARs · 2 to 3Dec 12, 2023 to Jan 29, 2024
- Accounts · 210 to 217Apr 10, 2023 to Apr 27, 2023
Signals
3 dated events
- R•••••••• C•••••• A•••••••• L•• reported RAUM $820.5M, up 36% from $605.4M (2025-03-31 to 2025-07-22)Jul 22, 2025 · RAUM change · derived
- I••••• K•••••• (Chief Compliance Officer) appeared on Schedule A of R•••••••• C•••••• A•••••••• L••Mar 27, 2024 · Control person joined · fact
- R•••••••• C•••••• A•••••••• L•• reported RAUM $542.0M, up 66% from $327.0M (2022-03-30 to 2023-01-19)Jan 19, 2023 · RAUM change · derived
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 phone
- 312-948-5100reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/riverbend-capital-advisorsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- r•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-948-5100reportedpublic record, Form ADV, Jul 13, 2026
- Team page
- r•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $368Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026