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
C•••• P••••••••• A•••••••• L••
Latest filing Oct 19, 2021
First filing on the tape Mar 23, 2012 · 28 filings
RAUM
$592M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
76%
$452M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$592M as of Mar 3, 2021
Mar 23, 2012$92.5M then
HNW client RAUM$305M as of Mar 3, 2021
Mar 23, 2018$183M then
State-registered IARs (5.B.3)7 as of Mar 3, 2021
Mar 23, 20120 then
Employees (5.A)9 as of Mar 3, 2021
Mar 26, 20134 then
Private funds: no history
RAUM +23% over the last fiscal year+15% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Oct 19, 2021; every figure names its basis
- RAUM per advisor
- $84.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 112derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $316,342derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.1%derived
- Compensation
- percentage of assets, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $11.8MreportedItem 5.I
- Custody
- $222M, 476 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$305M52%
- Individuals$147M25%
- Pension and profit-sharing plans$83.5M14%
- Charitable organizations$54.3M9.2%
- Corporations and businesses$1.7M0.3%
- Individual clients
- 643reported
- HNW clients
- 139reported
- Pension plan clients
- 23reported
- Charitable clients
- 22reported
- Accounts
- 1,870reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $5.9M sponsored, $5.9M managedreported
- Custody of client assets
- $222M for 476 clientsreported
- Compensation
- % of AUM, fixed, commissionsreported
- 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
- W•••••• G•••••• to H•••••••• A•••••••• L••Feb 15, 2022 · RIA to affiliated broker-dealer or bank
- E•••• L•• W•••••• to H•••••••• A•••••••• L••Feb 15, 2022 · RIA to affiliated broker-dealer or bank
- G••• J••••• S•••••••• to R••••• C•••••• M••••••••• L••Dec 31, 2016 · Other
- J••••••• H••••• to H•••••••• A•••••••• L••Dec 31, 2016 · Other
- N••••••• A• L•••• to H•••••••• A•••••••• L••Dec 31, 2016 · Other
Joined, latest
- D•••• J•••• M••••• from R•••• S••••• A•••••••• L••Jan 9, 2015 · Other
- S•••••• A•••• B•••• from R•••• S••••• A•••••••• L••Jul 19, 2011 · Other
- M•••••• J•••• M••••• from R•••• S••••• A•••••••• L••Jul 19, 2011 · Other
- J••••••• H••••• from L•• F•••••••• L••Jul 19, 2011 · Other
- N••••••• A• L•••• from L•• F•••••••• L••Jul 19, 2011 · Other
- G••• J••••• S•••••••• from P•••••••• F•••••••• G••••• I•••Apr 26, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for H•••••••• A•••••••• L••Feb 15, 2022 · Aurora, Il
- 12 left for H•••••••• A•••••••• L••Dec 31, 2016 · Aurora, Il · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• S••••••• A•••• · Managing Membercontrolsince 07/2011 · owns 25% to 50%
- H•••••• J•••••••• N•• · Managing Membercontrolsince 07/2011 · owns 25% to 50%
- M•••••• M••••••• J•••• · Managing Membercontrolsince 07/2011 · owns 25% to 50%
- S••••••••• G•••• J••••• · Chief Compliance Officersince 04/2011 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- St. Charles, IL2 employees
- St. Charles, IL2 employees
What changed
consecutive filings, newest first
- Accounts · 1,694 to 1,870Jun 29, 2020 to Mar 3, 2021
- Charity clients · 19 to 22Jun 29, 2020 to Mar 3, 2021
- Corporate clients · 2 to 4Jun 29, 2020 to Mar 3, 2021
- Individual clients · 642 to 643Jun 29, 2020 to Mar 3, 2021
- Pension plan clients · 22 to 23Jun 29, 2020 to Mar 3, 2021
- Assets in custody · $95.0M to $222MJun 29, 2020 to Mar 3, 2021
- Discretionary RAUM · $406M to $502MJun 29, 2020 to Mar 3, 2021
- HNW RAUM · $242M to $305MJun 29, 2020 to Mar 3, 2021
- Individual RAUM · $137M to $147MJun 29, 2020 to Mar 3, 2021
- Non-discretionary RAUM · $74.9M to $89.5MJun 29, 2020 to Mar 3, 2021
- Pension RAUM · $67.9M to $83.5MJun 29, 2020 to Mar 3, 2021
- RAUM · $481M to $592MJun 29, 2020 to Mar 3, 2021
- Wrap assets (manager) · $7.1M to $5.9MJun 29, 2020 to Mar 3, 2021
- Wrap assets (sponsor) · $7.1M to $5.9MJun 29, 2020 to Mar 3, 2021
- Accounts · 1,605 to 1,694Mar 19, 2019 to Mar 11, 2020
- Charity clients · 21 to 19Mar 19, 2019 to Mar 11, 2020
- HNW clients · 114 to 139Mar 19, 2019 to Mar 11, 2020
- Individual clients · 647 to 642Mar 19, 2019 to Mar 11, 2020
- Pension plan clients · 24 to 22Mar 19, 2019 to Mar 11, 2020
- State-registered IARs · 6 to 7Mar 19, 2019 to Mar 11, 2020
- Other offices · 3 to 2Mar 19, 2019 to Mar 11, 2020
- Discretionary RAUM · $331M to $406MMar 19, 2019 to Mar 11, 2020
- HNW RAUM · $187M to $242MMar 19, 2019 to Mar 11, 2020
- Individual RAUM · $126M to $137MMar 19, 2019 to Mar 11, 2020
- Non-discretionary RAUM · $75.6M to $74.9MMar 19, 2019 to Mar 11, 2020
- Pension RAUM · $65.5M to $67.9MMar 19, 2019 to Mar 11, 2020
- RAUM · $407M to $481MMar 19, 2019 to Mar 11, 2020
- Wrap assets (manager) · $6.0M to $7.1MMar 19, 2019 to Mar 11, 2020
- Wrap assets (sponsor) · $6.0M to $7.1MMar 19, 2019 to Mar 11, 2020
- Accounts · 1,504 to 1,605Jan 24, 2019 to Mar 19, 2019
- Charity clients · 11 to 21Jan 24, 2019 to Mar 19, 2019
- Corporate clients · 1 to 2Jan 24, 2019 to Mar 19, 2019
- HNW clients · 113 to 114Jan 24, 2019 to Mar 19, 2019
- Individual clients · 579 to 647Jan 24, 2019 to Mar 19, 2019
- Pension plan clients · 25 to 24Jan 24, 2019 to Mar 19, 2019
- Discretionary RAUM · $316M to $331MJan 24, 2019 to Mar 19, 2019
- HNW RAUM · $183M to $187MJan 24, 2019 to Mar 19, 2019
- Individual RAUM · $117M to $126MJan 24, 2019 to Mar 19, 2019
- Non-discretionary RAUM · $74.3M to $75.6MJan 24, 2019 to Mar 19, 2019
- Pension RAUM · $66.4M to $65.5MJan 24, 2019 to Mar 19, 2019
Signals
3 dated events
- W•••••• G•••••• left C•••• P••••••••• A•••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-01-04)Feb 15, 2022 · Advisor changed firm · fact
- E•••• L•• W•••••• left C•••• P••••••••• A•••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-01-04)Feb 15, 2022 · Advisor changed firm · fact
- 2 advisors left C•••• P••••••••• A•••••••• L•• (Aurora, IL) for H•••••••• A•••••••• L•• on the same dayFeb 15, 2022 · Team lift-out · derived
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