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
B••••••• F•••••••• A•••••••• L••
Latest filing Jul 16, 2026
First filing on the tape May 16, 2019 · 17 filings
SEC status approved since Jun 13, 2019
RAUM
$358M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$358M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$51.2M
derived; firm RAUM over IAPD count
Employees
10
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$358M as of Jul 16, 2026
Mar 9, 2020$193M then
HNW client RAUM$342M as of Jul 16, 2026
Mar 9, 2020$163M then
State-registered IARs (5.B.3)7 as of Jul 16, 2026
Mar 9, 20204 then
Employees (5.A)10 as of Jul 16, 2026
Mar 9, 20208 then
Private funds: no history
RAUM +10% over the last fiscal year+14% a year over threeIARs 6 to 7offices 1 to 0
Practice profile
derived from the filing of Jul 16, 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
- RAUM per advisor
- $51.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $354,652derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.5%derived
- Compensation
- hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $164M, 140 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$342M95%
- Individuals$16.6M4.6%
- Individual clients
- 36reported
- HNW clients
- 149reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,010reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $164M for 140 clientsreported
- Compensation
- fixed, hourlyreported
- 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
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• D••••• K••••••Certified Financial Planner | Savoy, Il | Aug 12, 2011 | 16 y | 1 |
| J••••• L••• C•••••Certified Financial Planner | Savoy, Il | Sep 10, 2014 | 14 y | 1 |
| N••••••• M•••••• V••••Certified Financial Planner | Savoy, Il | Jul 19, 2019 | 13 y | 0 |
| J••••• A•••••• M••••••Certified Financial Planner | Savoy, Il | Jan 16, 2024 | 11 y | 0 |
| T•••••• J•• S•• L••Certified Financial Planner | Savoy, Il | Apr 25, 2025 | 10 y | 0 |
| J•••••••• C••••••••• F•••••••Certified Financial Planner | Savoy, Il | Jul 13, 2026 | 10 y | 0 |
| S••••• D•••••• W•••••Certified Financial Planner | Savoy, Il | Jul 13, 2026 | 10 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
- J••• M•••••• M••••• to L••••••• A•••••••• L••Sep 5, 2015 · RIA to a state-registered adviser
Joined, latest
- J••••• L••• C••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 10, 2014 · Other
- J••• M•••••• M••••• from L••••••• A•••••••• L••Sep 10, 2014 · Other
- J•••• D••••• K•••••• from F••• F•••••••• P•••••••Aug 12, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• J•••••• L••• · Chief Compliance Officercontrolsince 01/2019 · owns 25% to 50%
- K••••••• J••••• D••••• · Presidentcontrolsince 05/2011 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Savoy, Il · principal | 7 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 8 to 7Feb 24, 2026 to Jul 16, 2026
- State-registered IARs · 6 to 7Feb 24, 2026 to Jul 16, 2026
- Other offices · 1 to 0Feb 24, 2026 to Jul 16, 2026
- Accounts · 957 to 1,010Apr 25, 2025 to Feb 24, 2026
- Advisory employees · 7 to 8Apr 25, 2025 to Feb 24, 2026
- HNW clients · 127 to 149Apr 25, 2025 to Feb 24, 2026
- Individual clients · 42 to 36Apr 25, 2025 to Feb 24, 2026
- Assets in custody · $138M to $164MApr 25, 2025 to Feb 24, 2026
- Discretionary RAUM · $325M to $358MApr 25, 2025 to Feb 24, 2026
- HNW RAUM · $300M to $342MApr 25, 2025 to Feb 24, 2026
- Individual RAUM · $25.5M to $16.6MApr 25, 2025 to Feb 24, 2026
- RAUM · $325M to $358MApr 25, 2025 to Feb 24, 2026
- Financial planning clients · 101-250 to 101-250Feb 13, 2025 to Apr 25, 2025
- State-registered IARs · 5 to 6Feb 13, 2025 to Apr 25, 2025
- Accounts · 919 to 957Feb 26, 2024 to Feb 13, 2025
- Advisory employees · 6 to 7Feb 26, 2024 to Feb 13, 2025
- HNW clients · 109 to 127Feb 26, 2024 to Feb 13, 2025
- Individual clients · 51 to 42Feb 26, 2024 to Feb 13, 2025
- Assets in custody · $116M to $138MFeb 26, 2024 to Feb 13, 2025
- Employees · 9 to 10Feb 26, 2024 to Feb 13, 2025
- Discretionary RAUM · $279M to $325MFeb 26, 2024 to Feb 13, 2025
- HNW RAUM · $239M to $300MFeb 26, 2024 to Feb 13, 2025
- Individual RAUM · $40.7M to $25.5MFeb 26, 2024 to Feb 13, 2025
- RAUM · $279M to $325MFeb 26, 2024 to Feb 13, 2025
- Accounts · 861 to 919Jan 3, 2024 to Feb 26, 2024
- HNW clients · 106 to 109Jan 3, 2024 to Feb 26, 2024
- Individual clients · 49 to 51Jan 3, 2024 to Feb 26, 2024
- Assets in custody · $96.2M to $116MJan 3, 2024 to Feb 26, 2024
- State-registered IARs · 4 to 5Jan 3, 2024 to Feb 26, 2024
- Discretionary RAUM · $239M to $279MJan 3, 2024 to Feb 26, 2024
- HNW RAUM · $212M to $239MJan 3, 2024 to Feb 26, 2024
- Individual RAUM · $27.4M to $40.7MJan 3, 2024 to Feb 26, 2024
- RAUM · $239M to $279MJan 3, 2024 to Feb 26, 2024
- Accounts · 143 to 861Aug 11, 2022 to Feb 3, 2023
- HNW clients · 107 to 106Aug 11, 2022 to Feb 3, 2023
- Individual clients · 36 to 49Aug 11, 2022 to Feb 3, 2023
- Assets in custody · $96.5M to $96.2MAug 11, 2022 to Feb 3, 2023
- Discretionary RAUM · $257M to $239MAug 11, 2022 to Feb 3, 2023
- HNW RAUM · $237M to $212MAug 11, 2022 to Feb 3, 2023
- Individual RAUM · $19.9M to $27.4MAug 11, 2022 to Feb 3, 2023
Signals
1 dated events
- B••••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)May 16, 2019 · 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
- Business phone
- 217-352-0000reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-416-9099reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- B•••••••FA.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 217-352-0000reportedpublic record, Form ADV, Jul 16, 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
- $51.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026