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

T•••• F•••••••• S•••••••• I•••

Former SEC-registered adviserOrland Park, IllinoisCRD 158822SEC 801-72663IAPD
Latest filing Apr 26, 2013
First filing on the tape Dec 15, 2011 · 5 filings
RAUM
$613,894
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$613,894
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$613,894 as of Feb 22, 2013
Mar 28, 2012$854,704 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 22, 2013
Mar 28, 20120 then
Employees (5.A): 2
Private funds: no history
RAUM -28% over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of Apr 26, 2013; every figure names its basis
RAUM per advisor
$613,894derivedRAUM 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
$34,105derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-28%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
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
18reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
G••• R•••• B••••••••Orland Park, IlMay 2, 201324 y1
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••••••• G•••• R•••• · President/Chief Compliance Officercontrol
      since 01/2007 · 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
    • Advisory activities · 2 to 1
      Mar 6, 2013 to Apr 26, 2013
    • Accounts · 1 to 18
      Mar 28, 2012 to Feb 22, 2013
    • Advisory employees · unset to 1.0
      Mar 28, 2012 to Feb 22, 2013
    • Employees · unset to 2.0
      Mar 28, 2012 to Feb 22, 2013
    • State-registered IARs · 0 to 1
      Mar 28, 2012 to Feb 22, 2013
    • Discretionary RAUM · $854,704 to $613,894
      Mar 28, 2012 to Feb 22, 2013
    • RAUM · $854,704 to $613,894
      Mar 28, 2012 to Feb 22, 2013
    • Accounts · unset to 1.0
      Dec 15, 2011 to Mar 28, 2012
    • Financial planning clients · unset to 1-10
      Dec 15, 2011 to Mar 28, 2012
    • Discretionary RAUM · unset to 854704.0
      Dec 15, 2011 to Mar 28, 2012
    • Non-discretionary RAUM · unset to 0.0
      Dec 15, 2011 to Mar 28, 2012
    • RAUM · unset to 854704.0
      Dec 15, 2011 to Mar 28, 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.
    How to reach
    public business contact points only, each with its source
    Website
    T••••FIN.COMreportedpublic record, Form ADV, Sep 18, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $613,894derivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026