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
H•••••• I••••••••• S•••••••• L••
Latest filing May 26, 2026
First filing on the tape Dec 23, 2011 · 61 filings
SEC status approved since Feb 24, 2014
RAUM
$758M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$616M individuals and HNW
Advisors
28
registered through the firm on IAPD
RAUM per advisor
$27.1M
derived; firm RAUM over IAPD count
Employees
38
28 advisory (5.B.1)
Offices
12
beyond the principal office
Private funds
0
reported on Schedule D
History
61 filings and snapshots on the tape
RAUM$758M as of May 26, 2026
Mar 12, 2015$90.6M then
HNW client RAUM$368M as of May 26, 2026
Mar 6, 2018$119M then
State-registered IARs (5.B.3)26 as of May 26, 2026
Mar 12, 201526 then
Employees (5.A)38 as of May 26, 2026
Mar 12, 201526 then
Private funds1 as of Mar 31, 2022
Mar 31, 20211 then
RAUM +42% over the last fiscal year+44% a year over threeIARs 23 to 26offices 10 to 12
Practice profile
derived from the filing of May 26, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $27.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $221,301derivedRAUM 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
- 2.2derived13 offices incl. principal (1.F.5)
- RAUM growth, one year
- +42%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $263MreportedItem 5.I
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$368M48%
- Individuals$248M33%
- Pooled investment vehicles$143M19%
- Individual clients
- 1,316reported
- HNW clients
- 184reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3,427reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.81 fund_share=0.19 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
28 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• K• A••• | Spring, Tx | Feb 3, 2012 | 27 y | 1 |
| T•••••• J••• N•••••Certified Financial Planner | Oakbrook Terrace, Il | Feb 3, 2012 | 34 y | 1 |
| L••• E••••• B••••••••• | Oakbrook Terrace, Il | Sep 16, 2015 | 11 y | 0 |
| B•••• J•••• P••• | Riverside, Ca | Oct 29, 2015 | 16 y | 1 |
| K••••••• J••• W••••••• | Gettysburg, Pa | Apr 5, 2016 | 29 y | 5 |
| A••• M•••• D•••• | Oakbrook Terrace, Il | Jun 8, 2016 | 21 y | 2 |
| W•••• J• W••• | Willow Springs, Il | May 26, 2017 | 28 y | 1 |
| K•••• R••••• L•••••••Certified Financial Planner | Oakbrook Terrace, Il | Nov 3, 2017 | 30 y | 2 |
| J•••• F•••••• S•••••• | Indianapolis, In | Feb 6, 2019 | 29 y | 1 |
| A••••• D•••• B••••• | Oakbrook Terrace, Il | May 13, 2022 | 15 y | 0 |
| B•••••• T•••••• N••••• | Oakbrook Terrace, Il | May 26, 2022 | 12 y | 0 |
| T••••• A•••••• S•••••••• | Oakbrook Terrace, Il | Aug 31, 2022 | 44 y | 1 |
| I••••• G••••Certified Financial Planner | L••••Burg, Va | Feb 8, 2023 | 13 y | 0 |
| I•• M• E••••••Certified Financial Planner | Westfield, In | Jun 30, 2023 | 41 y | 3 |
| B•••• L•• E••••••Certified Financial Planner | Oakbrook Terrace, Il | Jun 30, 2023 | 42 y | 3 |
| R••••• K•••••• T•••••••Certified Financial Planner | Palos Hills, Il | Jan 11, 2024 | 41 y | 2 |
| J••••• S•••••• | Oakbrook Terrace, Il | Jan 25, 2024 | 11 y | 0 |
| R••• L•• K••••••••Certified Financial Planner | Oakbrook Terrace, Il | Jun 5, 2024 | 12 y | 1 |
| R••••• S•••• P••• | Myrtle Beach, Sc | Jul 1, 2024 | 33 y | 3 |
| T••••• F•••••••• | Oakbrook Terrace, Il | Jul 30, 2024 | 12 y | 0 |
| J•••••• R•••••• P••••• | Myrtle Beach, Sc | Sep 3, 2024 | 24 y | 2 |
| J••••• P•••• | Oakbrook Terrace, Il | Oct 11, 2024 | 10 y | 0 |
| M•••••• F•••••••• S•••••• | Oakbrook Terrace, Il | Jan 8, 2025 | 20 y | 0 |
| E••••••• I•••• | Oakbrook Terrace, Il | Jan 29, 2025 | 12 y | 0 |
| J••••• W••• | Oakbrook Terrace, Il | Mar 31, 2025 | 25 y | 7 |
| S••• S•••• | Oakbrook Terrace, Il | Jul 29, 2025 | 27 y | 1 |
| T•• M••••• | Arlington, Tx | Nov 19, 2025 | 14 y | 2 |
| K•••••• J•••• W•••••••• | Danville, Ca | Jan 1, 2026 | 36 y | 1 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 3.6% of current headcount7 left over 36 months
Left, latest
- M•••••• A•••••• C••••••• to S••••••••• W•••••Jul 27, 2026 · RIA to RIA
- J••••• F••••••• D••••• to K••••• C••••••• L••Jun 18, 2025 · RIA to a state-registered adviser
- E••• W•••• S•••••••• to E•••• A••••••• I•••Jun 18, 2025 · RIA to RIA
- G••• B••• to E•••• A••••••• I•••Feb 6, 2025 · RIA to RIA
- J•••• L•• W••••• to A•••••• S•••• W••••• M••••••••• L••Dec 23, 2024 · RIA to RIA
- B•••• J••• E••••••• to E••••••••• W••••• A•••••••• L••Dec 16, 2024 · RIA to RIA
- M••• D•••• K••••• to R•• W••••• A•••••••Dec 31, 2023 · RIA to RIA
- V•••••• C•••••• B•••••• to B•••••• G•••••••• F•••••••• A••••••• L••Dec 23, 2021 · RIA to RIA
- M•••••• J•••• G••• to W•• A•••••••• L••Dec 9, 2021 · Other
- J••••••• P••• G••• to W•• A•••••••• L••Jun 10, 2021 · Other
- J•••• D••••• G••• to W•• A•••••••• L••May 24, 2021 · Other
- D••••• G••••• F•••••••• to C•••• C•••• F•••••••• M••••••••• L••Mar 1, 2021 · RIA to RIA
- D••••• M• P•••• to P•• A•••• M••••••••• C•••Feb 6, 2020 · RIA to RIA
- J••••••• E•• P•••••••• to C••••• I••••••••• A••••••• L••Jan 15, 2020 · RIA to affiliated broker-dealer or bank
- J••• K•••••• M••••••• to I••• R•••• C•••••• L••Jan 2, 2020 · RIA to a state-registered adviser
Joined, latest
- K•••••• J•••• W•••••••• from C•••••••• F•••••••• G•••• A•••••••Jan 1, 2026 · Other
- T•• M••••• from T•• F•••••••• A•••••••Nov 19, 2025 · RIA to RIA
- S••• S•••• from P••••••••• S••••••••• C•••••••••Jul 29, 2025 · RIA to RIA
- J••••• W••• from I•••••• A•••••••• L••Mar 31, 2025 · RIA to RIA
- J•••••• R•••••• P••••• from P••••••• F•••••••• S•••••••• I•••Sep 3, 2024 · Affiliated broker-dealer or bank to independent RIA
- R••••• S•••• P••• from P••••••• F•••••••• S•••••••• I•••Jul 1, 2024 · Affiliated broker-dealer or bank to independent RIA
- R••• L•• K•••••••• from P•••••• W••••• M••••••••• I•••Jun 5, 2024 · RIA to RIA
- B•••• L•• E•••••• from W••••• A••••••• S••••••••• L••Jun 30, 2023 · RIA to RIA
- I•• M• E•••••• from W••••• A••••••• S••••••••• L••Jun 30, 2023 · RIA to RIA
- T••••• A•••••• S•••••••• from C•••••••• F•••••••• G•••• A•••••••Aug 31, 2022 · Other
- B•••• J••• E••••••• from A•••• F•••••••• S•••••••Jun 28, 2022 · Other
- E••• W•••• S•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 7, 2022 · Wirehouse to independent RIA
- M••• D•••• K••••• from C•••••••• F•••••••• G•••• A•••••••Aug 27, 2020 · Affiliated broker-dealer or bank to independent RIA
- J••• K•••••• M••••••• from A•• W••••• L••Aug 27, 2019 · Other
- J•••• F•••••• S•••••• from A••••• I••••••••• C•••••••••Feb 6, 2019 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for K••••• C••••••• L••Jun 18, 2025 · Oakbrook Terrace, Il
- 2 left for A• W••••• M••••••••• L••Nov 22, 2016 · Elgin, Il
- 2 joined from P••••••• F•••••••• S•••••••• I•••Aug 30, 2024 · Pawleys Island, Sc
- 2 joined from W••••• A••••••• S••••••••• L••Jun 30, 2023 · Zionsville, In
- 3 joined from C•••••••• F•••••••• G•••• A•••••••Jul 3, 2018 · Lagrange, Il
- 2 joined from C•••••••• F•••••••• G•••• A•••••••Dec 31, 2016 · Camp Hill, Pa
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H•• K•••••• R•••••••• T••••no longer reported | Private Equity Fund | $15.4M | 64 | Mar 31, 2021 |
Owners and control persons
Schedule A and B, latest filing
- A•••• J•••• K• · Ciocontrolsince 10/2011 · owns 10% to 25%
- B••••••••• S••••• A•••• · Chief Compliance Officercontrolsince 02/2024 · owns less than 5%
- N•••••• T••••••• J••• · President/Ceocontrolsince 10/2011 · owns less than 5%
- N•••••• T••••••• J••• · Ownercontrolsince 10/2011 · owns 50% to 75% of H•••••• F•••••••• P•••••••• L••
Entity owners
- H•••••• F•••••••• P•••••••• L•• · Ownerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- E•••• A••••••• I•••investment adviseryRAUM $615M
- H•••••• F•••••••• P•••••••• L••insurancen
- H••••••••• K•••••• R••••••••• L••pooled vehicle sponsorn
Advisers that list H•••••• I••••••••• S•••••••• L•• as a related person
- 306559 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Oakbrook Terrace, Il · principal | 27 | 2 | 1 | ||
| Myrtle Beach, Sc | 3 | 0 | 0 | ||
| Indianapolis, In | 2 | 0 | 0 | ||
| W•••Field, In | 2 | 0 | 0 | ||
| Sycamore, Il | 0 | 0 | 0 | ||
| W•••Lake Village, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Walnut C••••, CA3 employees
- Palos Hills, IL2 employees
- Indianapolis, IN1 employees
- Lagrange, IL1 employees
- R••••Side, CA1 employees
- Colorado Springs, CO1 employees
- , 1 employees
- Dekalb, IL1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- HNW s•••• shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 66.0% to 48.0% between the annual amendments of 2025-03-28 and 2026-03-31peers: independent wealth managers, $500M to $1B (1,482)
- RAUM up 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $534,204,368 to $758,399,399 (+42.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +16.0% (1385 comparable advisers, 91.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 91% percentile
- client mix shiftChange between filings · filing Mar 31, 2026private-client share of RAUM moved from 100.0% to 81.0% between the annual amendments of 2025-03-28 and 2026-03-31peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 3,335 to 3,427Oct 22, 2025 to Mar 31, 2026
- Advisory employees · 23 to 28Oct 22, 2025 to Mar 31, 2026
- HNW clients · 188 to 184Oct 22, 2025 to Mar 31, 2026
- Individual clients · 1,205 to 1,316Oct 22, 2025 to Mar 31, 2026
- Pooled vehicle clients · unset to 8.0Oct 22, 2025 to Mar 31, 2026
- Employees · 32 to 38Oct 22, 2025 to Mar 31, 2026
- State-registered IARs · 23 to 26Oct 22, 2025 to Mar 31, 2026
- Other offices · 11 to 12Oct 22, 2025 to Mar 31, 2026
- Discretionary RAUM · $534M to $758MOct 22, 2025 to Mar 31, 2026
- HNW RAUM · $350M to $368MOct 22, 2025 to Mar 31, 2026
- Individual RAUM · $184M to $248MOct 22, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · unset to 142806705.0Oct 22, 2025 to Mar 31, 2026
- RAUM · $534M to $758MOct 22, 2025 to Mar 31, 2026
- Other offices · 10 to 11Jul 1, 2025 to Aug 7, 2025
- Financial planning clients · 26-50 to 26-50Mar 28, 2025 to Jul 1, 2025
- Accounts · 2,862 to 3,335Nov 11, 2024 to Mar 28, 2025
- Advisory employees · 21 to 23Nov 11, 2024 to Mar 28, 2025
- HNW clients · 93 to 188Nov 11, 2024 to Mar 28, 2025
- Individual clients · 1,102 to 1,205Nov 11, 2024 to Mar 28, 2025
- Employees · 28 to 32Nov 11, 2024 to Mar 28, 2025
- Insurance-licensed employees · 5 to 7Nov 11, 2024 to Mar 28, 2025
- Financial planning clients · 11-25 to 26-50Nov 11, 2024 to Mar 28, 2025
- State-registered IARs · 21 to 23Nov 11, 2024 to Mar 28, 2025
- Other offices · 9 to 10Nov 11, 2024 to Mar 28, 2025
- Discretionary RAUM · $282M to $534MNov 11, 2024 to Mar 28, 2025
- HNW RAUM · $141M to $350MNov 11, 2024 to Mar 28, 2025
- Individual RAUM · $141M to $184MNov 11, 2024 to Mar 28, 2025
- RAUM · $282M to $534MNov 11, 2024 to Mar 28, 2025
- Accounts · 2,464 to 2,862Aug 18, 2023 to Mar 14, 2024
- Advisory employees · 24 to 21Aug 18, 2023 to Mar 14, 2024
- HNW clients · 65 to 93Aug 18, 2023 to Mar 14, 2024
- Individual clients · 771 to 1,102Aug 18, 2023 to Mar 14, 2024
- Employees · 29 to 28Aug 18, 2023 to Mar 14, 2024
- Insurance-licensed employees · 6 to 5Aug 18, 2023 to Mar 14, 2024
- State-registered IARs · 29 to 21Aug 18, 2023 to Mar 14, 2024
- Other offices · 8 to 9Aug 18, 2023 to Mar 14, 2024
- Discretionary RAUM · $254M to $282MAug 18, 2023 to Mar 14, 2024
- HNW RAUM · $99.7M to $141MAug 18, 2023 to Mar 14, 2024
- Individual RAUM · $155M to $141MAug 18, 2023 to Mar 14, 2024
- RAUM · $254M to $282MAug 18, 2023 to Mar 14, 2024
Signals
17 dated events
- M•••••• A•••••• C••••••• left H•••••• I••••••••• S•••••••• L•• for S••••••••• W••••• (registered 2026-07-27)Jul 27, 2026 · a•••••• firm change · fact
- H•••••• I••••••••• S•••••••• L•• reported RAUM $758.4M, up 42% from $534.2M (2025-10-22 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- E••• W•••• S•••••••• left H•••••• I••••••••• S•••••••• L•• for E•••• A••••••• I••• (registered 2022-04-07)Jun 18, 2025 · a•••••• firm change · fact
- J••••• F••••••• D••••• left H•••••• I••••••••• S•••••••• L•• for K••••• C••••••• L•• (registered 2025-06-17)Jun 18, 2025 · a•••••• firm change · fact
- 2 advisors left H•••••• I••••••••• S•••••••• L•• (Oakbrook Terrace, IL) for K••••• C••••••• L•• on the same dayJun 18, 2025 · Team lift-out · derived
- H•••••• I••••••••• S•••••••• L•• reported RAUM $534.2M, up 90% from $281.7M (2024-11-11 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- G••• B••• left H•••••• I••••••••• S•••••••• L•• for E•••• A••••••• I••• (registered 2023-02-07)Feb 6, 2025 · a•••••• firm change · fact
- J•••• L•• W••••• left H•••••• I••••••••• S•••••••• L•• for A•••••• S•••• W••••• M••••••••• L•• (registered 2025-12-22)Dec 23, 2024 · a•••••• firm change · fact
- B•••• J••• E••••••• left H•••••• I••••••••• S•••••••• L•• for E••••••••• W••••• A•••••••• L•• (registered 2025-08-25)Dec 16, 2024 · a•••••• firm change · fact
- 2 advisors left P••••••• F•••••••• S•••••••• I••• (Pawleys Island, SC) for H•••••• I••••••••• S•••••••• L•• on the same dayAug 30, 2024 · Team lift-out · derived
- Allen S•••• Bradtmiller (Chief Compliance Officer) appeared on Schedule A of H•••••• I••••••••• S•••••••• L••Mar 14, 2024 · Control person joined · fact
- M••• D•••• K••••• left H•••••• I••••••••• S•••••••• L•• for R•• W••••• A••••••• (registered 2024-11-27)Dec 31, 2023 · a•••••• firm change · fact
- Alfred F•••••••• N••••• (Chief Compliance Officer) no longer on Schedule A of H•••••• I••••••••• S•••••••• L•• (listed 2023-07-10, absent 2023-08-10)Aug 10, 2023 · Control person left · inference
- 2 advisors left W••••• A••••••• S••••••••• L•• (Zionsville, IN) for H•••••• I••••••••• S•••••••• L•• on the same dayJun 30, 2023 · Team lift-out · derived
- H•••••• I••••••••• S•••••••• L•• reported 29 state-registered advisory representatives, up from 17 (2023-02-03 to 2023-03-30)Mar 30, 2023 · ria a•••••• headcount change · derived
- H•••••• I••••••••• S•••••••• L•• reported 17 state-registered advisory representatives, down from 27 (2020-12-07 to 2021-03-31)Mar 31, 2021 · ria a•••••• headcount change · derived
- H•••••• I••••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Feb 13, 2014 · ria f•••• adv filing · fact
Across DFX
shared identifiers only, never a name match
- H•••••• I••••••••• S•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- support@harvestinvestmentservices.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 630-613-9230reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- harvestinvestmentservices.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (630) 613-9230reportedpublic record, Form ADV, May 26, 2026
- Contact form
- harvestinvestmentservices.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $27.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026