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

C•••••• S••••• C•••••• L••

Independent wealth managerDowners Grove, IllinoisCRD 159684SEC 801-132556websiteIAPD
Latest filing Feb 11, 2026
First filing on the tape Mar 31, 2025 · 3 filings
SEC status approved since Apr 28, 2025
RAUM
$141M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$139M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$70.5M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$141M as of Feb 11, 2026
Mar 31, 2025$129M then
HNW client RAUM$139M as of Feb 11, 2026
Mar 31, 2025$127M then
State-registered IARs (5.B.3)2 as of Feb 11, 2026
Mar 31, 20252 then
Employees (5.A)2 as of Feb 11, 2026
Mar 31, 20252 then
Private funds: no history
RAUM +9.0% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 11, 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
$70.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$698,081derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$139M98%
  • Charitable organizations$2.5M1.8%
Individual clients
n/areported
HNW clients
52reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
202reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
A••• J•••• S••••••Downers Grove, IlJan 20, 201215 y1
M••• J••••• D••••Downers Grove, IlJan 17, 201334 y5
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • D••••• M•••• J••••• · Ccocontrol
    since 12/2012 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Downers Grove, Il · principal200
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 201 to 202
    May 14, 2025 to Feb 11, 2026
  • HNW clients · 53 to 52
    May 14, 2025 to Feb 11, 2026
  • Financial planning clients · 11-25 to 26-50
    May 14, 2025 to Feb 11, 2026
  • Discretionary RAUM · $129M to $141M
    May 14, 2025 to Feb 11, 2026
  • HNW RAUM · $127M to $139M
    May 14, 2025 to Feb 11, 2026
  • RAUM · $129M to $141M
    May 14, 2025 to Feb 11, 2026
  • Financial planning clients · 11-25 to 11-25
    Mar 31, 2025 to May 14, 2025
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
Business email
info@clementstreetcapital.comreportedpublished by the firm, firm site, Sep 16, 2026
Business phone
630-701-9359reportedpublished by the firm, firm site, Sep 16, 2026
Website
H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
630-701-9359reportedpublic record, Form ADV, Feb 11, 2026
Contact form
clementstreetcapital.com/contact.htmlreportedpublished by the firm, firm site, Sep 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
$70.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026